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, January 20,2017 1/20/2017 4:30:19 PM

Symbol Security Name Market Category Trigger Time
AMDA Amedica Corporation R 1/19/2017 9:30:00 AM
RCII Rent-A-Center Inc Q 1/19/2017 9:30:00 AM
BVXVW BiondVax Pharmaceuticals Wts R 1/19/2017 9:30:00 AM
MDVXW Medovex Corp Cl A Wt R 1/19/2017 9:30:00 AM
HOTRW Chanticleer Warrants R 1/19/2017 9:30:00 AM
ZYNE Zynerba Pharmaceuticals CS Q 1/19/2017 9:30:00 AM
DRYS DryShips Inc. R 1/19/2017 9:30:00 AM
BNTCW Benitec Biopharma Warrant R 1/19/2017 9:30:00 AM
CYAD Celyad SA ADS Q 1/19/2017 9:30:03 AM
CPSH CPS Technologies Cp Cmn R 1/19/2017 9:30:06 AM
ITUS ITUS Corporation Cmn Stk R 1/19/2017 9:30:08 AM
FFKT Farmers Capital Bank Corp Q 1/19/2017 9:30:10 AM
DCTH Delcath Systems Inc. R 1/19/2017 9:30:12 AM
UNXL Uni-Pixel, Inc. Cmn Stk R 1/19/2017 9:30:37 AM
DFFN Diffusion Pharmaceuticals Inc. R 1/19/2017 9:32:30 AM
CERCW Cerecor Inc. Cl A Wt R 1/19/2017 9:33:21 AM
MPET Magellan Petroleum Corp R 1/19/2017 9:34:04 AM
EYEGW Eyegate Pharmaceuticals Wts R 1/19/2017 9:35:49 AM
APRI Apricus Biosciences, Inc. R 1/19/2017 9:35:50 AM
REXX Rex Energy Corporation R 1/19/2017 9:39:57 AM
PZRX PhaseRx, Inc. Cm St R 1/19/2017 9:42:27 AM
TBIO Transgenomic Inc. Cmn Stk R 1/19/2017 9:43:29 AM
OMEX Odyssey Marine Exploriation R 1/19/2017 9:45:10 AM
IZEA IZEA Inc Common Stock R 1/19/2017 9:45:34 AM
NXTDW Nxt-ID, Inc. Warrant R 1/19/2017 9:55:13 AM
HOTR Chanticleer Holdings, Inc. Cmn R 1/19/2017 9:56:10 AM
BVXV BiondVax Pharmaceuticals ADS R 1/19/2017 9:58:18 AM
MEMP Memorial Production Partners Q 1/19/2017 9:59:26 AM
CHCI Comstock Holding Cos., Inc. R 1/19/2017 10:00:13 AM
RXII RXi Pharmaceuticals Corp R 1/19/2017 10:08:19 AM
FNCX Function(x) Inc. R 1/19/2017 10:10:59 AM
UNIS Unilife Corporation Q 1/19/2017 10:17:00 AM
SSH Sunshine Heart Inc R 1/19/2017 10:19:29 AM
AVGR Avinger, Inc. Common Stk Q 1/19/2017 10:20:02 AM
EYES Second Sight Medical Cmn R 1/19/2017 10:37:21 AM
AMTX Aemetis, Inc. Common Stock Q 1/19/2017 10:44:16 AM
FFHL Fuwei Films (Holdings) Co R 1/19/2017 10:48:21 AM
DRIOW DarioHealth Corp. Wts R 1/19/2017 10:48:54 AM
PULM Pulmatrix, Inc. Cmn Stk Q 1/19/2017 10:55:25 AM
INFI Infinity Pharmaceuticals, Inc. Q 1/19/2017 11:03:55 AM
GMAN Gordmans Stores, Inc. Q 1/19/2017 11:07:11 AM
GNVC GenVec, Inc R 1/19/2017 11:08:39 AM
LTBR Lightbridge Corp Cmn Stk R 1/19/2017 11:09:50 AM
HRMNW Harmony Merger Warrant R 1/19/2017 11:12:43 AM
EACQW Easterly Acquisition Corp. WT R 1/19/2017 11:15:26 AM
STDY SteadyMed Ltd Ord Shares Q 1/19/2017 11:18:36 AM
GALTW Galectin Therapeutics Inc. Wts R 1/19/2017 11:19:57 AM
MDGS Medigus Ltd ADS R 1/19/2017 11:32:00 AM
CAPNW Capnia, Inc. Series A Warrant R 1/19/2017 11:43:56 AM
SIEB Siebert Financial Corp R 1/19/2017 11:50:35 AM
BLPH Bellerophon Thera Common Stock Q 1/19/2017 11:57:50 AM
BNTC Benitec Biopharma Ltd ADS R 1/19/2017 12:03:43 PM
BPTH Bio-Path Holdings, Inc. R 1/19/2017 12:05:01 PM
SHLDW Sears Holdings Corporation Wrt Q 1/19/2017 12:12:29 PM
IMNP Immune Pharma Cmn Stk R 1/19/2017 12:21:48 PM
GPACW Global Partner Acq. Corp Wrt R 1/19/2017 12:30:02 PM
CALA Calithera Biosciences Com Stk Q 1/19/2017 12:41:02 PM
MYOS MYOS RENS Tech Cmn R 1/19/2017 12:46:09 PM
CYHHZ Community Health Systems, Inc. Q 1/19/2017 12:56:13 PM
ELECW Electrum Special Acquisitio WT R 1/19/2017 12:56:38 PM
SPHS Sophiris Bio, Inc. Common Stk R 1/19/2017 1:18:36 PM
ADXSW Advaxis, Inc. Warrants R 1/19/2017 1:29:09 PM
ENPH Enphase Energy, Inc. Q 1/19/2017 1:34:47 PM
OPGNW OpGen, Inc. Warrant R 1/19/2017 1:35:28 PM
NXTD Nxt-ID, Inc. Common Stock R 1/19/2017 1:42:11 PM
KTOVW Kitov Pharamceuticals Hold Wt R 1/19/2017 2:04:37 PM
DVCR Diversicare Healthcare R 1/19/2017 2:04:58 PM
RNVAZ Rennova Health, Inc. WTS R 1/19/2017 2:05:26 PM
PTX Pernix Therapeutics Hldgs Cm Q 1/19/2017 2:14:58 PM
LIFE aTyr Pharma, Inc. Cm Q 1/19/2017 2:14:58 PM
CPAAW Conyers Park Acquisition WT R 1/19/2017 2:15:30 PM
RXIIW RXi Pharmaceuticals Corp R 1/19/2017 2:45:59 PM
SNES SenesTech, Inc. Common Stk R 1/19/2017 2:53:34 PM
SNOAW Sonoma Pharma Wts R 1/19/2017 3:09:11 PM
SKLN Skyline Medical Inc. Cmn Stk R 1/19/2017 3:21:26 PM
AXSM Axsome Therapeutics, Inc. CS R 1/19/2017 3:22:11 PM
XGTI xG Technology, Inc Common Stk R 1/19/2017 3:38:01 PM
WKHS Workhorse Group Common Stock R 1/19/2017 3:55:50 PM
PAACW Pacific Special Acq Warrant R 1/19/2017 3:57:19 PM
APOPW Cellect Biotechnology Ltd. WT R 1/19/2017 3:58:31 PM
CYRXW CryoPort, Inc. Warrants R 1/19/2017 3:58:31 PM
CFRXW Contrafect Class A Warrants R 1/20/2017 9:30:00 AM
CRDS Crossroads Systems Inc R 1/20/2017 9:30:00 AM
AFMD Affimed N.V. Q 1/20/2017 9:30:00 AM
INDB Independent Bank Corp Q 1/20/2017 9:30:00 AM
PSTI Pluristem Therapeutics Inc. R 1/20/2017 9:30:00 AM
DELT Delta Technology Hld Ltd Ord R 1/20/2017 9:30:01 AM
NAKD Naked Brand Group Inc. CS R 1/20/2017 9:30:02 AM
OPHC OPTIMUMBANK HLDGS R 1/20/2017 9:30:12 AM
REXX Rex Energy Corporation R 1/20/2017 9:31:37 AM
URRE URANIUM RESOURCES R 1/20/2017 9:31:46 AM
AQB AquaBounty Technologies CS R 1/20/2017 9:34:08 AM
ONSIW Oncobiologics, Inc. Ser A Wt Q 1/20/2017 9:35:42 AM
HTGM HTG Molecular Diagnostics Cmn Q 1/20/2017 9:37:30 AM
JASNW Jason Industries, Inc. Warrant R 1/20/2017 9:39:02 AM
ANY Sphere 3D Corp. Q 1/20/2017 9:43:20 AM
MTBC Medical Transcription Blng Cmn R 1/20/2017 9:44:40 AM
BASI Bioanalytical Systems Inc R 1/20/2017 9:45:35 AM
NFEC NF Energy Saving Corporation R 1/20/2017 9:48:13 AM
ALQA Alliqua BioMedical, Inc. R 1/20/2017 9:59:41 AM
CADC China Advd Cnstrctn Mtrls Grp R 1/20/2017 10:03:45 AM
QPACW Quinpario Acq Corp 2 Warrant R 1/20/2017 10:03:50 AM
MCUR Macrocure Ltd. Ord Shares Q 1/20/2017 10:08:52 AM
ADXSW Advaxis, Inc. Warrants R 1/20/2017 10:23:59 AM
APRI Apricus Biosciences, Inc. R 1/20/2017 10:28:43 AM
VRAY ViewRay, Inc. Cm St Q 1/20/2017 10:36:47 AM
FRED Fred's Inc Q 1/20/2017 10:40:36 AM
RXIIW RXi Pharmaceuticals Corp R 1/20/2017 10:48:26 AM
AMDA Amedica Corporation R 1/20/2017 10:49:06 AM
SGYP Synergy Pharmaceuticals, Inc. Q 1/20/2017 10:58:42 AM
SHIPW Seanergy Maritime Holdings Cor R 1/20/2017 11:17:20 AM
CAPNW Capnia, Inc. Series A Warrant R 1/20/2017 11:22:48 AM
CLSN Celsion Corporation R 1/20/2017 11:46:05 AM
CFRX Contrafect Corp Common R 1/20/2017 12:05:30 PM
VKTXW Viking Therapeutics, Inc. WTS R 1/20/2017 12:19:18 PM
RKDA Arcadia Biosciences, Inc. CS Q 1/20/2017 12:26:17 PM
AHPAW Avista Healthcare Pub Acq Wrnt R 1/20/2017 12:32:14 PM
MDGS Medigus Ltd ADS R 1/20/2017 12:48:07 PM
MOSY MoSys, Inc. R 1/20/2017 1:04:42 PM
JSYNW Jensyn Acquistion Corp. WT R 1/20/2017 1:07:19 PM
NVET Nexvet Biopharma plc Ord Q 1/20/2017 1:07:33 PM
AAPC Atlantic Alliance Partner. Ord R 1/20/2017 1:26:40 PM
FFHL Fuwei Films (Holdings) Co R 1/20/2017 1:26:52 PM
GPACW Global Partner Acq. Corp Wrt R 1/20/2017 1:31:54 PM
CATB Catabasis Pharmac. CM Q 1/20/2017 2:51:00 PM
ONSIZ Oncobiologics, Inc. Ser B Wt Q 1/20/2017 2:57:08 PM
LMFAW LM Funding America WT R 1/20/2017 3:17:20 PM
APVO Aptevo Therapeutics CS Q 1/20/2017 3:22:02 PM
BHACR Barington/Hilco Acq Cp Rights R 1/20/2017 3:58:31 PM
SNOAW Sonoma Pharma Wts R 1/20/2017 3:58:31 PM
KIN Kindred Biosciences, Inc. R 1/20/2017 3:59:23 PM
AVGR Avinger, Inc. Common Stk Q 1/20/2017 3:59:47 PM