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, February 24,2017 2/24/2017 4:15:19 AM

Symbol Security Name Market Category Trigger Time
ARRS ARRIS Int'l plc Q 2/23/2017 9:30:00 AM
AFH Atlas Financial Holdings, Inc. R 2/23/2017 9:30:00 AM
MICTW Micronet Enertec Technolog Wts R 2/23/2017 9:30:00 AM
OACQW Origo Acquisition Cp Wts R 2/23/2017 9:30:00 AM
ORIG Ocean Rig UDW Inc Q 2/23/2017 9:30:00 AM
JACK Jack In The Box Inc. Cmn Q 2/23/2017 9:30:00 AM
OACQR Origo Acquisition Cp Rts R 2/23/2017 9:30:00 AM
CYCC Cyclacel Pharmaceuticals, Inc. R 2/23/2017 9:30:00 AM
ELGX Endologix, Inc. Q 2/23/2017 9:30:00 AM
DCTH Delcath Systems Inc. R 2/23/2017 9:30:01 AM
AAON AAON Inc Q 2/23/2017 9:30:03 AM
NAKD Naked Brand Group Inc. CS R 2/23/2017 9:30:12 AM
DRYS DryShips Inc. R 2/23/2017 9:31:37 AM
BASI Bioanalytical Systems Inc R 2/23/2017 9:31:44 AM
XPER Xperi Corporation Q 2/23/2017 9:32:24 AM
CTHR Charles & Colvard Ltd Q 2/23/2017 9:32:52 AM
HOTRW Chanticleer Warrants R 2/23/2017 9:33:46 AM
MDVX Medovex Corp. Cmn R 2/23/2017 9:36:00 AM
IDCC InterDigital, Inc. Q 2/23/2017 9:36:53 AM
CPSH CPS Technologies Cp Cmn R 2/23/2017 9:38:27 AM
WB Weibo Corporation ADS Q 2/23/2017 9:40:26 AM
BNTCW Benitec Biopharma Warrant R 2/23/2017 9:43:15 AM
SPAR Spartan Motors Inc Q 2/23/2017 9:43:22 AM
IFON InfoSonic Corp R 2/23/2017 9:47:27 AM
VIVE Viveve Medical, Inc. Cm St R 2/23/2017 9:48:11 AM
HRMNW Harmony Merger Warrant R 2/23/2017 9:53:07 AM
FARO FARO Tech Inc Q 2/23/2017 9:57:57 AM
MBOT Microbot Medical Inc R 2/23/2017 9:58:40 AM
AAPC Atlantic Alliance Partner. Ord R 2/23/2017 9:59:54 AM
CLACW Capitol Acq Corp. III Warrants R 2/23/2017 10:00:13 AM
RTNB root9B Holdings, Inc. R 2/23/2017 10:06:09 AM
MRDNW Meridian Waste Solutions WTS R 2/23/2017 10:06:11 AM
ICON Iconix Brand Group, Inc. Q 2/23/2017 10:09:20 AM
IFMK iFresh Inc. Cm St R 2/23/2017 10:13:31 AM
GPACW Global Partner Acq. Corp Wrt R 2/23/2017 10:14:38 AM
IOTS Adesto Tech Corp Cmn Stk R 2/23/2017 10:16:44 AM
MDVXW Medovex Corp Cl A Wt R 2/23/2017 10:17:29 AM
ONTXW Onconova Therapeutics, Inc. WT R 2/23/2017 10:18:02 AM
SINA SINA Corporation Q 2/23/2017 10:20:56 AM
GALTW Galectin Therapeutics Inc. Wts R 2/23/2017 10:20:58 AM
VISN VisionChina Media, Inc. Q 2/23/2017 10:22:08 AM
OGXI OncoGenex Pharmaceuticals Inc R 2/23/2017 10:28:50 AM
USEG U S Energy Corp R 2/23/2017 10:37:17 AM
GEVO Gevo, Inc. Common Stock R 2/23/2017 10:45:09 AM
EYEGW Eyegate Pharmaceuticals Wts R 2/23/2017 10:49:11 AM
SRAX Social Reality Cl A Cmn Stk R 2/23/2017 10:51:41 AM
GRVY GRAVITY Co., Ltd. R 2/23/2017 10:55:44 AM
SNGX Soligenix, Inc. R 2/23/2017 10:57:29 AM
ZSAN Zosano Pharma Corporation Cmn R 2/23/2017 10:59:59 AM
GTLS Chart Industries Inc Q 2/23/2017 11:06:16 AM
VKTXW Viking Therapeutics, Inc. WTS R 2/23/2017 11:07:31 AM
RELV Reliv' International Inc R 2/23/2017 11:08:48 AM
BBGI Beasley Broadcast Group Inc Q 2/23/2017 11:11:27 AM
UFPI Universal Forest Products Inc. Q 2/23/2017 11:13:21 AM
NXTD Nxt-ID, Inc. Common Stock R 2/23/2017 11:14:50 AM
TROVU Trovagene, Inc. R 2/23/2017 11:15:29 AM
DFBG Differential Brands Gp Cmn R 2/23/2017 11:18:50 AM
NXTDW Nxt-ID, Inc. Warrant R 2/23/2017 11:22:28 AM
TORM TOR Minerals International Inc R 2/23/2017 11:30:05 AM
RNVAZ Rennova Health, Inc. WTS R 2/23/2017 11:32:58 AM
JASNW Jason Industries, Inc. Warrant R 2/23/2017 11:37:35 AM
OHGI One Horizon Group Common Stk R 2/23/2017 11:40:16 AM
IVAC Intevac Inc Q 2/23/2017 11:41:34 AM
CBLI Cleveland BioLabs Inc R 2/23/2017 11:59:18 AM
LE Lands' End, Inc Cmn Stk R 2/23/2017 12:05:10 PM
DMTX Dimension Therapeutics Cmn Q 2/23/2017 12:06:47 PM
TROVW Trovagene inc warrant R 2/23/2017 12:32:31 PM
CELGZ Celgene Cp Cntgnt Value Rts Q 2/23/2017 12:37:20 PM
KIN Kindred Biosciences, Inc. R 2/23/2017 12:37:21 PM
MANT ManTech International Corp Q 2/23/2017 12:42:14 PM
SNOAW Sonoma Pharma Wts R 2/23/2017 12:44:13 PM
CLRB Cellectar Biosciences Cmn St R 2/23/2017 12:59:06 PM
EGAN eGain Corporation R 2/23/2017 1:05:32 PM
BLPH Bellerophon Thera Common Stock Q 2/23/2017 1:08:27 PM
CFRX Contrafect Corp Common R 2/23/2017 1:20:17 PM
ARGS Argos Therapeutics, Inc. Q 2/23/2017 1:28:15 PM
FVE Five Star Qlty Care Cmn Stk R 2/23/2017 1:39:58 PM
CAPNW Capnia, Inc. Series A Warrant R 2/23/2017 1:55:06 PM
HNH Handy & Harman Ltd. R 2/23/2017 2:28:39 PM
CLIRW ClearSign Combustion Cp Wrt R 2/23/2017 2:31:28 PM
DELTW Delta Tech Hldgs. Warrant R 2/23/2017 2:31:51 PM
ONCS OncoSec Medical Inc Cmn R 2/23/2017 2:37:18 PM
FENX Fenix Parts, Inc Common Stk Q 2/23/2017 2:55:05 PM
AGFSW AgroFresh Solu Warrants Q 2/23/2017 2:58:12 PM
RTTR Ritter Pharmaceuticals, CM R 2/23/2017 3:12:31 PM
SHOS Sears Hometown & Outlet Stores R 2/23/2017 3:14:43 PM
HSON Hudson Global, Inc. Cmn Stk Q 2/23/2017 3:15:53 PM
FNCX Function(x) Inc. R 2/23/2017 3:15:55 PM
AETI American Electric Technologies R 2/23/2017 3:35:09 PM
BCLI Brainstorm Cell Therptcs Cmn R 2/23/2017 3:35:42 PM
PPHMP Peregrine Pharmaceuticals Inc. R 2/23/2017 3:46:03 PM
MLNK ModusLink Global Solutns Cmn Q 2/23/2017 3:47:40 PM
NVDA NVIDIA Corporation Q 2/23/2017 3:48:08 PM
SKYS Sky Solar Holdings ADS R 2/23/2017 3:54:31 PM
RXIIW RXi Pharmaceuticals Corp R 2/23/2017 3:58:31 PM