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, December 2,2016 12/2/2016 4:30:17 PM

Symbol Security Name Market Category Trigger Time
GENE Genetic Technologies Ltd ADS R 12/1/2016 9:30:00 AM
HTBX Heat Biologics, Inc. R 12/1/2016 9:30:00 AM
NXEOW Nexeo Solutions, Inc. Warrant R 12/1/2016 9:30:00 AM
FCEL FuelCell Energy, Inc. Q 12/1/2016 9:30:00 AM
CYHHZ Community Health Systems, Inc. Q 12/1/2016 9:30:00 AM
ARDM Aradigm Corporation Cmn Stk R 12/1/2016 9:30:00 AM
PZRX PhaseRx, Inc. Cm St R 12/1/2016 9:30:00 AM
LMFAW LM Funding America WT R 12/1/2016 9:30:00 AM
SGYPW Synergy Pharma AWarrants R 12/1/2016 9:30:00 AM
URRE URANIUM RESOURCES R 12/1/2016 9:30:03 AM
MTSC MTS Systems Corp Q 12/1/2016 9:30:15 AM
CLDCW China Lending Corporation Wt R 12/1/2016 9:33:31 AM
GNVC GenVec, Inc R 12/1/2016 9:34:06 AM
SSH Sunshine Heart Inc R 12/1/2016 9:34:17 AM
INVT Inventergy Global, Inc. R 12/1/2016 9:36:09 AM
TRTLW Terrapin 2 Acquisition Corp R 12/1/2016 9:36:18 AM
MDGS Medigus Ltd ADS R 12/1/2016 9:36:33 AM
ABAC Aoxin Tianli Grp Inc R 12/1/2016 9:37:00 AM
ALBO Albireo Pharma, Inc. R 12/1/2016 9:38:37 AM
CERCW Cerecor Inc. Cl A Wt R 12/1/2016 9:45:26 AM
HMNY Helios and Matheson Analytics R 12/1/2016 9:46:05 AM
PFIE Profire Energy, Inc. Cmn Stk R 12/1/2016 9:54:19 AM
SCON SUPERCONDUCTOR TECH R 12/1/2016 9:56:08 AM
BHACW Barington/Hilco Acq Cp Wts R 12/1/2016 9:58:13 AM
RNVA Rennova Health, Inc. R 12/1/2016 10:03:28 AM
LMB Limbach Holdings, Inc.CS R 12/1/2016 10:05:05 AM
CETC Hongli Clean Energy Tech Cp R 12/1/2016 10:05:35 AM
RGSE Real Goods Solar, Inc. R 12/1/2016 10:08:05 AM
PAACR Pacific Special Acq Rights R 12/1/2016 10:08:24 AM
SGYPU Synergy Pharma Unit R 12/1/2016 10:14:21 AM
ALQA Alliqua BioMedical, Inc. R 12/1/2016 10:22:08 AM
KNDI Kandi Technologies Group Cmn Q 12/1/2016 10:35:20 AM
SAUC Diversified Restaurant Hldgs R 12/1/2016 10:37:24 AM
PULM Pulmatrix, Inc. Cmn Stk Q 12/1/2016 10:41:33 AM
BV Bazaarvoice, Inc. Q 12/1/2016 10:45:04 AM
MIRN Mirna Therapeutics Cmn Stk Q 12/1/2016 10:45:19 AM
PXLW Pixelworks Inc Q 12/1/2016 10:45:29 AM
PRTO Proteon Therapeutics Cm Stk Q 12/1/2016 10:49:12 AM
NTNX Nutanix Inc. Class A Cmn Q 12/1/2016 10:49:19 AM
CRUS Cirrus Logic Inc Q 12/1/2016 10:52:54 AM
ZSAN Zosano Pharma Corporation Cmn R 12/1/2016 10:57:32 AM
INNL Innocoll Holdings plc Ord Sh Q 12/1/2016 11:04:02 AM
MOXC Moxian, Inc. Cmn Stk R 12/1/2016 11:07:01 AM
JASNW Jason Industries, Inc. Warrant R 12/1/2016 11:11:01 AM
TROV TrovaGene, Inc. Common Stock R 12/1/2016 11:13:57 AM
VKTX Viking Therapeutics Inc Cmn R 12/1/2016 11:15:56 AM
ARCW ARC Group Worldwide, Inc. R 12/1/2016 11:20:11 AM
NVET Nexvet Biopharma plc Ord Q 12/1/2016 11:27:38 AM
HIIQ Health Insurance Innovations, Q 12/1/2016 11:27:48 AM
BASI Bioanalytical Systems Inc R 12/1/2016 11:33:31 AM
REPH Recro Pharma, Inc. R 12/1/2016 11:38:23 AM
BHACR Barington/Hilco Acq Cp Rights R 12/1/2016 11:38:26 AM
ACST Acasti Pharma, Inc. Cl A Cmn R 12/1/2016 11:44:31 AM
TWNKW Hostess Brands, Inc Wts R 12/1/2016 12:00:42 PM
EAGLW Double Eagle Acquisition WT R 12/1/2016 12:09:25 PM
CFRXW Contrafect Class A Warrants R 12/1/2016 12:12:08 PM
IDXG Interpace Diagnostics Grp Inc R 12/1/2016 12:12:24 PM
CBAK China BAK Battery, Inc. Q 12/1/2016 12:34:41 PM
CIDM CINEDIGM CORP Q 12/1/2016 12:43:14 PM
COUP Coupa Software Inc Cmn Q 12/1/2016 12:58:18 PM
UNXL Uni-Pixel, Inc. Cmn Stk R 12/1/2016 1:00:47 PM
WB Weibo Corporation ADS Q 12/1/2016 1:08:03 PM
APOP Cellect Biotechnology Ltd. ADR R 12/1/2016 1:15:02 PM
FWP Forward Pharma A/S ADS Q 12/1/2016 1:24:44 PM
NUROW NeuroMetrix, Inc. Wt R 12/1/2016 1:28:27 PM
OACQW Origo Acquisition Cp Wts R 12/1/2016 1:37:05 PM
KLREW KLR Energy Acq WT R 12/1/2016 1:41:17 PM
JSYNR Jensyn Acquistion Corp. RT R 12/1/2016 1:44:24 PM
APRI Apricus Biosciences, Inc. R 12/1/2016 1:56:44 PM
LINK Interlink Electronics, Inc. CM R 12/1/2016 1:59:45 PM
CLRBZ Cellectar Biosciences Sr A WT R 12/1/2016 2:01:50 PM
DCIX Diana Containerships Inc. Q 12/1/2016 2:07:31 PM
PRZM Prism Tech Grp Cmn Stk R 12/1/2016 2:10:18 PM
RGLS Regulus Therapeutics Inc. Q 12/1/2016 2:12:33 PM
ONSIZ Oncobiologics, Inc. Ser B Wt Q 12/1/2016 2:18:59 PM
IRG Ignite Restaurant Group, Inc. Q 12/1/2016 2:34:26 PM
CFRX Contrafect Corp Common R 12/1/2016 2:39:22 PM
OPXAW Opexa Therapeutics Warrant R 12/1/2016 2:45:14 PM
ASUR Asure Software, Inc Cmn R 12/1/2016 2:49:50 PM
GALE Galena Biopharma, Inc. R 12/1/2016 2:55:18 PM
LWAY Lifeway Foods Inc Q 12/1/2016 2:57:16 PM
CASC Cascadian Therapeutics Inc Q 12/1/2016 2:58:03 PM
GALTW Galectin Therapeutics Inc. Wts R 12/1/2016 3:00:16 PM
OBLN Obalon Therapeutics Cmn Q 12/1/2016 3:03:25 PM
NCTY The9 Limited Q 12/1/2016 3:08:48 PM
OTIC Otonomy, Inc. Q 12/1/2016 3:13:08 PM
CMLS Cumulus Media Inc R 12/1/2016 3:14:41 PM
QPACW Quinpario Acq Corp 2 Warrant R 12/1/2016 3:18:42 PM
ANTH Anthera Pharmaceuticals, Inc. Q 12/1/2016 3:21:08 PM
AMKR Amkor Tech Inc Q 12/1/2016 3:22:00 PM
CBMX COMBIMATRIX CORP R 12/1/2016 3:24:52 PM
LLIT Lianluo Smart Limited R 12/1/2016 3:27:59 PM
JYNT The Joint Corp Cmn R 12/1/2016 3:29:35 PM
OREX Orexigen Therapeutics, Inc. Q 12/1/2016 3:30:38 PM
MIME Mimecast Limited Ord Shares Q 12/1/2016 3:35:47 PM
QTNA Quantenna Communications CM Q 12/1/2016 3:40:40 PM
MDVXW Medovex Corp Cl A Wt R 12/1/2016 3:41:20 PM
CNTF China TechFaith Wireless Commu Q 12/1/2016 3:41:37 PM
DRWI DragonWave Inc Cmn R 12/1/2016 3:43:38 PM
APPS Digital Turbine, Inc. Cmn Stk R 12/1/2016 3:48:36 PM
VIVE Viveve Medical, Inc. Cm St R 12/1/2016 3:48:38 PM
NSYS Nortech Systems Inc R 12/1/2016 3:50:29 PM
TNDM Tandem Diabetes Care, Inc. Q 12/1/2016 3:54:52 PM
CBMXW CombiMatrix Corporation WT R 12/1/2016 3:58:31 PM
CAPNW Capnia, Inc. Series A Warrant R 12/1/2016 3:58:41 PM
GALTU Galectin Therapeutics Inc. R 12/1/2016 4:00:00 PM
OACQW Origo Acquisition Cp Wts R 12/2/2016 9:30:00 AM
MEMP Memorial Production Partners Q 12/2/2016 9:30:00 AM
BHACW Barington/Hilco Acq Cp Wts R 12/2/2016 9:30:00 AM
PRZM Prism Tech Grp Cmn Stk R 12/2/2016 9:30:00 AM
APPY VENAXIS, INC. R 12/2/2016 9:30:01 AM
USLM United States Lime & Minerals Q 12/2/2016 9:30:03 AM
ZUMZ Zumiez Inc Q 12/2/2016 9:30:36 AM
SPEX Spherix Incorporated R 12/2/2016 9:30:59 AM
SBSA Spanish Broadcasting Sys Cl A Q 12/2/2016 9:31:22 AM
RGSE Real Goods Solar, Inc. R 12/2/2016 9:32:36 AM
SWHC Smith & Wesson Holding Corpora Q 12/2/2016 9:33:10 AM
DRYS DryShips Inc. R 12/2/2016 9:34:31 AM
BSTG Biostage, Inc. Cmn Stk R 12/2/2016 9:34:37 AM
SEED Origin Agritech Limited Q 12/2/2016 9:36:13 AM
NETE Net Element, Inc. R 12/2/2016 9:52:35 AM
BNTCW Benitec Biopharma Warrant R 12/2/2016 9:54:22 AM
GPACW Global Partner Acq. Corp Wrt R 12/2/2016 10:01:48 AM
BLPH Bellerophon Thera Common Stock Q 12/2/2016 10:08:36 AM
HIIQ Health Insurance Innovations, Q 12/2/2016 10:12:49 AM
URRE URANIUM RESOURCES R 12/2/2016 10:14:41 AM
MDSY ModSys International Ltd R 12/2/2016 10:17:03 AM
BASI Bioanalytical Systems Inc R 12/2/2016 10:41:11 AM
FNCX Function(x) Inc. R 12/2/2016 10:48:55 AM
SCON SUPERCONDUCTOR TECH R 12/2/2016 11:04:47 AM
GENE Genetic Technologies Ltd ADS R 12/2/2016 11:15:19 AM
OPXAW Opexa Therapeutics Warrant R 12/2/2016 11:22:03 AM
CARV Carver Bancorp Inc R 12/2/2016 11:31:35 AM
AMBA Ambarella, Inc. Q 12/2/2016 11:44:41 AM
ARWAW Arowana Inc. Wts R 12/2/2016 12:04:40 PM
WMIH WMIH Corp Common Stock R 12/2/2016 12:12:24 PM
NXTDW Nxt-ID, Inc. Warrant R 12/2/2016 12:14:51 PM
OACQR Origo Acquisition Cp Rts R 12/2/2016 12:16:33 PM
BMRA Biomerica, Inc. CS R 12/2/2016 12:33:20 PM
NLST Netlist, Inc. R 12/2/2016 12:54:12 PM
AXSM Axsome Therapeutics, Inc. CS R 12/2/2016 12:55:15 PM
AGFSW AgroFresh Solu Warrants Q 12/2/2016 1:00:28 PM
ANY Sphere 3D Corp. Q 12/2/2016 1:09:32 PM
MBLX Metabolix, Inc. Cmn Stk R 12/2/2016 1:11:59 PM
CERC Cerecor Inc. Cmn Stk R 12/2/2016 1:12:49 PM
SNMX Senomyx Inc Q 12/2/2016 1:32:31 PM
HCACW Hennessy Cpital Acq II Warran R 12/2/2016 1:49:05 PM
IRG Ignite Restaurant Group, Inc. Q 12/2/2016 1:52:05 PM
DXTR Dextera Surgical Inc. R 12/2/2016 1:58:42 PM
GASS StealthGas Inc. Q 12/2/2016 2:07:22 PM
IPWR Ideal Power Inc. R 12/2/2016 2:08:00 PM
TVIA TerraVia Holdings, Inc. Q 12/2/2016 2:09:11 PM
SCACW Saban Capital Acquisition WT R 12/2/2016 2:11:24 PM
YECO Yulong Eco-Materials Ltd Ord R 12/2/2016 2:14:59 PM
CTSO Cytosorbents Corp Cmn Stk R 12/2/2016 2:28:13 PM
HRMNW Harmony Merger Warrant R 12/2/2016 2:28:40 PM
TRHC Tabula Rasa Health Care CM Q 12/2/2016 2:38:12 PM
TROVW Trovagene inc warrant R 12/2/2016 2:41:00 PM
KBSF KBS Fashion Group Ltd R 12/2/2016 2:44:01 PM
EYEGW Eyegate Pharmaceuticals Wts R 12/2/2016 2:46:45 PM
XTLB XTL Biopharmaceuticals Ltd ADS R 12/2/2016 3:12:24 PM
RCON Recon Technology, Ltd. R 12/2/2016 3:12:54 PM
ESES Eco-Stim Energy Sltns Cmn R 12/2/2016 3:27:54 PM
EACQW Easterly Acquisition Corp. WT R 12/2/2016 3:34:56 PM
CERCW Cerecor Inc. Cl A Wt R 12/2/2016 3:41:21 PM
CBMXW CombiMatrix Corporation WT R 12/2/2016 3:58:31 PM
HDRAW Hydra Industries Acq Wts R 12/2/2016 3:58:31 PM
LONE Lonestar Resources US CM ST A Q 12/2/2016 3:59:14 PM