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
Monday, August 29,2016 8/29/2016 4:15:18 AM

Symbol Security Name Market Category Trigger Time
TLND Talend S.A. ADR Q 8/26/2016 9:30:00 AM
PRZM Prism Tech Grp Cmn Stk R 8/26/2016 9:30:00 AM
XCOM Xtera Communicat Common Stock Q 8/26/2016 9:30:00 AM
ACET Aceto Corporation Q 8/26/2016 9:30:00 AM
CLRBW Cellectar Biosciences Wts R 8/26/2016 9:32:35 AM
GSM Ferroglobe PLC OS Q 8/26/2016 9:32:40 AM
ULTR Ultrapetrol (Bahamas) Limited R 8/26/2016 9:32:49 AM
MDVX Medovex Corp. Cmn R 8/26/2016 9:33:14 AM
CSBR Champions Oncology Cm St R 8/26/2016 9:34:40 AM
ATOS Atossa Genetics Inc. R 8/26/2016 9:40:14 AM
BRCD Brocade Communications Systems Q 8/26/2016 9:40:52 AM
NYMX Nymox Pharmaceutical Corp R 8/26/2016 9:45:37 AM
CYHHZ Community Health Systems, Inc. Q 8/26/2016 9:49:14 AM
APDNW Applied DNA Scien Warrant R 8/26/2016 10:13:40 AM
CAPNW Capnia, Inc. Series A Warrant R 8/26/2016 10:39:17 AM
MYOS MYOS RENS Tech Cmn R 8/26/2016 10:43:37 AM
CERCW Cerecor Inc. Cl A Wt R 8/26/2016 10:55:03 AM
CERCZ Cerecor Inc. Cl B Wt R 8/26/2016 10:55:37 AM
CBLI Cleveland BioLabs Inc R 8/26/2016 11:19:26 AM
CORI Corium International Cmn Q 8/26/2016 11:23:00 AM
FNJN Finjan Holdings, Inc. Cmn Stk R 8/26/2016 11:52:56 AM
SPLK Splunk Inc Q 8/26/2016 12:07:05 PM
CADC China Advd Cnstrctn Mtrls Grp R 8/26/2016 12:08:34 PM
STEM StemCells Inc R 8/26/2016 12:27:09 PM
AAME Atlantic American Corporation Q 8/26/2016 12:33:20 PM
PRPH ProPhase Labs, Inc. R 8/26/2016 12:33:23 PM
IKGH Iao Kun Group Holding Co. Ltd. Q 8/26/2016 12:36:10 PM
JASNW Jason Industries, Inc. Warrant R 8/26/2016 12:49:14 PM
PTI Proteostasis Therapeutic Cm Q 8/26/2016 1:05:24 PM
ZSAN Zosano Pharma Corporation Cmn R 8/26/2016 1:25:18 PM
FALC FalconStor Software Inc R 8/26/2016 1:34:13 PM
ACTS Actions Semiconductor Co Ltd Q 8/26/2016 1:39:54 PM
XBIT XBiotech Inc. Cmn Q 8/26/2016 1:56:49 PM
URRE URANIUM RESOURCES R 8/26/2016 2:05:23 PM
PTX Pernix Therapeutics Hldgs Cm Q 8/26/2016 2:25:42 PM
OGXI OncoGenex Pharmaceuticals Inc R 8/26/2016 2:26:32 PM
VXDN AccuShares Spot CBOE VIX Down Q 8/26/2016 2:37:31 PM
JSYNW Jensyn Acquistion Corp. WT R 8/26/2016 2:40:03 PM
AMSWA American Software Inc Cl A Q 8/26/2016 2:44:06 PM
KMPH KemPharm, Inc. Cmn Q 8/26/2016 2:52:01 PM
ONTXW Onconova Therapeutics, Inc. WT R 8/26/2016 2:58:21 PM
HTBX Heat Biologics, Inc. R 8/26/2016 3:20:19 PM
AUMAW AR Capital Acquisition R 8/26/2016 3:24:04 PM
HCACW Hennessy Cpital Acq II Warran R 8/26/2016 3:29:01 PM
GALT Galectin Therapeutics Cmn Stk R 8/26/2016 3:35:47 PM
TOPS TOP Ships Inc R 8/26/2016 3:37:44 PM
PAACW Pacific Special Acq Warrant R 8/26/2016 3:40:01 PM
BHACW Barington/Hilco Acq Cp Wts R 8/26/2016 3:40:27 PM
GPIAW GP Investments Acquisition Wt R 8/26/2016 3:40:48 PM
ELECW Electrum Special Acquisitio WT R 8/26/2016 3:41:15 PM
ANDAW Andina Acq CP WT R 8/26/2016 3:42:14 PM
NXTDW Nxt-ID, Inc. Warrant R 8/26/2016 3:58:31 PM
LMFAW LM Funding America WT R 8/26/2016 3:59:53 PM