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, April 29,2016 4/29/2016 4:30:26 PM

Symbol Security Name Market Category Trigger Time
SGI Silicon Graphics Int'l Corp Q 4/28/2016 9:30:00 AM
SGYPW Synergy Pharma AWarrants R 4/28/2016 9:30:00 AM
INFN Infinera Corporation Q 4/28/2016 9:30:00 AM
IPGP IPG Photonics Corporation Q 4/28/2016 9:30:00 AM
SHIP Seanergy Maritime Hld Corp R 4/28/2016 9:30:00 AM
UTHR United Therapeutics Corp Q 4/28/2016 9:30:00 AM
REDF Rediff.com India Limited ADS R 4/28/2016 9:30:00 AM
SAEX SAEXPLORATION HLDGS Q 4/28/2016 9:30:00 AM
WHLRW Wheeler REIT Warrants R 4/28/2016 9:30:00 AM
OSIS OSI Systems Inc Q 4/28/2016 9:30:00 AM
STMP Stamps.com Inc Q 4/28/2016 9:30:00 AM
TFSCR 1347 Capital Corp. Rights R 4/28/2016 9:30:00 AM
ODFL Old Dominion Freight Line Inc Q 4/28/2016 9:30:01 AM
ISIG Insignia Systems Inc R 4/28/2016 9:30:12 AM
MSTR MicroStrategy Inc Q 4/28/2016 9:30:25 AM
NRX NephroGenex Inc R 4/28/2016 9:30:26 AM
PRAH PRA Health Sciences, Inc. CS Q 4/28/2016 9:30:58 AM
XLNX Xilinx, Inc. Q 4/28/2016 9:31:27 AM
LGCY Legacy Reserves LP Q 4/28/2016 9:31:30 AM
ULBI Ultralife Corporation Q 4/28/2016 9:31:43 AM
RCII Rent-A-Center Inc Q 4/28/2016 9:31:50 AM
REPH Recro Pharma, Inc. R 4/28/2016 9:32:18 AM
ADMS Adamas Pharmaceuticals, Inc Cm Q 4/28/2016 9:34:47 AM
MCUR Macrocure Ltd. Ord Shares Q 4/28/2016 9:34:49 AM
FALC FalconStor Software Inc Q 4/28/2016 9:36:00 AM
LPTN Lpath, Inc. Class A Cmn Stk R 4/28/2016 9:37:40 AM
HOLX Hologic, Inc. Q 4/28/2016 9:37:49 AM
LLEX Lilis Energy, Inc. Cmn Stk R 4/28/2016 9:40:39 AM
FHCO Female Health Company (The) R 4/28/2016 9:42:18 AM
JSYNW Jensyn Acquistion Corp. WT R 4/28/2016 9:43:02 AM
OGXI OncoGenex Pharmaceuticals Inc R 4/28/2016 9:48:25 AM
TAX Liberty Tax, Inc Cl A Cmn St Q 4/28/2016 9:51:31 AM
VKTXW Viking Therapeutics, Inc. WTS R 4/28/2016 9:52:43 AM
NVDQ Novadaq Technologies Cmn Stk Q 4/28/2016 9:54:44 AM
LLNW Limelight Networks, Inc. Q 4/28/2016 10:01:14 AM
RADA Rada Electronic Industries Ltd R 4/28/2016 10:17:59 AM
RXDX Ignyta, Inc. Common Stock R 4/28/2016 10:28:44 AM
LINC Lincoln Educational Services C Q 4/28/2016 10:38:10 AM
JSYNR Jensyn Acquistion Corp. RT R 4/28/2016 10:50:14 AM
GRSHW Gores Holdings, Inc WARR R 4/28/2016 10:51:31 AM
GNVC GenVec Inc R 4/28/2016 10:58:40 AM
BKCC BlackRock Capital Invt Cp Q 4/28/2016 11:00:14 AM
THRM Gentherm Inc Common Stk Q 4/28/2016 11:02:40 AM
DRWIW DragonWave Inc Warrants R 4/28/2016 11:04:03 AM
APWC Asia Pacific Wire & Cable Copr Q 4/28/2016 11:04:56 AM
EBIO Eleven Biotherapeutics, Inc. Q 4/28/2016 11:13:13 AM
SPEX Spherix Incorporated R 4/28/2016 11:13:15 AM
YRCW YRC Worldwide Inc Q 4/28/2016 11:13:43 AM
GPACW Global Partner Acq. Corp Wrt R 4/28/2016 11:49:59 AM
TLOG TetraLogic Pharmaceuticals Cor Q 4/28/2016 11:58:14 AM
MNKD MannKind Corporation Q 4/28/2016 12:11:54 PM
EVAR Lombard Medical, Inc. Ord Shs Q 4/28/2016 12:23:34 PM
SPI SPI Energy Co ADS Q 4/28/2016 12:26:05 PM
RILY B. Riley Financial Cmn Stk R 4/28/2016 12:28:56 PM
YOD YOU On Demand Holdings Cmn Stk R 4/28/2016 1:02:13 PM
MOKO MOKO Social Media Ltd ADR Q 4/28/2016 1:10:33 PM
CAVM Cavium, Inc. Q 4/28/2016 1:12:15 PM
DELT Delta Technology Hld Ltd Ord R 4/28/2016 1:16:14 PM
AMOV America Movil SAB de CV A ADS Q 4/28/2016 1:41:52 PM
TBPH Theravance Biophr Ord Shs Q 4/28/2016 1:44:12 PM
SMLR Semler Scientific, Inc. R 4/28/2016 1:52:49 PM
CLACW Capitol Acq Corp. III Warrants R 4/28/2016 2:04:12 PM
FCAP First Capital Inc R 4/28/2016 2:04:17 PM
EVEP EV Energy Partners, L.P. Q 4/28/2016 2:11:11 PM
TGEN Tecogen Inc Cmn Stk R 4/28/2016 2:17:04 PM
CETC Hongli Clean Energy Tech Cp R 4/28/2016 2:23:54 PM
INNL Innocoll Holdings plc Ord Sh Q 4/28/2016 2:55:03 PM
ADMA ADMA Biologics Inc Com R 4/28/2016 3:17:14 PM
CVTI Covenant Transportation Group Q 4/28/2016 3:25:18 PM
AREX Approach Resources Inc. Q 4/28/2016 3:30:27 PM
SCON SUPERCONDUCTOR TECH R 4/28/2016 3:32:49 PM
VNRAP Vanguard Ntl Rsc 7.857% Pf A Q 4/28/2016 3:39:20 PM
CNXR Connecture, Inc. Cmn Q 4/28/2016 3:41:23 PM
ETRM EnteroMedics Inc R 4/28/2016 3:46:53 PM
AEMD Aethlon Medical Common R 4/28/2016 3:54:59 PM
PXLW Pixelworks Inc Q 4/28/2016 3:59:16 PM
OXBRW Oxbridge Re Hldgs Ltd Warrants R 4/28/2016 4:37:39 PM
DRWIW DragonWave Inc Warrants R 4/29/2016 9:30:00 AM
LPTN Lpath, Inc. Class A Cmn Stk R 4/29/2016 9:30:00 AM
SRCL Stericycle, Inc. Q 4/29/2016 9:30:00 AM
COWN Coewn Group Inc. Q 4/29/2016 9:30:00 AM
EPAY Bottomline Technologies Inc Q 4/29/2016 9:30:00 AM
IMGN ImmunoGen, Inc. Q 4/29/2016 9:30:00 AM
BIOC Biocept Inc R 4/29/2016 9:30:00 AM
PKOH Park-Ohio Hldgs Corp Q 4/29/2016 9:30:00 AM
CPHD Cepheid Q 4/29/2016 9:30:00 AM
MERC Mercer International Inc Q 4/29/2016 9:30:00 AM
SYNA Synaptics Inc. Q 4/29/2016 9:30:00 AM
GLNG Golar LNG Limited Common Share Q 4/29/2016 9:30:00 AM
SHOR ShoreTel, Inc. Q 4/29/2016 9:30:00 AM
AMCC Applied Micro Circuits Q 4/29/2016 9:30:01 AM
ZEUS Olympic Steel Inc Q 4/29/2016 9:30:02 AM
MOBL MobileIron, Inc. Cmn Stk Q 4/29/2016 9:30:02 AM
GRPN Groupon, Inc. Cl A Cmn Stk Q 4/29/2016 9:30:09 AM
SRCLP Stericycle, Inc. DepSh Q 4/29/2016 9:31:03 AM
LBIX Leading Brands Inc R 4/29/2016 9:35:32 AM
STX Seagate Technology Ord Shs Q 4/29/2016 9:35:38 AM
NSIT Insight Enterprises Inc Q 4/29/2016 9:36:02 AM
CADC China Advd Cnstrctn Mtrls Grp R 4/29/2016 9:36:09 AM
NRX NephroGenex Inc R 4/29/2016 9:39:13 AM
CERCW Cerecor Inc. Cl A Wt R 4/29/2016 9:39:27 AM
VKTXW Viking Therapeutics, Inc. WTS R 4/29/2016 9:45:01 AM
ISIG Insignia Systems Inc R 4/29/2016 9:49:43 AM
WDC Western Digital Corp Cmn Stk Q 4/29/2016 9:51:06 AM
SINO Sino-Global Shipping America, R 4/29/2016 9:54:20 AM
SMLR Semler Scientific, Inc. R 4/29/2016 9:54:53 AM
HWAY Healthways, Inc. Q 4/29/2016 9:55:07 AM
MDCA MDC Partners Inc Q 4/29/2016 9:56:17 AM
NEOT Neothetics, Inc. Cmn Q 4/29/2016 9:56:46 AM
NAII Natural Alternatives Intl Inc Q 4/29/2016 9:58:02 AM
HTGM HTG Molecular Diagnostics Cmn Q 4/29/2016 10:01:00 AM
ABAC Aoxin Tianli Grp Inc R 4/29/2016 10:09:01 AM
ATOS Atossa Genetics Inc. R 4/29/2016 10:09:57 AM
WVE WAVE Life Scienc Ord Shares Q 4/29/2016 10:30:12 AM
GNOW American CareSource Hldgs R 4/29/2016 10:31:54 AM
JTPY JetPay Corporation R 4/29/2016 10:33:20 AM
ADXSW Advaxis, Inc. Warrants R 4/29/2016 10:36:20 AM
QKLS QKL STORES INC R 4/29/2016 10:52:46 AM
MOSY MoSys, Inc. Q 4/29/2016 10:53:30 AM
GBIM GlobeImmune, Inc Cmn R 4/29/2016 10:57:26 AM
CLRBZ Cellectar Biosciences Sr A WT R 4/29/2016 11:22:12 AM
TLOG TetraLogic Pharmaceuticals Cor Q 4/29/2016 11:25:20 AM
OMED OncoMed Pharmaceuticals, Inc. Q 4/29/2016 11:27:02 AM
WINT Windtree Therapeutics, Inc. R 4/29/2016 11:28:33 AM
UBIO ProShares UltraPro NQ Biotec Q 4/29/2016 11:30:14 AM
ZYNE Zynerba Pharmaceuticals CS Q 4/29/2016 11:36:16 AM
DCIX Diana Containerships Inc. Q 4/29/2016 11:36:50 AM
CMLS Cumulus Media Inc Q 4/29/2016 11:37:50 AM
CLUB Town Sports International Hold Q 4/29/2016 11:43:06 AM
TBBK The Bancorp Inc Q 4/29/2016 11:46:23 AM
VSAR Versartis, Inc. Cmn Stk Q 4/29/2016 11:46:34 AM
CBIO Catalyst Biosciences Cmn Stk R 4/29/2016 11:51:21 AM
IMMU Immunomedics, Inc. Q 4/29/2016 11:56:23 AM
WLRHW WL Ross Holding Corp Warrant R 4/29/2016 12:02:15 PM
CYTX Cytori Therapeutics Inc. R 4/29/2016 12:04:47 PM
CCCR China Commercial Credit, Inc. R 4/29/2016 12:12:09 PM
OPXAW Opexa Therapeutics Warrant R 4/29/2016 12:24:13 PM
LLEX Lilis Energy, Inc. Cmn Stk R 4/29/2016 12:27:10 PM
MOKO MOKO Social Media Ltd ADR Q 4/29/2016 12:32:50 PM
UNXL Uni-Pixel, Inc. Cmn Stk R 4/29/2016 12:35:54 PM
FALC FalconStor Software Inc Q 4/29/2016 12:48:20 PM
ATRC AtriCure Inc Q 4/29/2016 12:56:50 PM
MHGC Morgans Hotel Group Co Q 4/29/2016 1:05:56 PM
CYCC Cyclacel Pharmaceuticals, Inc. R 4/29/2016 1:11:07 PM
LGCYO Legacy Reserves Cum Pfd Sr B Q 4/29/2016 1:26:53 PM
NFEC NF Energy Saving Corporation R 4/29/2016 1:38:12 PM
ORIG Ocean Rig UDW Inc Q 4/29/2016 1:46:26 PM
RNVA Rennova Health, Inc. R 4/29/2016 1:46:43 PM
WRES Warren Resources ,Inc. Q 4/29/2016 1:58:34 PM
CLRBW Cellectar Biosciences Wts R 4/29/2016 1:59:48 PM
ARGS Argos Therapeutics, Inc. Q 4/29/2016 2:09:41 PM
CLRB Cellectar Biosciences Cmn St R 4/29/2016 2:21:25 PM
INAP Internap Corp Cmn Stk Q 4/29/2016 2:22:20 PM
CBMX COMBIMATRIX CORP R 4/29/2016 2:22:26 PM
MFRI MFRI Inc Q 4/29/2016 2:27:22 PM
IESC Integrated Electrical Services Q 4/29/2016 2:28:29 PM
APDNW Applied DNA Scien Warrant R 4/29/2016 2:33:01 PM
LIVE Live Ventures Inc Cmn Stk R 4/29/2016 2:44:44 PM
AGEN Agenus Inc. R 4/29/2016 2:52:49 PM
DMTX Dimension Therapeutics Cmn Q 4/29/2016 2:59:08 PM
CERU Cerulean Pharma Inc Com Stock Q 4/29/2016 3:08:58 PM
VYGR Voyager Therapeutics Cm St Q 4/29/2016 3:10:00 PM
CDOR Condor Hospitality Trust, Inc. Q 4/29/2016 3:14:12 PM
RLOC ReachLocal, Inc. Q 4/29/2016 3:16:02 PM
VLTC VOLTARI CORP CMN R 4/29/2016 3:20:35 PM
DRIOW LabStyle Innovations Corp. WT R 4/29/2016 3:30:14 PM
FSAM Fifth Street Asset Cmn Q 4/29/2016 3:30:57 PM
SAUC Diversified Restaurant Hldgs R 4/29/2016 3:33:47 PM
STDY SteadyMed Ltd Ord Shares Q 4/29/2016 3:36:01 PM
LEDS SemiLEDs Corporation R 4/29/2016 3:38:12 PM
CYRXW CryoPort, Inc. Warrants R 4/29/2016 3:39:07 PM
TRCH Torchlight Energy Rsrc Cmn R 4/29/2016 3:42:06 PM
NVCN Neovasc Inc. Cmn Shs R 4/29/2016 3:54:37 PM
SHLD Sears Holdings Corporation Q 4/29/2016 3:55:01 PM
OCLSW Oculus Innovative Sciences WT R 4/29/2016 3:59:04 PM
EVAR Lombard Medical, Inc. Ord Shs Q 4/29/2016 3:59:58 PM