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
Wednesday, July 27,2016 7/27/2016 4:15:16 AM

Symbol Security Name Market Category Trigger Time
DRWIW DragonWave Inc Warrants R 7/26/2016 9:30:00 AM
SSH Sunshine Heart Inc R 7/26/2016 9:30:00 AM
NDLS Noodles & Company Cl A Cmn Q 7/26/2016 9:30:00 AM
IBTX Independent Bank Group, Inc Q 7/26/2016 9:30:00 AM
CRME CARDIOME PHARMA CORP R 7/26/2016 9:30:00 AM
SANM Sanmina Corp Q 7/26/2016 9:30:00 AM
EPRS EPIRUS Biopharma Inc R 7/26/2016 9:30:00 AM
CCCL China Ceramics Co Cmn Stk R 7/26/2016 9:30:00 AM
CLDCW China Lending Corporation Wt R 7/26/2016 9:30:00 AM
ACPW ACTIVE POWER CMN R 7/26/2016 9:30:00 AM
HSTM HealthStream Inc Q 7/26/2016 9:30:00 AM
TKAI Tokai Pharmaceuticals Cmn Q 7/26/2016 9:30:00 AM
ESMC Escalon Medical Corp R 7/26/2016 9:30:06 AM
GCVRZ Sanofi CVR Q 7/26/2016 9:30:10 AM
SPU SkyPeople Fruit Juice, Inc. Q 7/26/2016 9:32:12 AM
NVCN Neovasc Inc. Cmn Shs R 7/26/2016 9:32:16 AM
OSN Ossen Innovation Co Ltd R 7/26/2016 9:32:17 AM
PTCT PTC Therapeutics, Inc. Cmn Stk Q 7/26/2016 9:32:48 AM
AIRM Air Methods Corporation Q 7/26/2016 9:36:36 AM
TOPS TOP Ships Inc R 7/26/2016 9:40:26 AM
SMSI Smith Micro Software Inc R 7/26/2016 9:40:41 AM
RIBT RiceBran Technologies Cmn Stk R 7/26/2016 9:45:52 AM
TCCO Technical Communications Corp R 7/26/2016 9:50:22 AM
GIII G-III Apparel Group LTD Q 7/26/2016 9:50:31 AM
AGFSW AgroFresh Solu Warrants Q 7/26/2016 9:52:21 AM
JSYNW Jensyn Acquistion Corp. WT R 7/26/2016 9:55:48 AM
PZRX PhaseRx, Inc. Cm St R 7/26/2016 10:03:13 AM
OPGN OpGen, Inc. Common Stock R 7/26/2016 10:09:22 AM
CNTF China TechFaith Wireless Commu Q 7/26/2016 10:09:28 AM
SAEX SAExploration Hldgs Q 7/26/2016 10:10:03 AM
SIEB Siebert Financial Corp R 7/26/2016 10:14:21 AM
DMPI DelMar Pharma Common Stock R 7/26/2016 10:16:21 AM
RTTR Ritter Pharmaceuticals, CM R 7/26/2016 10:19:37 AM
BLPH Bellerophon Thera Common Stock Q 7/26/2016 10:32:35 AM
OPGNW OpGen, Inc. Warrant R 7/26/2016 10:40:10 AM
NFEC NF Energy Saving Corporation R 7/26/2016 10:46:06 AM
CHUY Chuy's Holdings, Inc. Q 7/26/2016 10:52:22 AM
ACUR Acura Pharmaceuticals Cmn R 7/26/2016 10:54:31 AM
SHIP Seanergy Maritime Hld Corp R 7/26/2016 11:00:50 AM
ATAI ATA Inc. Q 7/26/2016 11:05:53 AM
JSYNR Jensyn Acquistion Corp. RT R 7/26/2016 11:09:00 AM
OCRX Ocera Therapeutics, Inc. Q 7/26/2016 11:13:11 AM
COSI COSI, INC. R 7/26/2016 11:35:02 AM
SSKN Strata Skin Sciences, Inc. Cmn R 7/26/2016 11:40:40 AM
TATT TAT Technologies Ltd Q 7/26/2016 11:51:37 AM
IDXG Interpace Diagnostics Grp Inc R 7/26/2016 11:51:50 AM
VISN VisionChina Media, Inc. Q 7/26/2016 11:56:21 AM
ONSIZ Oncobiologics, Inc. Ser B Wt Q 7/26/2016 11:58:53 AM
RIBTW RiceBran Technologies Warrant R 7/26/2016 12:00:16 PM
FNTCW FinTech Acquisition Corp. R 7/26/2016 12:00:33 PM
CBMX COMBIMATRIX CORP R 7/26/2016 12:29:53 PM
KMPH KemPharm, Inc. Cmn Q 7/26/2016 12:44:58 PM
DELT Delta Technology Hld Ltd Ord R 7/26/2016 12:50:24 PM
CFRXW Contrafect Class A Warrants R 7/26/2016 12:55:06 PM
APRI Apricus Biosciences, Inc R 7/26/2016 1:06:47 PM
MSDIW Monster Digital, Inc. WT R 7/26/2016 1:08:43 PM
NXTDW Nxt-ID, Inc. Warrant R 7/26/2016 1:18:41 PM
CCRC China Customer Relations ORDS R 7/26/2016 1:19:14 PM
HTCH Hutchinson Technology Inc Q 7/26/2016 1:22:34 PM
DCTH Delcath Systems Inc. R 7/26/2016 1:31:20 PM
NVFY Nova Lifestyle, Inc. Cmn Stk Q 7/26/2016 1:34:36 PM
LBIX Leading Brands Inc R 7/26/2016 2:08:21 PM
ZAIS ZAIS Group Holdings Cl A Cmn R 7/26/2016 2:38:03 PM
LMFAW LM Funding America WT R 7/26/2016 2:50:14 PM
CYHHZ Community Health Systems, Inc. Q 7/26/2016 2:53:47 PM
MDGL Madrigal Pharmaceuticals, Inc. R 7/26/2016 2:57:41 PM
TBRA Tobira Therapeutics, Inc. R 7/26/2016 3:01:29 PM
GBSN Great Basin Scientific, Inc. R 7/26/2016 3:33:17 PM
MEMP Memorial Production Partners Q 7/26/2016 3:35:02 PM
SPHS Sophiris Bio, Inc. Common Stk R 7/26/2016 3:47:54 PM
CTIC CTI BioPharma Corp R 7/26/2016 3:55:55 PM
BVXVW BiondVax Pharmaceuticals Wts R 7/26/2016 4:03:20 PM