Short Sale Circuit Breaker


The SEC adopted amendments to Regulation SHO with a compliance date of November 10, 2010. Among the rule changes, the SEC introduced Rule 201 (Alternative Uptick Rule), a short sale-related circuit breaker that when triggered, will impose a restriction on prices at which securities may be sold short. The SEC also issued guidance for broker-dealers wishing to mark certain qualifying orders 201cshort exempt.201d For more details, refer to Amendments to Regulation SHO (Release 34-61595).

Trade Date Download Link File Creation Timestamp
Friday, November 17,2017 11/17/2017 4:15:20 AM

Symbol Security Name Market Category Trigger Time
AXGN AxoGen, Inc. Common Stock R 11/16/2017 9:30:00 AM
YTEN Yield10 Bioscience, Inc. R 11/16/2017 9:30:00 AM
MOSY MoSys, Inc. R 11/16/2017 9:30:00 AM
NTEC Intec Pharma Ltd Ord Shrs R 11/16/2017 9:30:00 AM
MTP Midatech Pharma PLC ADS R 11/16/2017 9:30:01 AM
AVID Avid Technology Inc Q 11/16/2017 9:31:52 AM
RLOG Rand Logistics, Inc. R 11/16/2017 9:32:26 AM
KRYS Krystal Biotech, Inc. Cm St R 11/16/2017 9:33:50 AM
VIAB Viacom Inc. Class B Cmn Stk Q 11/16/2017 9:34:24 AM
KGJI Kingold Jewelry Inc. R 11/16/2017 9:34:47 AM
QRHC Quest Resource Holding Cp Cmn R 11/16/2017 9:39:15 AM
JAGX Jaguar Health, Inc. Cmn R 11/16/2017 9:43:21 AM
SYMX Synthesis Energy Sytems Inc R 11/16/2017 9:46:38 AM
REXX Rex Energy Corporation R 11/16/2017 9:46:44 AM
CREG China Recycling Energy Corp R 11/16/2017 9:50:52 AM
ENPH Enphase Energy, Inc. Q 11/16/2017 10:08:00 AM
TVIX VelocityShares Daily 2X VIX Q 11/16/2017 10:19:25 AM
KBLMR KBL Merger Corp. IV RTS R 11/16/2017 10:20:01 AM
SEED Origin Agritech Limited Q 11/16/2017 10:26:45 AM
OXBRW Oxbridge Re Hldgs Ltd Warrants R 11/16/2017 10:31:19 AM
KTOVW Kitov Pharamceuticals Hold Wt R 11/16/2017 10:31:25 AM
GLBR Global Brokerage, Inc. R 11/16/2017 10:34:27 AM
CHFS CHF Solutions, Inc. R 11/16/2017 10:47:50 AM
GTXI GTx, Inc R 11/16/2017 10:51:03 AM
LMFA LM Funding America Cmn Stk R 11/16/2017 11:06:37 AM
LMFAW LM Funding America WT R 11/16/2017 11:15:30 AM
CHEK Check-Cap Ltd. Ord R 11/16/2017 11:23:59 AM
DSKEW Daseke, Inc. Warrant R 11/16/2017 11:46:50 AM
SBPH Spring Bank Pharmaceuticals CS R 11/16/2017 11:47:17 AM
MVIS Microvision Inc Q 11/16/2017 11:48:33 AM
EAGLW Double Eagle Acquisition WT R 11/16/2017 11:53:51 AM
BHACW Barington/Hilco Acq Cp Wts R 11/16/2017 12:04:53 PM
ONSIW Oncobiologics, Inc. Ser A Wt Q 11/16/2017 12:05:03 PM
CYHHZ Community Health Systems, Inc. Q 11/16/2017 12:10:21 PM
CYTXW Cytori Therapeutics Inc WT R 11/16/2017 12:10:29 PM
CMSSR CM Seven Star Acquisition RTS R 11/16/2017 12:12:41 PM
ADXSW Advaxis, Inc. Warrants R 11/16/2017 12:23:01 PM
JSYNW Jensyn Acquistion Corp. WT R 11/16/2017 12:24:04 PM
DISCB Discovery Comm Series B Q 11/16/2017 1:01:35 PM
CERCW Cerecor Inc. Cl A Wt R 11/16/2017 1:13:58 PM
PANL Pangaea Logistics Sol Ltd R 11/16/2017 1:23:44 PM
DTRM Determine, Inc. R 11/16/2017 1:28:49 PM
SNES SenesTech, Inc. Common Stk R 11/16/2017 1:35:18 PM
PETZ TDH Holdings, Inc. Cmn Shrs R 11/16/2017 1:40:12 PM
PYDS Payment Data Systems Cmn R 11/16/2017 1:45:17 PM
AMDA Amedica Corporation R 11/16/2017 1:55:50 PM
OPGNW OpGen, Inc. Warrant R 11/16/2017 3:10:31 PM
TUES Tuesday Morning Corporation Q 11/16/2017 3:24:59 PM
MYND MYnd Analytics, Inc. Cm St R 11/16/2017 3:48:16 PM
ARDM Aradigm Corporation Cmn Stk R 11/16/2017 3:52:40 PM
ATACR Atlantic Acquisition Corp. RT R 11/16/2017 3:56:55 PM
CHEKW Check-Cap Ltd. Srs A Wt R 11/16/2017 4:00:43 PM
RELY Real Industry, Inc. Cmn Stk Q 11/17/2017 9:30:00 AM
CHFS CHF Solutions, Inc. R 11/17/2017 9:30:00 AM
DELTW Delta Tech Hldgs. Warrant R 11/17/2017 9:30:00 AM
HTBX Heat Biologics, Inc. R 11/17/2017 9:30:00 AM
CADC China Advd Cnstrctn Mtrls Grp R 11/17/2017 9:30:00 AM
CARV Carver Bancorp Inc R 11/17/2017 9:30:00 AM
SNES SenesTech, Inc. Common Stk R 11/17/2017 9:30:00 AM
JASNW Jason Industries, Inc. Warrant R 11/17/2017 9:30:00 AM
VBLT Vascular Biogenics Ltd Ord Sh Q 11/17/2017 9:30:00 AM
CHCI Comstock Holding Cos., Inc. R 11/17/2017 9:30:00 AM
MRDN Meridian Waste Solutions CM R 11/17/2017 9:30:00 AM
CNTY Century Casinos Inc R 11/17/2017 9:30:00 AM
RWLK ReWalk Robotics Ltd Ord Shares R 11/17/2017 9:30:00 AM
ICON Iconix Brand Group, Inc. Q 11/17/2017 9:30:00 AM
OPHC OPTIMUMBANK HLDGS R 11/17/2017 9:30:00 AM
LEDS SemiLEDs Corporation R 11/17/2017 9:30:01 AM
DXLG DESTINATION XL GRP Q 11/17/2017 9:30:01 AM
REIS Reis, Inc Q 11/17/2017 9:30:02 AM
CDTI Clean Diesel Technologies, Inc R 11/17/2017 9:31:08 AM
VERI Veritone, Inc. CM Q 11/17/2017 9:33:42 AM
KTOVW Kitov Pharamceuticals Hold Wt R 11/17/2017 9:34:25 AM
AMRH Ameri Holdings, Inc. Cm St R 11/17/2017 9:35:15 AM
SPRO Spero Therapeutics, Inc. CM Q 11/17/2017 9:35:36 AM
CVO Cenveo Inc Cmn Stk Q 11/17/2017 9:40:44 AM
BRQSW Borqs Tech Inc Wts R 11/17/2017 9:42:04 AM
RSYS RadiSys Corporation Q 11/17/2017 9:44:26 AM
EGLT Egalet Corporation Q 11/17/2017 9:46:01 AM
BCACR Bison Cap Acquistion Cp Right R 11/17/2017 9:46:16 AM
CREG China Recycling Energy Corp R 11/17/2017 9:46:27 AM
OSN Ossen Innovation Co Ltd R 11/17/2017 9:49:44 AM
TSRI TSR Inc R 11/17/2017 9:52:12 AM
IFON InfoSonic Corp Cmn Stk R 11/17/2017 9:55:23 AM
ROSG Rosetta Genomics Ltd R 11/17/2017 10:06:20 AM
CHRS Coherus BioSciences, Inc Cm Q 11/17/2017 10:16:05 AM
CERCW Cerecor Inc. Cl A Wt R 11/17/2017 10:25:47 AM
KONE Kingtone Wirelessinfo Solution R 11/17/2017 10:26:37 AM
YTEN Yield10 Bioscience, Inc. R 11/17/2017 10:27:06 AM
APDNW Applied DNA Scien Warrant R 11/17/2017 10:28:53 AM
NUROW NeuroMetrix, Inc. Wt R 11/17/2017 10:34:01 AM
CLWT Euro Tech Holdings Co Ltd R 11/17/2017 10:38:29 AM
HGSH China HGS Real Estate Cmn Stk R 11/17/2017 10:41:26 AM
MOXC Moxian, Inc. Cmn Stk R 11/17/2017 10:43:12 AM
CLIRW ClearSign Combustion Cp Wrt R 11/17/2017 10:57:35 AM
GLBR Global Brokerage, Inc. R 11/17/2017 10:59:56 AM
JSYNW Jensyn Acquistion Corp. WT R 11/17/2017 11:03:23 AM
AZRX AzurRx BioPharma, Inc. Cm St R 11/17/2017 11:29:38 AM
CLRBZ Cellectar Biosciences Sr A WT R 11/17/2017 11:58:52 AM
EYESW Second Sight Mdl Products Wt R 11/17/2017 12:10:51 PM
SLNO Soleno Therapeutics, Inc. R 11/17/2017 12:59:25 PM
NEWA Newater Technology, Inc. Cm St R 11/17/2017 1:24:27 PM
PETZ TDH Holdings, Inc. Cmn Shrs R 11/17/2017 1:30:31 PM
OXBR Oxbridge Re Hldgs Ord Shares R 11/17/2017 2:16:47 PM
NXEOW Nexeo Solutions, Inc. Warrant R 11/17/2017 2:17:16 PM
ACERW Acer Therapeutics Warrant R 11/17/2017 2:17:35 PM
OMNT Ominto, Inc. Cm St R 11/17/2017 2:18:10 PM
MRDNW Meridian Waste Solutions WTS R 11/17/2017 2:19:40 PM
CHMA Chiasma, Inc. Common Stk Q 11/17/2017 2:39:57 PM
CTIB CTI Industries Corp R 11/17/2017 2:50:41 PM
XOMA XOMA Corporation Q 11/17/2017 2:51:33 PM
CETXW Cemtrex Inc. WTS R 11/17/2017 2:52:13 PM
ADMA ADMA Biologics Inc Com R 11/17/2017 3:20:42 PM
MRTX Mirati Therapeutics, Inc. R 11/17/2017 3:52:01 PM