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, May 26,2017 5/26/2017 4:30:19 PM

Symbol Security Name Market Category Trigger Time
BVXVW BiondVax Pharmaceuticals Wts R 5/25/2017 9:30:00 AM
CYTXW Cytori Therapeutics Inc WT R 5/25/2017 9:30:00 AM
GLBS Globus Maritime Limited R 5/25/2017 9:30:09 AM
CNBKA Century Bancorp, Inc. Q 5/25/2017 9:31:21 AM
VDTH Videocon d2h Limited ADS Q 5/25/2017 9:31:44 AM
SPEX Spherix Incorporated R 5/25/2017 9:32:24 AM
JAGX Jaguar Animal Health, Inc. Cmn R 5/25/2017 9:34:54 AM
MICTW Micronet Enertec Technolog Wts R 5/25/2017 9:37:35 AM
ATOS Atossa Genetics Inc. R 5/25/2017 9:38:25 AM
YECO Yulong Eco-Materials Ltd Ord R 5/25/2017 9:41:55 AM
SPTN SpartanNash Company Q 5/25/2017 9:42:22 AM
RIBTW RiceBran Technologies Warrant R 5/25/2017 9:43:25 AM
SGOC SGOCO Group, Ltd Ord Shr R 5/25/2017 9:52:52 AM
OACQW Origo Acquisition Cp Wts R 5/25/2017 9:54:02 AM
HOTRW Chanticleer Warrants R 5/25/2017 9:57:36 AM
HRMNW Harmony Merger Warrant R 5/25/2017 10:01:33 AM
OHGI One Horizon Group Common Stk R 5/25/2017 10:01:56 AM
CYAD Celyad SA ADS Q 5/25/2017 10:11:07 AM
VTL Vital Therapies, Inc. Q 5/25/2017 10:15:28 AM
PTI Proteostasis Therapeutic Cm Q 5/25/2017 10:24:34 AM
APRI Apricus Biosciences, Inc. R 5/25/2017 10:27:15 AM
NAKD Naked Brand Group Inc. CS R 5/25/2017 10:49:34 AM
BOSC BOS Better Online Solutions R 5/25/2017 11:07:12 AM
MARA Marathon Patent Grp Inc R 5/25/2017 11:31:25 AM
GEVO Gevo, Inc. Common Stock R 5/25/2017 11:32:28 AM
APOPW Cellect Biotechnology Ltd. WT R 5/25/2017 11:35:51 AM
MNGA MagneGas Corporation Cmn Stk R 5/25/2017 11:38:34 AM
CLSN Celsion Corporation R 5/25/2017 11:43:23 AM
FALC FalconStor Software Inc R 5/25/2017 11:56:40 AM
OPHC OPTIMUMBANK HLDGS R 5/25/2017 12:00:29 PM
LMFAW LM Funding America WT R 5/25/2017 12:02:54 PM
QPACW Quinpario Acq Corp 2 Warrant R 5/25/2017 12:26:29 PM
ABIL Ability Inc. R 5/25/2017 12:36:56 PM
INO Inovio Pharmaceuticals Cmn Q 5/25/2017 12:38:03 PM
TVIA TerraVia Holdings, Inc. Q 5/25/2017 1:09:10 PM
SMRT Stein Mart Inc Q 5/25/2017 1:13:30 PM
REXX Rex Energy Corporation R 5/25/2017 1:22:54 PM
PTGX Protagonist Therapeutics CM Q 5/25/2017 1:37:19 PM
DRIO DarioHealth Corp. Cmn Stk R 5/25/2017 1:47:20 PM
OPXAW Opexa Therapeutics Warrant R 5/25/2017 1:48:43 PM
OXBRW Oxbridge Re Hldgs Ltd Warrants R 5/25/2017 1:53:02 PM
BHACR Barington/Hilco Acq Cp Rights R 5/25/2017 1:56:02 PM
EYEGW Eyegate Pharmaceuticals Wts R 5/25/2017 1:56:36 PM
DMTX Dimension Therapeutics Cmn Q 5/25/2017 1:58:27 PM
GNMX Aevi Genomic Medicine Cmn Q 5/25/2017 2:06:17 PM
YIN Yintech Investment Hldings ADS Q 5/25/2017 2:10:02 PM
GTXI GTx, Inc R 5/25/2017 2:13:53 PM
QBAK Qualstar Corporation R 5/25/2017 2:25:59 PM
IDSA Industrial Services of America R 5/25/2017 2:37:56 PM
AREX Approach Resources Inc. Q 5/25/2017 2:38:42 PM
NVUS Novus Therapeutics, Inc. Q 5/25/2017 2:40:31 PM
CERCW Cerecor Inc. Cl A Wt R 5/25/2017 2:49:10 PM
AGFSW AgroFresh Solu Warrants Q 5/25/2017 2:54:40 PM
MBRX Moleculin Biotech, Inc. COM R 5/25/2017 2:58:52 PM
MRAM Everspin Technologies COM Q 5/25/2017 3:07:23 PM
CERS Cerus Corporation Q 5/25/2017 3:09:41 PM
EVEP EV Energy Partners, L.P. Q 5/25/2017 3:14:20 PM
CMLS Cumulus Media Inc R 5/25/2017 3:14:32 PM
UHAL AMERCO Q 5/25/2017 3:15:49 PM
SYRS Syros Pharmaceuticals CM Q 5/25/2017 3:47:34 PM
GSHTW Gores Holdings II, Inc. Wts R 5/25/2017 3:50:43 PM
MPACW Matlin & Partners Acq Wts R 5/25/2017 3:51:24 PM
ONSIZ Oncobiologics, Inc. Ser B Wt Q 5/25/2017 3:52:24 PM
BONT The Bon-Ton Stores Inc Q 5/25/2017 3:54:11 PM
XBIO Xenetic Biosciences Cmn R 5/25/2017 3:57:09 PM
DELTW Delta Tech Hldgs. Warrant R 5/25/2017 3:58:31 PM
NUROW NeuroMetrix, Inc. Wt R 5/25/2017 3:58:31 PM
CYRXW CryoPort, Inc. Warrants R 5/25/2017 3:59:21 PM
FALC FalconStor Software Inc R 5/26/2017 9:30:00 AM
SPI SPI Energy Co ADS Q 5/26/2017 9:30:00 AM
INVT Inventergy Global, Inc. R 5/26/2017 9:30:01 AM
NAKD Naked Brand Group Inc. CS R 5/26/2017 9:30:40 AM
RNVA Rennova Health, Inc. R 5/26/2017 9:30:44 AM
AMTX Aemetis, Inc. Common Stock Q 5/26/2017 9:31:19 AM
HOTRW Chanticleer Warrants R 5/26/2017 9:34:16 AM
MTFB Motif Bio plc ADR R 5/26/2017 9:34:23 AM
MBVX MabVax Therapeutics CS R 5/26/2017 9:35:22 AM
VNET 21Vianet Group Inc Q 5/26/2017 9:36:49 AM
OPGN OpGen, Inc. Common Stock R 5/26/2017 9:37:10 AM
MARA Marathon Patent Grp Inc R 5/26/2017 9:38:18 AM
OPGNW OpGen, Inc. Warrant R 5/26/2017 9:42:21 AM
BCRX BioCryst Pharmaceuticals, Inc. Q 5/26/2017 9:51:43 AM
CLWT Euro Tech Holdings Co Ltd R 5/26/2017 9:51:59 AM
SLNO Soleno Therapeutics, Inc. R 5/26/2017 9:59:27 AM
IZEA IZEA Inc Common Stock R 5/26/2017 10:05:08 AM
OPXAW Opexa Therapeutics Warrant R 5/26/2017 10:26:45 AM
GLYC GlycoMimetics, Inc. Q 5/26/2017 10:29:06 AM
SVRA Savara Inc. Common Stock R 5/26/2017 10:38:03 AM
FNJN Finjan Holdings, Inc. Cmn Stk R 5/26/2017 11:02:11 AM
FMCIR Forum Merger Corporation Rt R 5/26/2017 11:02:34 AM
CYHHZ Community Health Systems, Inc. Q 5/26/2017 11:03:26 AM
DFBG Differential Brands Gp Cmn R 5/26/2017 11:15:49 AM
DRAM DATARAM CORP R 5/26/2017 11:32:26 AM
RIBTW RiceBran Technologies Warrant R 5/26/2017 11:35:57 AM
YTEN Yield10 Bioscience, Inc. R 5/26/2017 11:38:20 AM
MACK Merrimack Pharmaceuticals Inc Q 5/26/2017 11:39:21 AM
DRIOW DarioHealth Corp. Wts R 5/26/2017 11:52:02 AM
SHLD Sears Holdings Corporation Q 5/26/2017 11:58:26 AM
CFRX Contrafect Corp Common R 5/26/2017 12:17:30 PM
AMDA Amedica Corporation R 5/26/2017 12:26:00 PM
ANY Sphere 3D Corp. R 5/26/2017 12:29:39 PM
PAVMW PAVmed Inc. Warrant R 5/26/2017 12:30:15 PM
FENX Fenix Parts, Inc Common Stk Q 5/26/2017 12:57:58 PM
ROSG Rosetta Genomics Ltd R 5/26/2017 1:03:01 PM
IMGN ImmunoGen, Inc. Q 5/26/2017 1:05:02 PM
MSDI Monster Digital, Inc. CS R 5/26/2017 1:49:49 PM
JSYNW Jensyn Acquistion Corp. WT R 5/26/2017 2:18:43 PM
YERR Yangtze River Dvlpmt Ltd Cmn R 5/26/2017 2:42:55 PM
JSYNR Jensyn Acquistion Corp. RT R 5/26/2017 2:55:22 PM
CMLS Cumulus Media Inc R 5/26/2017 3:00:01 PM
JNCE Jounce Therapeutics, Inc. CM Q 5/26/2017 3:04:51 PM
PAACR Pacific Special Acq Rights R 5/26/2017 3:05:35 PM
OMEX Odyssey Marine Exploriation R 5/26/2017 3:08:09 PM
RNVAZ Rennova Health, Inc. WTS R 5/26/2017 3:36:18 PM
REFR Research Frontiers Inc R 5/26/2017 3:40:15 PM
QPACW Quinpario Acq Corp 2 Warrant R 5/26/2017 3:47:59 PM
NK NantKwest, Inc. CS Q 5/26/2017 3:51:29 PM