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, July 22,2016 7/22/2016 4:30:17 PM

Symbol Security Name Market Category Trigger Time
SSH Sunshine Heart Inc R 7/21/2016 9:30:00 AM
CLDCW China Lending Corporation Wt R 7/21/2016 9:30:00 AM
DCTH Delcath Systems Inc. R 7/21/2016 9:30:00 AM
VXDN AccuShares Spot CBOE VIX Down Q 7/21/2016 9:30:00 AM
NEWS NewStar Financial, Inc. Q 7/21/2016 9:30:01 AM
MYRG MYR Group, Inc. Cmn Stk Q 7/21/2016 9:30:01 AM
SPHS Sophiris Bio, Inc. Common Stk R 7/21/2016 9:30:02 AM
ETRM EnteroMedics Inc R 7/21/2016 9:30:06 AM
ESND Essendant Inc. Cmn Stk Q 7/21/2016 9:30:13 AM
GLBS Globus Maritime Limited R 7/21/2016 9:30:14 AM
IMNP Immune Pharma Cmn Stk R 7/21/2016 9:30:35 AM
OPGN OpGen, Inc. Common Stock R 7/21/2016 9:30:38 AM
TBIO Transgenomic Inc. Cmn Stk R 7/21/2016 9:31:55 AM
OPGNW OpGen, Inc. Warrant R 7/21/2016 9:33:46 AM
OPTT Ocean Power Technologies, Inc. R 7/21/2016 9:35:26 AM
STXS Stereotaxis Inc R 7/21/2016 9:36:47 AM
SYRS Syros Pharmaceuticals CM Q 7/21/2016 9:38:19 AM
CAPNW Capnia, Inc. Series A Warrant R 7/21/2016 9:51:26 AM
CPAH CounterPath Corporation R 7/21/2016 9:51:29 AM
TRTLW Terrapin 2 Acquisition Corp R 7/21/2016 9:55:34 AM
RNVA Rennova Health, Inc. R 7/21/2016 9:58:18 AM
RNVAZ Rennova Health, Inc. WTS R 7/21/2016 10:00:36 AM
EYEGW Eyegate Pharmaceuticals Wts R 7/21/2016 10:16:19 AM
MBLX Metabolix, Inc. Cmn Stk R 7/21/2016 10:17:17 AM
BHACW Barington/Hilco Acq Cp Wts R 7/21/2016 10:19:32 AM
GGACR Garnero Grp Acq Right R 7/21/2016 10:24:54 AM
ACPW ACTIVE POWER CMN R 7/21/2016 10:26:32 AM
FFHL Fuwei Films (Holdings) Co R 7/21/2016 10:29:40 AM
AUMAW AR Capital Acquisition R 7/21/2016 10:30:25 AM
PRZM Prism Tech Grp Cmn Stk R 7/21/2016 10:32:38 AM
HBP Huttig Building Products, Inc. R 7/21/2016 10:39:14 AM
MICTW Micronet Enertec Technolog Wts R 7/21/2016 10:42:30 AM
TYPE Monotype Imaging Holdings Inc. Q 7/21/2016 10:56:42 AM
NXTDW Nxt-ID, Inc. Warrant R 7/21/2016 10:57:23 AM
CCCR China Commercial Credit, Inc. R 7/21/2016 10:58:32 AM
NUROW NeuroMetrix, Inc. Wt R 7/21/2016 11:00:27 AM
SGC Superior Uniform Group Inc Q 7/21/2016 11:13:09 AM
CYHHZ Community Health Systems, Inc. Q 7/21/2016 11:14:39 AM
RIBTW RiceBran Technologies Warrant R 7/21/2016 11:18:58 AM
GCVRZ Sanofi CVR Q 7/21/2016 11:42:05 AM
CRTN Cartesian, Inc. Common Stock Q 7/21/2016 11:44:48 AM
HTBX Heat Biologics, Inc. R 7/21/2016 11:45:51 AM
CCRC China Customer Relations ORDS R 7/21/2016 11:54:11 AM
COYN COPsync Inc Common Stock R 7/21/2016 12:20:00 PM
ELECW Electrum Special Acquisitio WT R 7/21/2016 12:21:58 PM
EVOK Evoke Pharma, Inc. Cmn R 7/21/2016 12:53:13 PM
CERU Cerulean Pharma Inc Com Stock Q 7/21/2016 1:09:39 PM
DRWIW DragonWave Inc Warrants R 7/21/2016 1:19:27 PM
AHPI Allied Healthcare Products R 7/21/2016 1:42:53 PM
VNRBP Vanguard Nat Rs 7.625% B Pfd Q 7/21/2016 2:00:50 PM
CFRXW Contrafect Class A Warrants R 7/21/2016 2:07:07 PM
ZFGN Zafgen Inc Common Stock Q 7/21/2016 2:28:18 PM
TWER Towerstream Corporation Cmn R 7/21/2016 2:34:51 PM
ASPS Altisource Portfolio Solutions Q 7/21/2016 2:38:27 PM
AKTX Akari Therapeutics Plc ADR R 7/21/2016 2:40:36 PM
VNRCP Vanguard Ntl Rsc 7.75% Pf C Q 7/21/2016 2:44:38 PM
CLRBZ Cellectar Biosciences Sr A WT R 7/21/2016 2:51:06 PM
MBII Marrone Bio Innovations, Inc. Q 7/21/2016 3:00:41 PM
NIHD NII Holdings, Inc. Cmn Stk Q 7/21/2016 3:11:35 PM
JSYNW Jensyn Acquistion Corp. WT R 7/21/2016 3:22:50 PM
CCCL China Ceramics Co Cmn Stk R 7/21/2016 3:56:58 PM
PZRX PhaseRx, Inc. Cm St R 7/21/2016 4:00:00 PM
EPRS EPIRUS Biopharma Inc R 7/22/2016 9:30:00 AM
HTBX Heat Biologics, Inc. R 7/22/2016 9:30:00 AM
CHCI Comstock Holding Cos., Inc. R 7/22/2016 9:30:00 AM
CFRX Contrafect Corp Common R 7/22/2016 9:30:00 AM
QUMU QUMU CORPORATION Q 7/22/2016 9:30:00 AM
ATHN athenahealth Inc Q 7/22/2016 9:30:00 AM
OPTT Ocean Power Technologies, Inc. R 7/22/2016 9:30:00 AM
HCACW Hennessy Cpital Acq II Warran R 7/22/2016 9:30:00 AM
GGACW Gernero Grp Acq Warrant R 7/22/2016 9:30:00 AM
SMED Sharps Compliance Cmn Stk R 7/22/2016 9:30:00 AM
SALE RetailMeNot, Inc. Q 7/22/2016 9:30:01 AM
ABAX ABAXIS Inc Q 7/22/2016 9:30:03 AM
AWRE Aware Inc Q 7/22/2016 9:30:04 AM
DTSI DTS, Inc. Q 7/22/2016 9:30:04 AM
VALU Value Line Inc R 7/22/2016 9:31:45 AM
ESMC Escalon Medical Corp R 7/22/2016 9:33:22 AM
SWKS Skyworks Solutions Inc Q 7/22/2016 9:33:48 AM
CHEKW Check-Cap Ltd. Srs A Wt R 7/22/2016 9:34:11 AM
TLOG TetraLogic Pharmaceuticals Cor Q 7/22/2016 9:34:43 AM
SAEX SAEXPLORATION HLDGS Q 7/22/2016 9:38:35 AM
CIDM CINEDIGM CORP Q 7/22/2016 9:38:39 AM
RLOG Rand Logistics, Inc. R 7/22/2016 9:39:17 AM
GLBS Globus Maritime Limited R 7/22/2016 9:40:46 AM
MDGS Medigus Ltd ADS R 7/22/2016 9:44:29 AM
SGNL Signal Genetics, Inc. Cmn Stk R 7/22/2016 9:55:35 AM
CNTF China TechFaith Wireless Commu Q 7/22/2016 10:08:33 AM
EGLE Eagle Bulk Shipping NEW Q 7/22/2016 10:11:02 AM
DRYS DryShips Inc. R 7/22/2016 10:17:08 AM
CFCOW CF Corporation WTS R 7/22/2016 10:18:44 AM
DRWIW DragonWave Inc Warrants R 7/22/2016 10:21:28 AM
GEVO Gevo, Inc. Common Stock R 7/22/2016 10:23:07 AM
COSI COSI, INC. R 7/22/2016 10:31:50 AM
SHLDW Sears Holdings Corporation Wrt Q 7/22/2016 10:35:58 AM
ONSIZ Oncobiologics, Inc. Ser B Wt Q 7/22/2016 10:37:45 AM
MDVX Medovex Corp. Cmn R 7/22/2016 10:38:00 AM
ONSIW Oncobiologics, Inc. Ser A Wt Q 7/22/2016 10:39:05 AM
AVEO AVEO Pharmaceuticals, Inc. Q 7/22/2016 10:41:13 AM
MTBC Medical Transcription Blng Cmn R 7/22/2016 10:41:23 AM
MBLX Metabolix, Inc. Cmn Stk R 7/22/2016 10:46:29 AM
EDGW Edgewater Technology Inc Q 7/22/2016 11:06:09 AM
MBII Marrone Bio Innovations, Inc. Q 7/22/2016 11:16:48 AM
TRTLW Terrapin 2 Acquisition Corp R 7/22/2016 11:31:31 AM
RELV Reliv' International Inc R 7/22/2016 11:32:53 AM
STXS Stereotaxis Inc R 7/22/2016 11:41:36 AM
IRCP IRSA Propiedades SA ADS Q 7/22/2016 11:44:46 AM
VKTXW Viking Therapeutics, Inc. WTS R 7/22/2016 11:48:55 AM
RIBTW RiceBran Technologies Warrant R 7/22/2016 11:52:06 AM
MDSY ModSys International Ltd R 7/22/2016 12:00:19 PM
CHEK Check-Cap Ltd. Ord R 7/22/2016 12:19:34 PM
AUMAW AR Capital Acquisition R 7/22/2016 12:33:11 PM
GGACR Garnero Grp Acq Right R 7/22/2016 1:09:00 PM
OPXAW Opexa Therapeutics Warrant R 7/22/2016 1:13:23 PM
ENG ENGlobal Corp Cmn Stk R 7/22/2016 1:27:53 PM
HGSH China HGS Real Estate Cmn Stk R 7/22/2016 1:52:16 PM
BHACW Barington/Hilco Acq Cp Wts R 7/22/2016 1:52:43 PM
ATAI ATA Inc. Q 7/22/2016 2:05:53 PM
QRHC Quest Resource Holding Cp Cmn R 7/22/2016 2:12:45 PM
RGSE Real Goods Solar, Inc. R 7/22/2016 2:19:17 PM
CCRC China Customer Relations ORDS R 7/22/2016 2:25:31 PM
TRTLU Terrapin 3 Acq Cp Uts R 7/22/2016 2:52:32 PM
HDRAR Hydra Industries Acq Rights R 7/22/2016 2:57:47 PM
AMTX Aemetis, Inc. Common Stock Q 7/22/2016 3:00:10 PM
CLDCW China Lending Corporation Wt R 7/22/2016 3:12:45 PM
RNVAZ Rennova Health, Inc. WTS R 7/22/2016 3:27:23 PM
IMNP Immune Pharma Cmn Stk R 7/22/2016 3:37:14 PM
VICL Vical Incorporated R 7/22/2016 3:54:09 PM
GLRI Glori Energy Inc Common Stock R 7/22/2016 3:58:17 PM
CGNT Cogentix Medical, Inc. R 7/22/2016 4:00:00 PM
CFRXW Contrafect Class A Warrants R 7/22/2016 4:41:04 PM
CERCW Cerecor Inc. Cl A Wt R 7/22/2016 4:41:04 PM
NWBOW Northwest Biotherapeutics, Inc R 7/22/2016 4:41:04 PM