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
Tuesday, February 21,2017 2/21/2017 4:30:19 PM

Symbol Security Name Market Category Trigger Time
ARQL ArQule, Inc. Q 2/17/2017 9:30:00 AM
XTLB XTL Biopharmaceuticals Ltd ADS R 2/17/2017 9:30:00 AM
WATT Energous Corporation Cmn R 2/17/2017 9:30:00 AM
GALTW Galectin Therapeutics Inc. Wts R 2/17/2017 9:30:00 AM
BNTC Benitec Biopharma Ltd ADS R 2/17/2017 9:30:58 AM
ROCK Gibraltar Industries, Inc. Q 2/17/2017 9:31:25 AM
PSIX Power Solutions Intl Cmn Stk R 2/17/2017 9:31:28 AM
TYPE Monotype Imaging Holdings Inc. Q 2/17/2017 9:32:03 AM
VRML Vermillion, Inc. R 2/17/2017 9:32:52 AM
MCHX Marchex Inc Q 2/17/2017 9:33:17 AM
MIND Mitcham Industries Q 2/17/2017 9:33:24 AM
FNSR Finisar Corporation Q 2/17/2017 9:33:57 AM
MEMP Memorial Production Partners Q 2/17/2017 9:40:52 AM
PI Impinj Inc CM Q 2/17/2017 9:50:12 AM
IEPRR Icahn Enterprises L.P. Rt Q 2/17/2017 9:52:37 AM
BNTCW Benitec Biopharma Warrant R 2/17/2017 9:59:58 AM
EVAR Lombard Medical, Inc. Ord Shs Q 2/17/2017 10:05:27 AM
PME Pingtan Marine Enterprise R 2/17/2017 10:17:13 AM
CUR Neuralstem, Inc. R 2/17/2017 10:17:15 AM
KTOVW Kitov Pharamceuticals Hold Wt R 2/17/2017 10:20:56 AM
MBRX Moleculin Biotech, Inc. COM R 2/17/2017 10:24:02 AM
MARPS Marine Peteroleum Trust Units R 2/17/2017 10:24:31 AM
AGFSW AgroFresh Solu Warrants Q 2/17/2017 10:35:31 AM
SRTSW Sensus Healthcare WT R 2/17/2017 10:39:30 AM
ABEO Abeona Therapeutics Inc. R 2/17/2017 10:39:36 AM
OREX Orexigen Therapeutics, Inc. Q 2/17/2017 10:41:09 AM
MTFBW Motif Bio plc Wts ADRs R 2/17/2017 10:44:12 AM
CLDC China Lending Corp Ord Shs R 2/17/2017 10:58:07 AM
PAACW Pacific Special Acq Warrant R 2/17/2017 11:00:42 AM
NVFY Nova Lifestyle, Inc. Cmn Stk Q 2/17/2017 11:02:20 AM
RGLS Regulus Therapeutics Inc. Q 2/17/2017 11:05:18 AM
MRDNW Meridian Waste Solutions WTS R 2/17/2017 11:17:41 AM
INFI Infinity Pharmaceuticals, Inc. Q 2/17/2017 11:21:26 AM
ACUR Acura Pharmaceuticals Cmn R 2/17/2017 11:24:13 AM
ABAC Aoxin Tianli Grp Inc R 2/17/2017 11:45:49 AM
RXIIW RXi Pharmaceuticals Corp R 2/17/2017 11:56:44 AM
RKDA Arcadia Biosciences, Inc. CS Q 2/17/2017 12:07:53 PM
ONSIW Oncobiologics, Inc. Ser A Wt Q 2/17/2017 12:13:18 PM
ONSIZ Oncobiologics, Inc. Ser B Wt Q 2/17/2017 12:20:09 PM
PERF Perfumania Holdings, Inc R 2/17/2017 12:25:41 PM
EVK Ever-Glory IntLGrp Cmn Stk Q 2/17/2017 1:13:06 PM
FNCX Function(x) Inc. R 2/17/2017 1:21:53 PM
TEAR TearLab Corporation R 2/17/2017 1:54:04 PM
DCTH Delcath Systems Inc. R 2/17/2017 1:59:50 PM
CLRBW Cellectar Biosciences Wts R 2/17/2017 2:09:05 PM
PYDS Payment Data Systems Cmn R 2/17/2017 2:38:33 PM
BHACW Barington/Hilco Acq Cp Wts R 2/17/2017 2:47:59 PM
RTNB root9B Holdings, Inc. R 2/17/2017 3:27:59 PM
MYSZ My Size, Inc. Cmn Stk R 2/17/2017 3:33:51 PM
IMMY Imprimis Pharmaceuticals Cmn R 2/17/2017 3:57:18 PM
DRYS DryShips Inc. R 2/21/2017 9:30:00 AM
DAKT Daktronics Inc Q 2/21/2017 9:30:00 AM
CDTX Cidara Therapeutics Cmn Q 2/21/2017 9:30:00 AM
ONSIW Oncobiologics, Inc. Ser A Wt Q 2/21/2017 9:30:00 AM
MNTA Momenta Pharmaceuticals Inc Q 2/21/2017 9:30:00 AM
COYNW COPsync, Inc. Warrant R 2/21/2017 9:30:00 AM
BNTCW Benitec Biopharma Warrant R 2/21/2017 9:30:00 AM
RTK Rentech Inc. Common Stock R 2/21/2017 9:30:00 AM
EIGI Endurance Int Grp Holdings Inc Q 2/21/2017 9:30:00 AM
AMPH Amphastar Pharma Common Stock Q 2/21/2017 9:30:00 AM
SITO SITO Mobile, Ltd. Cmn Stk R 2/21/2017 9:30:00 AM
TRVN Trevena, Inc. Q 2/21/2017 9:30:00 AM
MDVXW Medovex Corp Cl A Wt R 2/21/2017 9:30:00 AM
QPACW Quinpario Acq Corp 2 Warrant R 2/21/2017 9:30:00 AM
LBIX Leading Brands Inc R 2/21/2017 9:30:00 AM
AMRI Albany Molecular Research, Inc Q 2/21/2017 9:30:02 AM
CRMT America's Car-Mart Inc Q 2/21/2017 9:30:05 AM
RXIIW RXi Pharmaceuticals Corp R 2/21/2017 9:30:12 AM
ENT Global Eagle Entmnt R 2/21/2017 9:30:41 AM
IEPRR Icahn Enterprises L.P. Rt Q 2/21/2017 9:30:47 AM
BHACW Barington/Hilco Acq Cp Wts R 2/21/2017 9:31:21 AM
IKGH Iao Kun Group Holding Co. Ltd. Q 2/21/2017 9:32:40 AM
ACUR Acura Pharmaceuticals Cmn R 2/21/2017 9:35:08 AM
BNSO Bonso Electronics Int'l R 2/21/2017 9:41:20 AM
GWGH GWG Holdings Inc Common Stock R 2/21/2017 9:44:30 AM
PAVMW PAVmed Inc. Warrant R 2/21/2017 9:48:31 AM
CETXW Cemtrex Inc. WTS R 2/21/2017 9:49:14 AM
CERCZ Cerecor Inc. Cl B Wt R 2/21/2017 9:50:34 AM
EVOK Evoke Pharma, Inc. Cmn R 2/21/2017 9:51:02 AM
MOSY MoSys, Inc. R 2/21/2017 9:53:02 AM
PSIX Power Solutions Intl Cmn Stk R 2/21/2017 9:53:17 AM
MYOS MYOS RENS Tech Cmn R 2/21/2017 10:12:57 AM
TOPS TOP Ships Inc R 2/21/2017 10:16:37 AM
RGSE Real Goods Solar, Inc. R 2/21/2017 10:19:00 AM
ANDAR Andina Acq CP Right R 2/21/2017 10:19:05 AM
NHLDW National Holdings Corp Wts R 2/21/2017 10:22:37 AM
CBAY CymaBay Therapeutics Cmn Stk R 2/21/2017 10:55:54 AM
DVCR Diversicare Healthcare R 2/21/2017 11:00:16 AM
EFOI Energy Focus, Inc. Common Stk R 2/21/2017 11:03:54 AM
PERF Perfumania Holdings, Inc R 2/21/2017 11:11:20 AM
NAKD Naked Brand Group Inc. CS R 2/21/2017 11:14:32 AM
BNTC Benitec Biopharma Ltd ADS R 2/21/2017 11:16:09 AM
OCUL Ocular Therapeutix, Inc. Cmn Q 2/21/2017 11:19:12 AM
FNCX Function(x) Inc. R 2/21/2017 11:22:43 AM
CYHHZ Community Health Systems, Inc. Q 2/21/2017 11:26:54 AM
ABEO Abeona Therapeutics Inc. R 2/21/2017 11:31:26 AM
OACQR Origo Acquisition Cp Rts R 2/21/2017 11:43:30 AM
SCON SUPERCONDUCTOR TECH R 2/21/2017 11:52:07 AM
TROVW Trovagene inc warrant R 2/21/2017 12:02:48 PM
COYN COPsync Inc Common Stock R 2/21/2017 12:03:45 PM
SNMX Senomyx Inc Q 2/21/2017 12:14:24 PM
ARGS Argos Therapeutics, Inc. Q 2/21/2017 12:17:20 PM
RIBT RiceBran Technologies Cmn Stk R 2/21/2017 12:49:59 PM
MDVX Medovex Corp. Cmn R 2/21/2017 12:55:38 PM
ZSAN Zosano Pharma Corporation Cmn R 2/21/2017 12:57:56 PM
ZAIS ZAIS Group Holdings Cl A Cmn R 2/21/2017 1:00:26 PM
RILY B. Riley Financial Cmn Stk Q 2/21/2017 1:00:48 PM
PULM Pulmatrix, Inc. Cmn Stk Q 2/21/2017 1:01:42 PM
MDGS Medigus Ltd ADS R 2/21/2017 1:09:27 PM
BPTH Bio-Path Holdings, Inc. R 2/21/2017 1:14:53 PM
NUROW NeuroMetrix, Inc. Wt R 2/21/2017 1:20:03 PM
AAPC Atlantic Alliance Partner. Ord R 2/21/2017 1:36:00 PM
XGTIW xG Technology, Inc R 2/21/2017 1:40:02 PM
PPHM Peregrine Pharmaceuticals New R 2/21/2017 1:40:32 PM
CLSN Celsion Corporation R 2/21/2017 2:03:42 PM
CETX Cemtrex Inc. Common Stock R 2/21/2017 2:04:17 PM
RNVAZ Rennova Health, Inc. WTS R 2/21/2017 2:06:37 PM
GPACW Global Partner Acq. Corp Wrt R 2/21/2017 2:09:48 PM
AIRG Airgain Inc. CM R 2/21/2017 2:11:28 PM
IFON InfoSonic Corp R 2/21/2017 2:16:39 PM
SHIPW Seanergy Maritime Holdings Cor R 2/21/2017 2:33:30 PM
HMNY Helios and Matheson Analytics R 2/21/2017 2:57:01 PM
SBOT Stellar Biotech Common Stock R 2/21/2017 3:08:10 PM
AGFSW AgroFresh Solu Warrants Q 2/21/2017 3:12:04 PM
HTGM HTG Molecular Diagnostics Cmn Q 2/21/2017 3:24:21 PM
RWLK ReWalk Robotics Ltd Ord Shares Q 2/21/2017 3:26:27 PM
STLRW Stellar Acquisition III WRT R 2/21/2017 3:57:53 PM