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, August 30,2016 8/30/2016 4:30:18 PM

Symbol Security Name Market Category Trigger Time
CZR Caesars Entertainment Corporat Q 8/29/2016 9:30:00 AM
RIBTW RiceBran Technologies Warrant R 8/29/2016 9:30:00 AM
BOSC BOS Better Online Solutions R 8/29/2016 9:30:00 AM
KTOS Kratos Defense & Security Q 8/29/2016 9:30:05 AM
EMITF Elbit Imaging Ltd. Ord Shs Q 8/29/2016 9:30:16 AM
ADMP Adamis Pharmaceuticals Inc R 8/29/2016 9:30:31 AM
AEHR Aehr Test Systems R 8/29/2016 9:30:37 AM
ICAD iCAD, Inc. Common Stock R 8/29/2016 9:31:01 AM
FNJN Finjan Holdings, Inc. Cmn Stk R 8/29/2016 9:31:39 AM
CORI Corium International Cmn Q 8/29/2016 9:33:29 AM
NWBOW Northwest Biotherapeutics, Inc R 8/29/2016 9:35:33 AM
LMFAW LM Funding America WT R 8/29/2016 9:36:49 AM
CLRBW Cellectar Biosciences Wts R 8/29/2016 9:43:45 AM
ATRS Antares Pharma Inc Cmn Stk R 8/29/2016 9:50:15 AM
XCOM Xtera Communicat Common Stock Q 8/29/2016 9:59:56 AM
IKGH Iao Kun Group Holding Co. Ltd. Q 8/29/2016 10:00:49 AM
MSON MISONIX Inc Q 8/29/2016 10:08:27 AM
TAYD Taylor Devices Inc R 8/29/2016 10:16:58 AM
CLRBZ Cellectar Biosciences Sr A WT R 8/29/2016 10:21:17 AM
CLDCW China Lending Corporation Wt R 8/29/2016 10:31:21 AM
SYRX Sysorex Global Common Stock R 8/29/2016 10:39:31 AM
FALC FalconStor Software Inc R 8/29/2016 10:42:28 AM
APDNW Applied DNA Scien Warrant R 8/29/2016 10:43:21 AM
ABEOW Abeona Therapeutics Wts R 8/29/2016 10:52:00 AM
BMRA Biomerica, Inc. CS R 8/29/2016 10:56:19 AM
LONE Lonestar Resources US CM ST A Q 8/29/2016 11:01:07 AM
EGLE Eagle Bulk Shipping Inc. Q 8/29/2016 11:30:35 AM
CPSH CPS Technologies Cp Cmn R 8/29/2016 11:50:09 AM
ECACR E-compass Acquisition Rts R 8/29/2016 11:51:13 AM
APOPW Cellect Biotechnology Ltd. WT R 8/29/2016 11:52:20 AM
CORE Core Mark Holding Co Inc Q 8/29/2016 12:02:14 PM
SGYPW Synergy Pharma AWarrants R 8/29/2016 12:32:59 PM
WHLRW Wheeler REIT Warrants R 8/29/2016 12:57:44 PM
ICLD InterCloud Systems, Inc. Cmn R 8/29/2016 1:11:02 PM
NAME Rightside Group, Ltd. Cmn Q 8/29/2016 1:16:54 PM
AGFSW AgroFresh Solu Warrants Q 8/29/2016 1:19:22 PM
DXTR Dextera Surgical Inc. R 8/29/2016 1:28:40 PM
GPIAW GP Investments Acquisition Wt R 8/29/2016 1:43:14 PM
JASNW Jason Industries, Inc. Warrant R 8/29/2016 1:46:01 PM
SPI SPI Energy Co ADS Q 8/29/2016 1:56:50 PM
QPACW Quinpario Acq Corp 2 Warrant R 8/29/2016 2:08:56 PM
FORK Fuling Global Inc. Ord Shares R 8/29/2016 2:26:45 PM
TBIO Transgenomic Inc. Cmn Stk R 8/29/2016 2:37:12 PM
AETI American Electric Technologies R 8/29/2016 2:41:03 PM
ORIG Ocean Rig UDW Inc Q 8/29/2016 2:49:11 PM
GSOL Global Sources Ltd Q 8/29/2016 3:00:55 PM
NXTDW Nxt-ID, Inc. Warrant R 8/29/2016 3:26:57 PM
RNVAZ Rennova Health, Inc. WTS R 8/29/2016 3:49:42 PM
CSBR Champions Oncology Cm St R 8/29/2016 3:55:10 PM
JSYNW Jensyn Acquistion Corp. WT R 8/29/2016 3:56:15 PM
SCSC ScanSource Inc Q 8/30/2016 9:30:00 AM
GIII G-III Apparel Group LTD Q 8/30/2016 9:30:00 AM
MSDIW Monster Digital, Inc. WT R 8/30/2016 9:30:00 AM
LIME Lime Energy Co Cmn R 8/30/2016 9:30:00 AM
NEOT Neothetics, Inc. Cmn Q 8/30/2016 9:30:00 AM
NIHD NII Holdings, Inc. Cmn Stk Q 8/30/2016 9:30:13 AM
GBNK GUARANTY BANCORP Q 8/30/2016 9:30:22 AM
XGTIW xG Technology, Inc R 8/30/2016 9:31:27 AM
APPS Digital Turbine, Inc. Cmn Stk R 8/30/2016 9:33:10 AM
QADB QAD Inc Class B Q 8/30/2016 9:34:32 AM
CPAH CounterPath Corporation R 8/30/2016 9:34:37 AM
AVNW Aviat Networks, Inc. Cmn Stk Q 8/30/2016 9:44:03 AM
ADHD Alcobra Ltd. Ordinary Shares Q 8/30/2016 9:44:11 AM
OPGNW OpGen, Inc. Warrant R 8/30/2016 9:44:46 AM
CCCL China Ceramics Co Cmn Stk R 8/30/2016 9:56:46 AM
XCOM Xtera Communicat Common Stock Q 8/30/2016 10:01:44 AM
STAF Staffing 360 Solutions, Inc. R 8/30/2016 10:02:33 AM
AETI American Electric Technologies R 8/30/2016 10:07:54 AM
ZSAN Zosano Pharma Corporation Cmn R 8/30/2016 10:08:26 AM
ARTW Arts-Way Manufacturing Co R 8/30/2016 10:11:37 AM
MCUR Macrocure Ltd. Ord Shares Q 8/30/2016 10:13:21 AM
XGTI xG Technology, Inc Common Stk R 8/30/2016 10:31:30 AM
LONE Lonestar Resources US CM ST A Q 8/30/2016 10:33:03 AM
FRED Fred's Inc Q 8/30/2016 10:38:52 AM
MBLX Metabolix, Inc. Cmn Stk R 8/30/2016 10:46:02 AM
DRYS DryShips Inc. R 8/30/2016 10:51:48 AM
HOTRW Chanticleer Warrants R 8/30/2016 11:01:39 AM
MOSY MoSys, Inc. Q 8/30/2016 11:02:07 AM
IDXG Interpace Diagnostics Grp Inc R 8/30/2016 11:04:31 AM
CPSH CPS Technologies Cp Cmn R 8/30/2016 11:11:03 AM
SYRX Sysorex Global Common Stock R 8/30/2016 11:18:36 AM
PRZM Prism Tech Grp Cmn Stk R 8/30/2016 11:27:14 AM
VRTB Vestin Realty Mortgage II, Inc R 8/30/2016 11:28:52 AM
CNAT Conatus Pharmaceuticals Inc Q 8/30/2016 11:29:34 AM
CBAK China BAK Battery, Inc. Q 8/30/2016 11:32:03 AM
WGBS WaferGen Bio-systems Cmn Stk R 8/30/2016 11:34:46 AM
IDSA Industrial Services of America R 8/30/2016 11:50:00 AM
MYOS MYOS RENS Tech Cmn R 8/30/2016 11:53:01 AM
EGLE Eagle Bulk Shipping Inc. Q 8/30/2016 12:02:20 PM
MIRN Mirna Therapeutics Cmn Stk Q 8/30/2016 12:09:40 PM
ARGS Argos Therapeutics, Inc. Q 8/30/2016 12:23:49 PM
MSDI Monster Digital, Inc. CS R 8/30/2016 1:15:32 PM
SPU SkyPeople Fruit Juice, Inc. Q 8/30/2016 1:16:09 PM
SGNL Signal Genetics, Inc. Cmn Stk R 8/30/2016 1:41:12 PM
SBPH Spring Bank Pharmaceuticals CS R 8/30/2016 1:52:38 PM
WATT Energous Corporation Cmn R 8/30/2016 1:55:29 PM
VNRCP Vanguard Ntl Rsc 7.75% Pf C Q 8/30/2016 2:01:35 PM
GLBS Globus Maritime Limited R 8/30/2016 2:09:34 PM
NYMX Nymox Pharmaceutical Corp R 8/30/2016 2:19:39 PM
JSYNW Jensyn Acquistion Corp. WT R 8/30/2016 2:35:58 PM
JSYNR Jensyn Acquistion Corp. RT R 8/30/2016 2:36:32 PM
SHSP SharpSpring, Inc. Cmn Stk R 8/30/2016 2:47:21 PM
ICLD InterCloud Systems, Inc. Cmn R 8/30/2016 3:41:13 PM
COVS Covisint Corporation Common Q 8/30/2016 3:52:01 PM
XPLR Xplore Technologies Cmn R 8/30/2016 3:59:56 PM