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, May 26,2017 5/26/2017 4:15:18 AM

Symbol Security Name Market Category Trigger Time
BVXVW BiondVax Pharmaceuticals Wts R 5/25/2017 9:30:00 AM
CYTXW Cytori Therapeutics Inc WT R 5/25/2017 9:30:00 AM
GLBS Globus Maritime Limited R 5/25/2017 9:30:09 AM
CNBKA Century Bancorp, Inc. Q 5/25/2017 9:31:21 AM
VDTH Videocon d2h Limited ADS Q 5/25/2017 9:31:44 AM
SPEX Spherix Incorporated R 5/25/2017 9:32:24 AM
JAGX Jaguar Animal Health, Inc. Cmn R 5/25/2017 9:34:54 AM
MICTW Micronet Enertec Technolog Wts R 5/25/2017 9:37:35 AM
ATOS Atossa Genetics Inc. R 5/25/2017 9:38:25 AM
YECO Yulong Eco-Materials Ltd Ord R 5/25/2017 9:41:55 AM
SPTN SpartanNash Company Q 5/25/2017 9:42:22 AM
RIBTW RiceBran Technologies Warrant R 5/25/2017 9:43:25 AM
SGOC SGOCO Group, Ltd Ord Shr R 5/25/2017 9:52:52 AM
OACQW Origo Acquisition Cp Wts R 5/25/2017 9:54:02 AM
HOTRW Chanticleer Warrants R 5/25/2017 9:57:36 AM
HRMNW Harmony Merger Warrant R 5/25/2017 10:01:33 AM
OHGI One Horizon Group Common Stk R 5/25/2017 10:01:56 AM
CYAD Celyad SA ADS Q 5/25/2017 10:11:07 AM
VTL Vital Therapies, Inc. Q 5/25/2017 10:15:28 AM
PTI Proteostasis Therapeutic Cm Q 5/25/2017 10:24:34 AM
APRI Apricus Biosciences, Inc. R 5/25/2017 10:27:15 AM
NAKD Naked Brand Group Inc. CS R 5/25/2017 10:49:34 AM
BOSC BOS Better Online Solutions R 5/25/2017 11:07:12 AM
MARA Marathon Patent Grp Inc R 5/25/2017 11:31:25 AM
GEVO Gevo, Inc. Common Stock R 5/25/2017 11:32:28 AM
APOPW Cellect Biotechnology Ltd. WT R 5/25/2017 11:35:51 AM
MNGA MagneGas Corporation Cmn Stk R 5/25/2017 11:38:34 AM
CLSN Celsion Corporation R 5/25/2017 11:43:23 AM
FALC FalconStor Software Inc R 5/25/2017 11:56:40 AM
OPHC OPTIMUMBANK HLDGS R 5/25/2017 12:00:29 PM
LMFAW LM Funding America WT R 5/25/2017 12:02:54 PM
QPACW Quinpario Acq Corp 2 Warrant R 5/25/2017 12:26:29 PM
ABIL Ability Inc. R 5/25/2017 12:36:56 PM
INO Inovio Pharmaceuticals Cmn Q 5/25/2017 12:38:03 PM
TVIA TerraVia Holdings, Inc. Q 5/25/2017 1:09:10 PM
SMRT Stein Mart Inc Q 5/25/2017 1:13:30 PM
REXX Rex Energy Corporation R 5/25/2017 1:22:54 PM
PTGX Protagonist Therapeutics CM Q 5/25/2017 1:37:19 PM
DRIO DarioHealth Corp. Cmn Stk R 5/25/2017 1:47:20 PM
OPXAW Opexa Therapeutics Warrant R 5/25/2017 1:48:43 PM
OXBRW Oxbridge Re Hldgs Ltd Warrants R 5/25/2017 1:53:02 PM
BHACR Barington/Hilco Acq Cp Rights R 5/25/2017 1:56:02 PM
EYEGW Eyegate Pharmaceuticals Wts R 5/25/2017 1:56:36 PM
DMTX Dimension Therapeutics Cmn Q 5/25/2017 1:58:27 PM
GNMX Aevi Genomic Medicine Cmn Q 5/25/2017 2:06:17 PM
YIN Yintech Investment Hldings ADS Q 5/25/2017 2:10:02 PM
GTXI GTx, Inc R 5/25/2017 2:13:53 PM
QBAK Qualstar Corporation R 5/25/2017 2:25:59 PM
IDSA Industrial Services of America R 5/25/2017 2:37:56 PM
AREX Approach Resources Inc. Q 5/25/2017 2:38:42 PM
NVUS Novus Therapeutics, Inc. Q 5/25/2017 2:40:31 PM
CERCW Cerecor Inc. Cl A Wt R 5/25/2017 2:49:10 PM
AGFSW AgroFresh Solu Warrants Q 5/25/2017 2:54:40 PM
MBRX Moleculin Biotech, Inc. COM R 5/25/2017 2:58:52 PM
MRAM Everspin Technologies COM Q 5/25/2017 3:07:23 PM
CERS Cerus Corporation Q 5/25/2017 3:09:41 PM
EVEP EV Energy Partners, L.P. Q 5/25/2017 3:14:20 PM
CMLS Cumulus Media Inc R 5/25/2017 3:14:32 PM
UHAL AMERCO Q 5/25/2017 3:15:49 PM
SYRS Syros Pharmaceuticals CM Q 5/25/2017 3:47:34 PM
GSHTW Gores Holdings II, Inc. Wts R 5/25/2017 3:50:43 PM
MPACW Matlin & Partners Acq Wts R 5/25/2017 3:51:24 PM
ONSIZ Oncobiologics, Inc. Ser B Wt Q 5/25/2017 3:52:24 PM
BONT The Bon-Ton Stores Inc Q 5/25/2017 3:54:11 PM
XBIO Xenetic Biosciences Cmn R 5/25/2017 3:57:09 PM
DELTW Delta Tech Hldgs. Warrant R 5/25/2017 3:58:31 PM
NUROW NeuroMetrix, Inc. Wt R 5/25/2017 3:58:31 PM
CYRXW CryoPort, Inc. Warrants R 5/25/2017 3:59:21 PM