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
Tuesday, September 19,2017 9/19/2017 4:15:19 AM

Symbol Security Name Market Category Trigger Time
SLNOW Soleno Therapeutics Wts A R 9/18/2017 9:30:00 AM
HMNY Helios and Matheson Analytics R 9/18/2017 9:30:00 AM
ASTC Astrotech Corporation R 9/18/2017 9:30:00 AM
XPLR Xplore Technologies Cmn R 9/18/2017 9:30:33 AM
LMFA LM Funding America Cmn Stk R 9/18/2017 9:30:38 AM
XELB Xcel Brands, Inc. Cmn Stk Q 9/18/2017 9:31:02 AM
NOVN Novan, Inc. CM Q 9/18/2017 9:31:11 AM
ATOS Atossa Genetics Inc. R 9/18/2017 9:33:44 AM
NEOS Neos Therapeutics, Inc. Cmn Q 9/18/2017 9:33:59 AM
BUR Burcon NutraScience Corp Q 9/18/2017 9:35:00 AM
DFBG Differential Brands Gp Cmn R 9/18/2017 9:35:30 AM
GENE Genetic Technologies Ltd ADS R 9/18/2017 9:36:02 AM
CNXR Connecture, Inc. Cmn Q 9/18/2017 9:38:19 AM
DSKEW Daseke, Inc. Warrant R 9/18/2017 9:41:18 AM
NXTD Nxt-ID, Inc. Common Stock R 9/18/2017 9:41:26 AM
MBRX Moleculin Biotech, Inc. COM R 9/18/2017 9:43:43 AM
UBNT Ubiquiti Networks, Inc. Q 9/18/2017 9:46:36 AM
OHRP Ohr Pharmaceutical Inc Cmn Stk R 9/18/2017 9:47:39 AM
PETQ PetIQ, Inc. Cl A Cmn Stk Q 9/18/2017 9:48:49 AM
BRQSW Borqs Tech Inc Wts R 9/18/2017 9:49:07 AM
INTG Intergroup Corp R 9/18/2017 9:51:56 AM
MDVX Medovex Corp. Cmn R 9/18/2017 9:53:02 AM
JASNW Jason Industries, Inc. Warrant R 9/18/2017 9:53:26 AM
ONS Oncobiologics, Inc. Cm St Q 9/18/2017 9:54:03 AM
GRVY GRAVITY Co., Ltd. R 9/18/2017 10:08:43 AM
QRHC Quest Resource Holding Cp Cmn R 9/18/2017 10:19:46 AM
FTEO FRONTEO, Inc. ADS Q 9/18/2017 10:22:15 AM
BPTH Bio-Path Holdings, Inc. R 9/18/2017 10:27:52 AM
AEMD Aethlon Medical Common R 9/18/2017 10:31:37 AM
FSACW Fed Street Acquisition WRNT R 9/18/2017 10:39:48 AM
TNDM Tandem Diabetes Care, Inc. Q 9/18/2017 10:43:19 AM
ONSIW Oncobiologics, Inc. Ser A Wt Q 9/18/2017 10:48:14 AM
PRTO Proteon Therapeutics Cm Stk Q 9/18/2017 10:57:26 AM
MARK Remark Hldgs Inc. Cmn Stk R 9/18/2017 11:00:50 AM
ONSIZ Oncobiologics, Inc. Ser B Wt Q 9/18/2017 11:09:11 AM
CKPT Checkpoint Therapeutics, CS R 9/18/2017 11:24:20 AM
BRQS Borqs Tech Inc Ord Shs R 9/18/2017 11:26:55 AM
KALA Kala Pharmaceuticals, Inc. Cmn Q 9/18/2017 11:32:21 AM
VTNR Vertex Energy, Inc Cmn Stk R 9/18/2017 11:45:28 AM
SVRA Savara Inc. Common Stock R 9/18/2017 11:45:50 AM
SOFO Sonic Foundry Inc R 9/18/2017 11:51:08 AM
NH NantHealth, Inc. CM ST Q 9/18/2017 11:53:27 AM
CLXT Calyxt, Inc. CM Q 9/18/2017 11:53:43 AM
BCACR Bison Cap Acquistion Cp Right R 9/18/2017 12:02:15 PM
FMAO Farmers & Merchants Bancorp Cm R 9/18/2017 12:27:30 PM
DGICB Donegal Group Inc Cl B Q 9/18/2017 12:29:00 PM
KEYW The KEYW Holding Corporation Q 9/18/2017 12:40:57 PM
CETXW Cemtrex Inc. WTS R 9/18/2017 12:59:30 PM
PAVMW PAVmed Inc. Warrant R 9/18/2017 1:04:41 PM
SRTSW Sensus Healthcare WT R 9/18/2017 1:11:39 PM
CLIRW ClearSign Combustion Cp Wrt R 9/18/2017 1:17:20 PM
DELTW Delta Tech Hldgs. Warrant R 9/18/2017 1:18:07 PM
ADXSW Advaxis, Inc. Warrants R 9/18/2017 1:51:56 PM
LGCYP Legacy Reserves Cum Pfd Sr A Q 9/18/2017 1:53:54 PM
SNES SenesTech, Inc. Common Stk R 9/18/2017 2:20:15 PM
MBVX MabVax Therapeutics CS R 9/18/2017 2:31:31 PM
EYEGW Eyegate Pharmaceuticals Wts R 9/18/2017 2:59:13 PM
SNOAW Sonoma Pharma Wts R 9/18/2017 2:59:13 PM
SMCI Super Micro Computer, Inc. Q 9/18/2017 3:16:19 PM
TVIX VelocityShares Daily 2X VIX Q 9/18/2017 3:38:35 PM
CYHHZ Community Health Systems, Inc. Q 9/18/2017 3:43:58 PM
RCON Recon Technology, Ltd. R 9/18/2017 3:48:23 PM
JAKK JAKKS Pacific Inc Q 9/18/2017 3:52:02 PM
NUROW NeuroMetrix, Inc. Wt R 9/18/2017 3:53:36 PM
AMMA Alliance MMA, Inc. Cmn R 9/18/2017 3:53:44 PM
MYNDW MYnd Analytics, Inc. Wt R 9/18/2017 3:55:59 PM
RIBTW RiceBran Technologies Warrant R 9/18/2017 3:57:00 PM