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, January 24,2017 1/24/2017 4:30:18 PM

Symbol Security Name Market Category Trigger Time
APOP Cellect Biotechnology Ltd. ADR R 1/23/2017 9:30:00 AM
SNES SenesTech, Inc. Common Stk R 1/23/2017 9:30:00 AM
APTO Aptose Biosciences, Inc. Cmn R 1/23/2017 9:30:00 AM
NCIT NCI, Inc. Q 1/23/2017 9:30:00 AM
CERCZ Cerecor Inc. Cl B Wt R 1/23/2017 9:30:00 AM
GALTW Galectin Therapeutics Inc. Wts R 1/23/2017 9:30:00 AM
ATLC Atlanticus Holdings Corp Q 1/23/2017 9:30:00 AM
PRKR ParkerVision Inc R 1/23/2017 9:30:00 AM
APEN Apollo Endosurgery, Inc. Cmn Q 1/23/2017 9:30:05 AM
AXGN AxoGen, Inc. Common Stock R 1/23/2017 9:30:19 AM
QCOM QUALCOMM Inc Q 1/23/2017 9:30:37 AM
DRYS DryShips Inc. R 1/23/2017 9:30:44 AM
TEAR TearLab Corporation R 1/23/2017 9:30:51 AM
TBIO Transgenomic Inc. Cmn Stk R 1/23/2017 9:31:29 AM
IRG Ignite Restaurant Group, Inc. Q 1/23/2017 9:31:45 AM
ZIONZ Zions Bancorporation Q 1/23/2017 9:32:14 AM
AXARW Axar Acquisition Cp. Wt R 1/23/2017 9:32:50 AM
CRTN Cartesian, Inc. Common Stock R 1/23/2017 9:34:59 AM
USEG U S Energy Corp R 1/23/2017 9:35:00 AM
IDXG Interpace Diagnostics Grp Inc R 1/23/2017 9:39:10 AM
OHGI One Horizon Group Common Stk R 1/23/2017 9:46:08 AM
PRCP Perceptron Inc Q 1/23/2017 9:46:37 AM
VBFC Village Bank & Trust Financial R 1/23/2017 9:52:10 AM
EGLE Eagle Bulk Shipping Inc. Q 1/23/2017 10:00:01 AM
FNCX Function(x) Inc. R 1/23/2017 10:00:17 AM
SMTX SMTC Corporation Q 1/23/2017 10:08:15 AM
YTEN Yield10 Bioscience, Inc. R 1/23/2017 10:11:49 AM
MYOS MYOS RENS Tech Cmn R 1/23/2017 10:18:12 AM
CRSP CRISPR Therapeutics AG CM Q 1/23/2017 10:21:06 AM
TRCH Torchlight Energy Rsrc Cmn R 1/23/2017 10:25:37 AM
FATE Fate Therapeutics Inc Cmn Q 1/23/2017 10:30:40 AM
CLRBW Cellectar Biosciences Wts R 1/23/2017 10:31:05 AM
XTLB XTL Biopharmaceuticals Ltd ADS R 1/23/2017 10:38:06 AM
COYNW COPsync, Inc. Warrant R 1/23/2017 10:43:22 AM
SKLN Skyline Medical Inc. Cmn Stk R 1/23/2017 10:45:21 AM
INVT Inventergy Global, Inc. R 1/23/2017 10:54:54 AM
CBAY CymaBay Therapeutics Cmn Stk R 1/23/2017 11:00:47 AM
NOVN Novan, Inc. CM Q 1/23/2017 11:04:31 AM
PULM Pulmatrix, Inc. Cmn Stk Q 1/23/2017 11:06:26 AM
BNTC Benitec Biopharma Ltd ADS R 1/23/2017 11:22:46 AM
HOTR Chanticleer Holdings, Inc. Cmn R 1/23/2017 11:32:54 AM
KTOVW Kitov Pharamceuticals Hold Wt R 1/23/2017 11:37:42 AM
PERF Perfumania Holdings, Inc R 1/23/2017 11:52:56 AM
CATYW Cathay General Bancorp Q 1/23/2017 12:01:59 PM
REXX Rex Energy Corporation R 1/23/2017 12:07:40 PM
NNDM Nano Dimension Ltd ADS R 1/23/2017 12:18:12 PM
OACQR Origo Acquisition Cp Rts R 1/23/2017 12:22:01 PM
RWLK ReWalk Robotics Ltd Ord Shares Q 1/23/2017 12:26:50 PM
JAGX Jaguar Animal Health, Inc. Cmn R 1/23/2017 12:28:30 PM
NAKD Naked Brand Group Inc. CS R 1/23/2017 12:36:15 PM
OPGNW OpGen, Inc. Warrant R 1/23/2017 12:36:57 PM
AQB AquaBounty Technologies CS R 1/23/2017 12:39:06 PM
OXBRW Oxbridge Re Hldgs Ltd Warrants R 1/23/2017 12:50:12 PM
AGRX Agile Therapeutics, Inc. Cmn Q 1/23/2017 12:52:48 PM
AGFSW AgroFresh Solu Warrants Q 1/23/2017 12:59:41 PM
CREG China Recycling Energy Corp R 1/23/2017 1:37:13 PM
HOTRW Chanticleer Warrants R 1/23/2017 1:56:11 PM
COYN COPsync Inc Common Stock R 1/23/2017 2:06:17 PM
ESEA Euroseas Ltd. Common Stock R 1/23/2017 2:10:29 PM
GEVO Gevo, Inc. Common Stock R 1/23/2017 2:23:51 PM
CUR Neuralstem, Inc. R 1/23/2017 2:26:18 PM
JASNW Jason Industries, Inc. Warrant R 1/23/2017 2:30:32 PM
NHLD National Holdings Corp Cmn Stk R 1/23/2017 2:40:15 PM
CLRBZ Cellectar Biosciences Sr A WT R 1/23/2017 2:51:17 PM
HBIO Harvard Bioscience, Inc. Q 1/23/2017 2:51:40 PM
NXTDW Nxt-ID, Inc. Warrant R 1/23/2017 2:54:24 PM
ONSIW Oncobiologics, Inc. Ser A Wt Q 1/23/2017 3:01:23 PM
GRVY GRAVITY Co., Ltd. R 1/23/2017 3:09:56 PM
VCEL Vericel Corporation R 1/23/2017 3:22:30 PM
CYTXW Cytori Therapeutics Inc WT R 1/23/2017 3:27:27 PM
KBSF KBS Fashion Group Ltd R 1/23/2017 3:33:59 PM
AKER Akers Biosciences Inc Cmn R 1/23/2017 3:36:24 PM
CASM CAS Medical Systems Inc. R 1/23/2017 3:43:42 PM
GNVC GenVec, Inc R 1/23/2017 3:50:39 PM
MDSY ModSys International Ltd R 1/23/2017 3:52:58 PM
NVCN Neovasc Inc. Cmn Shs R 1/23/2017 3:53:08 PM
BHACR Barington/Hilco Acq Cp Rights R 1/23/2017 3:56:15 PM
APWC Asia Pacific Wire & Cable Copr Q 1/23/2017 3:58:44 PM
AVNW Aviat Networks, Inc. Cmn Stk Q 1/23/2017 3:59:57 PM
CYTXW Cytori Therapeutics Inc WT R 1/24/2017 9:30:00 AM
CAPNW Capnia, Inc. Series A Warrant R 1/24/2017 9:30:02 AM
SPI SPI Energy Co ADS Q 1/24/2017 9:30:05 AM
EDUC Educational Development Corp Q 1/24/2017 9:30:34 AM
ETRM EnteroMedics Inc. R 1/24/2017 9:31:00 AM
GLBS Globus Maritime Limited R 1/24/2017 9:31:28 AM
ZIONZ Zions Bancorporation Q 1/24/2017 9:33:40 AM
FFHL Fuwei Films (Holdings) Co R 1/24/2017 9:35:20 AM
DRYS DryShips Inc. R 1/24/2017 9:38:58 AM
VCEL Vericel Corporation R 1/24/2017 9:39:24 AM
AMRS Amyris, Inc. Q 1/24/2017 9:40:08 AM
RGSE Real Goods Solar, Inc. R 1/24/2017 9:40:47 AM
CASI CASI Pharmaceuticals, Inc. R 1/24/2017 9:45:37 AM
NK NantKwest, Inc. CS Q 1/24/2017 9:47:11 AM
WATT Energous Corporation Cmn R 1/24/2017 9:51:42 AM
HMNY Helios and Matheson Analytics R 1/24/2017 10:00:23 AM
JASNW Jason Industries, Inc. Warrant R 1/24/2017 10:03:05 AM
CECE CECO Environmental Corp Q 1/24/2017 10:07:17 AM
CERCZ Cerecor Inc. Cl B Wt R 1/24/2017 10:08:07 AM
HOTR Chanticleer Holdings, Inc. Cmn R 1/24/2017 10:08:36 AM
AMMA Alliance MMA, Inc. Cmn R 1/24/2017 10:10:30 AM
OCUL Ocular Therapeutix, Inc. Cmn Q 1/24/2017 10:11:16 AM
NHLDW National Holdings Corp Wts R 1/24/2017 10:18:15 AM
DELT Delta Technology Hld Ltd Ord R 1/24/2017 10:19:19 AM
CRTN Cartesian, Inc. Common Stock R 1/24/2017 10:20:50 AM
AQB AquaBounty Technologies CS R 1/24/2017 10:28:11 AM
SAGE Sage Therapeutics Common Q 1/24/2017 10:29:12 AM
INSEW Inspired Entertainment Wts R 1/24/2017 10:34:45 AM
MPET Magellan Petroleum Corp R 1/24/2017 10:38:03 AM
AXARW Axar Acquisition Cp. Wt R 1/24/2017 10:48:34 AM
KNDI Kandi Technologies Group Cmn Q 1/24/2017 11:02:35 AM
NAKD Naked Brand Group Inc. CS R 1/24/2017 11:08:36 AM
TENX Tenax Therapeutics, Inc. R 1/24/2017 11:10:05 AM
WKHS Workhorse Group Common Stock R 1/24/2017 11:41:13 AM
COYNW COPsync, Inc. Warrant R 1/24/2017 11:52:13 AM
MSDIW Monster Digital, Inc. WT R 1/24/2017 11:52:47 AM
CPSH CPS Technologies Cp Cmn R 1/24/2017 11:59:51 AM
GALTU Galectin Therapeutics Inc. R 1/24/2017 12:21:28 PM
GALTW Galectin Therapeutics Inc. Wts R 1/24/2017 12:25:18 PM
CFRXW Contrafect Class A Warrants R 1/24/2017 12:44:08 PM
FLDM Fluidigm Corporation Q 1/24/2017 12:44:53 PM
EYES Second Sight Medical Cmn R 1/24/2017 12:56:16 PM
RMGN RMG NETWORKS HOLDING R 1/24/2017 12:57:42 PM
SNOAW Sonoma Pharma Wts R 1/24/2017 1:20:36 PM
MNTX Manitex International, Inc. R 1/24/2017 1:37:15 PM
LOAN Manhattan Bridge Capital, Inc R 1/24/2017 1:40:30 PM
JAGX Jaguar Animal Health, Inc. Cmn R 1/24/2017 1:40:34 PM
MEMP Memorial Production Partners Q 1/24/2017 2:17:45 PM
CBMXW CombiMatrix Corporation WT R 1/24/2017 2:42:47 PM
AVGR Avinger, Inc. Common Stk Q 1/24/2017 2:53:47 PM
TVIX VelocityShares Daily 2X VIX Q 1/24/2017 3:05:08 PM
MBRX Moleculin Biotech, Inc. COM R 1/24/2017 3:55:39 PM