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
Wednesday, April 26,2017 4/26/2017 4:15:18 AM

Symbol Security Name Market Category Trigger Time
CTRV ContraVir Pharm. Inc. R 4/25/2017 9:30:00 AM
ESRX Express Scripts Holding Co Q 4/25/2017 9:30:00 AM
PZRX PhaseRx, Inc. Cm St R 4/25/2017 9:30:00 AM
MSDI Monster Digital, Inc. CS R 4/25/2017 9:30:02 AM
MBII Marrone Bio Innovations, Inc. R 4/25/2017 9:30:07 AM
LENS Presbia PLC Ordinary Shs Q 4/25/2017 9:32:35 AM
CPLA Capella Education Company Q 4/25/2017 9:34:03 AM
OPTT Ocean Power Technologies, Inc. R 4/25/2017 9:34:04 AM
HSII Heidrick & Struggles Intl Inc Q 4/25/2017 9:35:05 AM
MNGA MagneGas Corporation Cmn Stk R 4/25/2017 9:37:38 AM
SSKN Strata Skin Sciences, Inc. Cmn R 4/25/2017 9:38:01 AM
NURO NEUROMETRIX INC R 4/25/2017 9:39:41 AM
JAKK JAKKS Pacific Inc Q 4/25/2017 9:40:00 AM
MTBC Medical Transcription Blng Cmn R 4/25/2017 9:40:44 AM
SPI SPI Energy Co ADS Q 4/25/2017 9:44:04 AM
UNXL Uni-Pixel, Inc. Cmn Stk R 4/25/2017 9:48:31 AM
HOTRW Chanticleer Warrants R 4/25/2017 9:52:59 AM
TROVU Trovagene, Inc. R 4/25/2017 9:53:48 AM
RTTR Ritter Pharmaceuticals, CM R 4/25/2017 9:59:29 AM
GPACW Global Partner Acq. Corp Wrt R 4/25/2017 10:12:31 AM
SSH Sunshine Heart Inc R 4/25/2017 10:18:32 AM
PYDS Payment Data Systems Cmn R 4/25/2017 10:52:59 AM
SNGXW Soligenix, Inc. Wt R 4/25/2017 10:54:58 AM
CLIRW ClearSign Combustion Cp Wrt R 4/25/2017 10:54:58 AM
CYRXW CryoPort, Inc. Warrants R 4/25/2017 10:54:58 AM
RNVAZ Rennova Health, Inc. WTS R 4/25/2017 11:01:06 AM
EACQW Easterly Acquisition Corp. WT R 4/25/2017 11:03:25 AM
CYHHZ Community Health Systems, Inc. Q 4/25/2017 11:08:59 AM
BHACW Barington/Hilco Acq Cp Wts R 4/25/2017 11:19:20 AM
FNBC First NBC Bank Holding Company Q 4/25/2017 11:19:24 AM
YECO Yulong Eco-Materials Ltd Ord R 4/25/2017 11:50:19 AM
AMMA Alliance MMA, Inc. Cmn R 4/25/2017 12:07:33 PM
VKTXW Viking Therapeutics, Inc. WTS R 4/25/2017 12:17:15 PM
AKTX Akari Therapeutics Plc ADR R 4/25/2017 12:21:04 PM
ELECW Electrum Special Acquisitio WT R 4/25/2017 12:24:46 PM
MDVXW Medovex Corp Cl A Wt R 4/25/2017 12:25:01 PM
CRTN Cartesian, Inc. Common Stock R 4/25/2017 12:44:13 PM
KPTI Karyopharm Therapeutics Inc. Q 4/25/2017 12:47:42 PM
PME Pingtan Marine Enterprise R 4/25/2017 12:50:39 PM
STAF Staffing 360 Solutions, Inc. R 4/25/2017 12:52:17 PM
SHLDW Sears Holdings Corporation Wrt Q 4/25/2017 12:56:58 PM
RTNB root9B Holdings, Inc. R 4/25/2017 1:18:34 PM
NTRP Neurotrope, Inc. Cmn Stk R 4/25/2017 2:20:50 PM
INPX Inpixon Common Stock R 4/25/2017 2:50:12 PM
WLDN Willdan Group, Inc. Q 4/25/2017 2:54:22 PM
SHLD Sears Holdings Corporation Q 4/25/2017 2:55:54 PM
POLA Polar Power, Inc.CS R 4/25/2017 3:15:56 PM
ANY Sphere 3D Corp. R 4/25/2017 3:19:13 PM
PNRG PrimeEnergy Corp R 4/25/2017 3:32:25 PM
GPIAW GP Investments Acquisition Wt R 4/25/2017 3:42:31 PM
CLDC China Lending Corp Ord Shs R 4/25/2017 3:50:33 PM
ETRM EnteroMedics Inc. R 4/25/2017 3:56:04 PM