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, September 22,2017 9/22/2017 4:30:19 PM

Symbol Security Name Market Category Trigger Time
SCHL Scholastic Corp Q 9/21/2017 9:30:00 AM
RWLK ReWalk Robotics Ltd Ord Shares R 9/21/2017 9:30:00 AM
SLNOW Soleno Therapeutics Wts A R 9/21/2017 9:30:00 AM
CADC China Advd Cnstrctn Mtrls Grp R 9/21/2017 9:30:00 AM
JAKK JAKKS Pacific Inc Q 9/21/2017 9:30:00 AM
BHACW Barington/Hilco Acq Cp Wts R 9/21/2017 9:30:00 AM
AXARW Axar Acquisition Cp. Wt R 9/21/2017 9:30:01 AM
TPIV TapImmune Inc. Cm St R 9/21/2017 9:30:19 AM
PZRX PhaseRx, Inc. Cm St R 9/21/2017 9:31:38 AM
ARGS Argos Therapeutics, Inc. Q 9/21/2017 9:31:39 AM
MBVX MabVax Therapeutics CS R 9/21/2017 9:34:06 AM
FMCIR Forum Merger Corporation Rt R 9/21/2017 9:35:01 AM
IDSA Industrial Services of America R 9/21/2017 9:35:10 AM
PAVM PAVmed Inc. Common Stock R 9/21/2017 9:35:15 AM
CARV Carver Bancorp Inc R 9/21/2017 9:35:38 AM
CYTXW Cytori Therapeutics Inc WT R 9/21/2017 9:36:00 AM
DRNA Dicerna Pharmaceuticals Inc Q 9/21/2017 9:39:45 AM
ACER Acer Therapeutics Inc. R 9/21/2017 9:39:47 AM
CYHHZ Community Health Systems, Inc. Q 9/21/2017 9:47:40 AM
AHPAW Avista Healthcare Pub Acq Wrnt R 9/21/2017 9:48:07 AM
RNVAZ Rennova Health, Inc. WTS R 9/21/2017 9:50:04 AM
LMFAW LM Funding America WT R 9/21/2017 9:52:42 AM
CAPR Capricor Therapeutics Cmn R 9/21/2017 9:56:07 AM
OACQW Origo Acquisition Cp Wts R 9/21/2017 9:56:12 AM
GTYHW GTY Technology Hlds Wts R 9/21/2017 9:59:30 AM
FMCIW Forum Merger Corporation Wt R 9/21/2017 9:59:30 AM
HMNY Helios and Matheson Analytics R 9/21/2017 10:00:11 AM
LEDS SemiLEDs Corporation R 9/21/2017 10:01:28 AM
RELV Reliv' International Inc R 9/21/2017 10:10:21 AM
MYNDW MYnd Analytics, Inc. Wt R 9/21/2017 10:14:58 AM
SIFY Sify Technologies Limited ADS R 9/21/2017 10:19:54 AM
FTFT Future FinTech Group Inc. Q 9/21/2017 10:20:26 AM
MDXG MiMedx Group, Inc R 9/21/2017 10:31:27 AM
ACERW Acer Therapeutics Warrant R 9/21/2017 10:49:56 AM
BLVDW Boulevard Acquisition Co II WT R 9/21/2017 10:54:28 AM
PAVMW PAVmed Inc. Warrant R 9/21/2017 11:24:31 AM
EAGLW Double Eagle Acquisition WT R 9/21/2017 11:34:53 AM
ESDIW Eastside Distilling, Inc. WT R 9/21/2017 11:41:31 AM
SPI SPI Energy Ord Shs Q 9/21/2017 11:44:40 AM
IOTS Adesto Tech Corp Cmn Stk R 9/21/2017 11:54:39 AM
DFBG Differential Brands Gp Cmn R 9/21/2017 12:06:14 PM
NVCN Neovasc Inc. Cmn Shs R 9/21/2017 12:07:23 PM
ICPT Intercept Pharmaceuticals Inc Q 9/21/2017 12:25:32 PM
OACQR Origo Acquisition Cp Rt R 9/21/2017 12:28:28 PM
MSDI Monster Digital, Inc. CS R 9/21/2017 12:35:23 PM
NETE Net Element, Inc. R 9/21/2017 12:45:35 PM
BELFA Bel Fuse Inc Cl A Q 9/21/2017 12:54:31 PM
FRSX Foresight Autonomous Holdings R 9/21/2017 12:55:04 PM
TOCA Tocagen Inc. Common Stock Q 9/21/2017 1:00:40 PM
APDNW Applied DNA Scien Warrant R 9/21/2017 1:11:58 PM
CLDC China Lending Corp Ord Shs R 9/21/2017 1:14:35 PM
VSTM Verastem, Inc. Q 9/21/2017 2:02:16 PM
DMPI DelMar Pharma Common Stock R 9/21/2017 2:42:59 PM
BSQR BSQUARE Corporation Q 9/21/2017 3:26:30 PM
ROSEU Rosehill Resources Inc. Ut R 9/21/2017 3:27:46 PM
ARCI Appliance Recycling Centers R 9/21/2017 3:38:59 PM
HDSN Hudson Technologies R 9/21/2017 3:44:56 PM
RUN Sunrun Inc. Common Stock Q 9/21/2017 3:47:28 PM
PLUG Plug Power Inc R 9/21/2017 3:48:31 PM
AZRX AzurRx BioPharma, Inc. Cm St R 9/21/2017 3:58:04 PM
MIND Mitcham Industries Q 9/21/2017 3:59:58 PM
BHACW Barington/Hilco Acq Cp Wts R 9/22/2017 9:30:00 AM
VSAR Versartis, Inc. Cmn Stk Q 9/22/2017 9:30:00 AM
FALC FalconStor Software Inc R 9/22/2017 9:30:00 AM
FINL The Finish Line Inc Cl A Q 9/22/2017 9:30:04 AM
ICPT Intercept Pharmaceuticals Inc Q 9/22/2017 9:30:50 AM
EXEL Exelixis, Inc. Q 9/22/2017 9:31:01 AM
ONS Oncobiologics, Inc. Cm St Q 9/22/2017 9:31:03 AM
RVLT Revolution Lighting Tech Cmn R 9/22/2017 9:32:56 AM
HPJ Highpower International Inc Q 9/22/2017 9:34:47 AM
ALQA Alliqua BioMedical, Inc. R 9/22/2017 9:35:38 AM
WVVIP Willamette Valley Vi Pref St A R 9/22/2017 9:35:39 AM
MBVX MabVax Therapeutics CS R 9/22/2017 9:36:05 AM
CYCC Cyclacel Pharmaceuticals, Inc. R 9/22/2017 9:36:55 AM
CLIRW ClearSign Combustion Cp Wrt R 9/22/2017 9:37:43 AM
NVUS Novus Therapeutics, Inc. R 9/22/2017 9:39:17 AM
CUR Neuralstem, Inc. R 9/22/2017 9:39:37 AM
PZRX PhaseRx, Inc. Cm St R 9/22/2017 9:44:14 AM
LMFA LM Funding America Cmn Stk R 9/22/2017 9:50:54 AM
ESDIW Eastside Distilling, Inc. WT R 9/22/2017 10:10:13 AM
RTK Rentech Inc. Common Stock R 9/22/2017 10:11:19 AM
SPI SPI Energy Ord Shs Q 9/22/2017 10:34:53 AM
FTFT Future FinTech Group Inc. Q 9/22/2017 10:43:00 AM
ATOS Atossa Genetics Inc. R 9/22/2017 10:43:31 AM
ZLAB Zai Lab Limited ADS Q 9/22/2017 10:52:10 AM
XBIO Xenetic Biosciences Cmn R 9/22/2017 11:02:06 AM
ORPN Bioblast Pharma Ltd. R 9/22/2017 11:02:43 AM
CDXC ChromaDex Corp CS R 9/22/2017 11:03:17 AM
FNTEW FinTech Acquisition Cp II Wt R 9/22/2017 11:04:51 AM
APOPW Cellect Biotechnology Ltd. WT R 9/22/2017 11:16:12 AM
VBLT Vascular Biogenics Ltd Ord Sh Q 9/22/2017 11:30:55 AM
SBFGP SB Financial Group Dep Shrs R 9/22/2017 11:39:40 AM
GEVO Gevo, Inc. Common Stock R 9/22/2017 11:43:04 AM
GROW U.S. Global Investors Inc R 9/22/2017 11:45:20 AM
NXTD Nxt-ID, Inc. Common Stock R 9/22/2017 11:54:17 AM
NXTDW Nxt-ID, Inc. Warrant R 9/22/2017 11:55:56 AM
ABAC Aoxin Tianli Grp Inc R 9/22/2017 12:07:26 PM
YOGA YogaWorks, Inc. CM Q 9/22/2017 12:12:34 PM
CTXRW Citius Pharmaceuticals Wt R 9/22/2017 12:19:10 PM
OACQW Origo Acquisition Cp Wts R 9/22/2017 1:01:13 PM
TYHT Shineco Inc Common Stock R 9/22/2017 1:04:38 PM
ABEOW Abeona Therapeutics Wts R 9/22/2017 1:16:35 PM
CBAK CBAK Energy Technology, Inc. Q 9/22/2017 1:22:32 PM
AXARW Axar Acquisition Cp. Wt R 9/22/2017 2:15:20 PM
DMPI DelMar Pharma Common Stock R 9/22/2017 2:44:46 PM
KTOVW Kitov Pharamceuticals Hold Wt R 9/22/2017 2:47:07 PM
DCIX Diana Containerships Inc. Cm Q 9/22/2017 3:18:08 PM
OREX Orexigen Therapeutics, Inc. Q 9/22/2017 3:26:53 PM
ANY Sphere 3D Corp. R 9/22/2017 3:27:37 PM
LTEA Long Island Iced Tea Corp. CM R 9/22/2017 3:38:24 PM
FCSC Fibrocell Science Inc Cmn Stk R 9/22/2017 3:46:09 PM
ARTW Arts-Way Manufacturing Co R 9/22/2017 3:51:53 PM
STLRW Stellar Acquisition III WRT R 9/22/2017 3:58:31 PM
CYTXW Cytori Therapeutics Inc WT R 9/22/2017 3:58:31 PM