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, March 24,2017 3/24/2017 4:30:20 PM

Symbol Security Name Market Category Trigger Time
OACQW Origo Acquisition Cp Wts R 3/23/2017 9:30:00 AM
TNDM Tandem Diabetes Care, Inc. Q 3/23/2017 9:30:00 AM
HTBX Heat Biologics, Inc. R 3/23/2017 9:30:00 AM
CERU Cerulean Pharma Inc Com Stock Q 3/23/2017 9:30:00 AM
CLRBW Cellectar Biosciences Wts R 3/23/2017 9:30:00 AM
COYNW COPsync, Inc. Warrant R 3/23/2017 9:30:00 AM
VLRX Valeritas Holdings, Inc. CS R 3/23/2017 9:30:06 AM
IDXG Interpace Diagnostics Grp Inc R 3/23/2017 9:30:16 AM
MBRX Moleculin Biotech, Inc. COM R 3/23/2017 9:32:08 AM
QUIK QuickLogic Corporation Q 3/23/2017 9:32:22 AM
PBMD PRIMA BIOMED LTD Q 3/23/2017 9:33:32 AM
RBCN Rubicon Technology, Inc. R 3/23/2017 9:33:39 AM
ATEC Alphatec Holdings Inc Q 3/23/2017 9:34:23 AM
RLOG Rand Logistics, Inc. R 3/23/2017 9:35:47 AM
ATOS Atossa Genetics Inc. R 3/23/2017 9:37:41 AM
MRAM Everspin Technologies COM Q 3/23/2017 9:37:47 AM
AVEO AVEO Pharmaceuticals, Inc. Q 3/23/2017 9:39:26 AM
MDGS Medigus Ltd ADS R 3/23/2017 9:45:26 AM
CMLS Cumulus Media Inc R 3/23/2017 9:46:53 AM
INNL Innocoll Holdings plc Ord Sh Q 3/23/2017 9:47:16 AM
TROVW Trovagene inc warrant R 3/23/2017 9:48:55 AM
RAVE Rave Restaurant Group, Inc. R 3/23/2017 10:05:09 AM
TOPS TOP Ships Inc R 3/23/2017 10:14:14 AM
STLRW Stellar Acquisition III WRT R 3/23/2017 10:14:14 AM
DRIO DarioHealth Corp. Cmn Stk R 3/23/2017 10:16:26 AM
RARE Ultragenyx Pharmaceutical Inc Q 3/23/2017 10:16:35 AM
AEY ADDvantage Technologies Group Q 3/23/2017 10:18:01 AM
HRMNW Harmony Merger Warrant R 3/23/2017 10:18:50 AM
KALV KalVista Pharmaceuticals Q 3/23/2017 10:19:55 AM
ARGS Argos Therapeutics, Inc. Q 3/23/2017 10:24:59 AM
CATYW Cathay General Bancorp Q 3/23/2017 10:32:16 AM
PULM Pulmatrix, Inc. Cmn Stk Q 3/23/2017 10:35:08 AM
ANDAR Andina Acq CP Right R 3/23/2017 10:55:24 AM
APOPW Cellect Biotechnology Ltd. WT R 3/23/2017 10:56:28 AM
MTFBW Motif Bio plc Wts ADRs R 3/23/2017 10:59:46 AM
JSYNW Jensyn Acquistion Corp. WT R 3/23/2017 11:01:33 AM
CPSH CPS Technologies Cp Cmn R 3/23/2017 11:11:06 AM
GPIAW GP Investments Acquisition Wt R 3/23/2017 11:30:20 AM
INVT Inventergy Global, Inc. R 3/23/2017 11:41:07 AM
RNVAZ Rennova Health, Inc. WTS R 3/23/2017 11:48:18 AM
OPXAW Opexa Therapeutics Warrant R 3/23/2017 12:08:12 PM
BHACR Barington/Hilco Acq Cp Rights R 3/23/2017 12:16:53 PM
AGFSW AgroFresh Solu Warrants Q 3/23/2017 12:31:55 PM
CLBS Caladrius Biosciences, Inc. R 3/23/2017 12:42:29 PM
RMGN RMG NETWORKS HOLDING R 3/23/2017 12:57:00 PM
BONT The Bon-Ton Stores Inc Q 3/23/2017 12:58:38 PM
CTMX CytomX Therapeutics, Inc. CS Q 3/23/2017 1:14:37 PM
ARDM Aradigm Corporation Cmn Stk R 3/23/2017 1:45:52 PM
CETXW Cemtrex Inc. WTS R 3/23/2017 1:45:58 PM
EGAN eGain Corporation R 3/23/2017 2:20:30 PM
PRKR ParkerVision Inc R 3/23/2017 2:23:36 PM
STRM Streamline Health Solutions R 3/23/2017 2:38:44 PM
EACQU Easterly Acquisition Corp. UTS R 3/23/2017 3:40:39 PM
BLCM Bellicum Pharmaceuticals Comm Q 3/23/2017 3:50:41 PM
NHLDW National Holdings Corp Wts R 3/23/2017 3:53:16 PM
CERCZ Cerecor Inc. Cl B Wt R 3/23/2017 3:58:31 PM
FINL The Finish Line Inc Cl A Q 3/24/2017 9:30:00 AM
MDGS Medigus Ltd ADS R 3/24/2017 9:30:00 AM
CAPNW Capnia, Inc. Series A Warrant R 3/24/2017 9:30:00 AM
XENE Xenon Pharmaceuticals Cm Sh Q 3/24/2017 9:30:00 AM
ISNS Image Sensing Systems Inc R 3/24/2017 9:30:00 AM
SPWH Sportsman's Warehouse Hold CM Q 3/24/2017 9:30:00 AM
FNCX Function(x) Inc. R 3/24/2017 9:31:15 AM
EACQU Easterly Acquisition Corp. UTS R 3/24/2017 9:31:59 AM
ARGS Argos Therapeutics, Inc. Q 3/24/2017 9:36:15 AM
IDXG Interpace Diagnostics Grp Inc R 3/24/2017 9:36:37 AM
RTTR Ritter Pharmaceuticals, CM R 3/24/2017 9:37:00 AM
HOTRW Chanticleer Warrants R 3/24/2017 9:40:06 AM
SSH Sunshine Heart Inc R 3/24/2017 9:42:10 AM
IMNP Immune Pharma Cmn Stk R 3/24/2017 9:46:58 AM
FALC FalconStor Software Inc R 3/24/2017 9:50:32 AM
LKOR FlxShrs Crd Scrd US Lg Corp Bd Q 3/24/2017 9:54:08 AM
SPI SPI Energy Co ADS Q 3/24/2017 9:54:11 AM
ANY Sphere 3D Corp. R 3/24/2017 10:01:59 AM
BHACW Barington/Hilco Acq Cp Wts R 3/24/2017 10:04:30 AM
VKTXW Viking Therapeutics, Inc. WTS R 3/24/2017 10:04:43 AM
USCR U.S. Concrete, Inc. Common R 3/24/2017 10:12:40 AM
CLNT Cleantech Solutions R 3/24/2017 10:13:21 AM
PTIE Pain Therapeutics Q 3/24/2017 10:16:35 AM
EAGLW Double Eagle Acquisition WT R 3/24/2017 10:34:49 AM
NXEOW Nexeo Solutions, Inc. Warrant R 3/24/2017 10:36:36 AM
MICTW Micronet Enertec Technolog Wts R 3/24/2017 10:36:40 AM
MDVXW Medovex Corp Cl A Wt R 3/24/2017 10:39:19 AM
AVEO AVEO Pharmaceuticals, Inc. Q 3/24/2017 10:44:29 AM
MNGA MagneGas Corporation Cmn Stk R 3/24/2017 11:16:15 AM
DCTH Delcath Systems Inc. R 3/24/2017 11:18:52 AM
ITUS ITUS Corporation Cmn Stk R 3/24/2017 11:23:51 AM
APDNW Applied DNA Scien Warrant R 3/24/2017 11:38:56 AM
AGFSW AgroFresh Solu Warrants Q 3/24/2017 11:45:30 AM
NVCN Neovasc Inc. Cmn Shs R 3/24/2017 11:57:05 AM
PAACW Pacific Special Acq Warrant R 3/24/2017 11:59:15 AM
ROSG Rosetta Genomics Ltd R 3/24/2017 12:18:35 PM
COLL Collegium Pharmaceutical Cmn Q 3/24/2017 12:27:57 PM
OMNT Ominto, Inc. Cm St R 3/24/2017 12:39:22 PM
CERCZ Cerecor Inc. Cl B Wt R 3/24/2017 12:44:42 PM
COYNW COPsync, Inc. Warrant R 3/24/2017 12:47:22 PM
AEMD Aethlon Medical Common R 3/24/2017 12:50:35 PM
CERCW Cerecor Inc. Cl A Wt R 3/24/2017 1:13:34 PM
BHACR Barington/Hilco Acq Cp Rights R 3/24/2017 1:13:34 PM
PAACR Pacific Special Acq Rights R 3/24/2017 1:13:49 PM
ONSIW Oncobiologics, Inc. Ser A Wt Q 3/24/2017 1:21:08 PM
TROV TrovaGene, Inc. Common Stock R 3/24/2017 1:31:41 PM
TRPX Therapix Biosciences Ltd. ADS R 3/24/2017 1:54:23 PM
HCAP Harvest Capital Credit Corpora Q 3/24/2017 2:40:33 PM
ABEOW Abeona Therapeutics Wts R 3/24/2017 2:41:52 PM
MBVX MabVax Therapeutics CS R 3/24/2017 2:46:37 PM
RELY Real Industry, Inc. Cmn Stk Q 3/24/2017 2:54:54 PM
RNVAZ Rennova Health, Inc. WTS R 3/24/2017 3:18:39 PM
AXARW Axar Acquisition Cp. Wt R 3/24/2017 3:24:06 PM
EPIX ESSA Pharma Inc Common R 3/24/2017 3:30:31 PM
INVT Inventergy Global, Inc. R 3/24/2017 3:45:55 PM
MTP Midatech Pharma PLC ADS R 3/24/2017 3:46:15 PM
NUROW NeuroMetrix, Inc. Wt R 3/24/2017 3:58:31 PM
NIHD NII Holdings, Inc. Cmn Stk Q 3/24/2017 3:59:12 PM