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, September 30,2016 9/30/2016 4:15:17 AM

Symbol Security Name Market Category Trigger Time
MRNS Marinus Pharmaceuticals CS Q 9/29/2016 9:30:00 AM
ADHD Alcobra Ltd. Ordinary Shares Q 9/29/2016 9:30:00 AM
EAC Erickson Incorporated Q 9/29/2016 9:30:00 AM
ITCI Intra-Cellular Therapies Cmn Q 9/29/2016 9:30:00 AM
WHLRW Wheeler REIT Warrants R 9/29/2016 9:30:00 AM
CNXR Connecture, Inc. Cmn Q 9/29/2016 9:30:05 AM
SMRT Stein Mart Inc Q 9/29/2016 9:30:27 AM
QCRH QCR Holdings Inc Q 9/29/2016 9:30:47 AM
CLRBZ Cellectar Biosciences Sr A WT R 9/29/2016 9:32:30 AM
SSH Sunshine Heart Inc R 9/29/2016 9:32:34 AM
AUMAW AR Capital Acquisition R 9/29/2016 9:35:27 AM
SONS Sonus Networks Inc Q 9/29/2016 9:36:08 AM
DPRX Dipexium Pharmaceuticals Inc R 9/29/2016 9:44:50 AM
BIOC Biocept Inc. R 9/29/2016 9:57:17 AM
RGSE Real Goods Solar, Inc. R 9/29/2016 9:58:27 AM
TYHT Shineco Inc Common Stock R 9/29/2016 10:00:22 AM
PACEW Pace Holdings Corp. Wt R 9/29/2016 10:09:46 AM
EXEL Exelixis, Inc. Q 9/29/2016 10:10:02 AM
PRZM Prism Tech Grp Cmn Stk R 9/29/2016 10:13:52 AM
ACIU Ac Immune SA CM Q 9/29/2016 10:15:25 AM
YECO Yulong Eco-Materials Ltd Ord R 9/29/2016 10:20:13 AM
SNDE Sundance Energy Australia Limi Q 9/29/2016 10:22:29 AM
GNCA Genocea Biosciences, Inc. Q 9/29/2016 10:33:56 AM
GLMD Galmed Pharmaceuticals Ltd R 9/29/2016 10:40:46 AM
CYHHZ Community Health Systems, Inc. Q 9/29/2016 10:40:58 AM
SMIT Schmitt Industries Inc R 9/29/2016 10:43:28 AM
CCCL China Ceramics Co Cmn Stk R 9/29/2016 10:45:16 AM
CELGZ Celgene Cp Cntgnt Value Rts Q 9/29/2016 10:49:35 AM
BNSO Bonso Electronics Int'l R 9/29/2016 10:52:43 AM
GALTW Galectin Therapeutics Inc. Wts R 9/29/2016 11:06:47 AM
BVXVW BiondVax Pharmaceuticals Wts R 9/29/2016 11:08:13 AM
AKTX Akari Therapeutics Plc ADR R 9/29/2016 11:14:04 AM
IDXG Interpace Diagnostics Grp Inc R 9/29/2016 11:14:27 AM
CCIH ChinaCache Holdings Ltd ADR Q 9/29/2016 11:16:26 AM
GALT Galectin Therapeutics Cmn Stk R 9/29/2016 11:16:33 AM
DMTX Dimension Therapeutics Cmn Q 9/29/2016 11:20:31 AM
OXBRW Oxbridge Re Hldgs Ltd Warrants R 9/29/2016 11:24:31 AM
CYRXW CryoPort, Inc. Warrants R 9/29/2016 11:26:26 AM
IMDZ Immune Design Corp Common Stk Q 9/29/2016 11:54:28 AM
CLRBW Cellectar Biosciences Wts R 9/29/2016 12:06:20 PM
ASMB Assembly Biosciences, Inc. R 9/29/2016 12:33:06 PM
KTOVW Kitov Pharamceuticals Hold Wt R 9/29/2016 12:54:14 PM
SGYPW Synergy Pharma AWarrants R 9/29/2016 12:55:58 PM
KONA Kona Grill Inc Q 9/29/2016 1:01:13 PM
GBSN Great Basin Scientific, Inc. R 9/29/2016 1:03:39 PM
OPXAW Opexa Therapeutics Warrant R 9/29/2016 1:11:29 PM
AVXL Anavex Life Sciences Cmn R 9/29/2016 1:14:54 PM
BDSI BioDelivery Sci Int Common R 9/29/2016 1:54:04 PM
PTIE Pain Therapeutics Q 9/29/2016 2:03:30 PM
CLSD Clearside Biomedical, Inc. Cm Q 9/29/2016 2:13:09 PM
CADC China Advd Cnstrctn Mtrls Grp R 9/29/2016 2:32:32 PM
RTTR Ritter Pharmaceuticals, CM R 9/29/2016 2:41:20 PM
EKSO Ekso Bionics Holdings, Inc. R 9/29/2016 2:53:45 PM
TTD The Trade Desk, Inc. Cl A Q 9/29/2016 2:54:26 PM
LMFAW LM Funding America WT R 9/29/2016 2:54:59 PM
TWER Towerstream Corporation Cmn R 9/29/2016 3:03:34 PM
MDSY ModSys International Ltd R 9/29/2016 3:05:54 PM
VYGR Voyager Therapeutics Cm St Q 9/29/2016 3:06:29 PM
GEMP Gemphire Therapeutics CM Q 9/29/2016 3:10:01 PM
CASC Cascadian Therapeutics Inc Q 9/29/2016 3:29:14 PM
COYN COPsync Inc Common Stock R 9/29/2016 3:31:08 PM
CCCR China Commercial Credit, Inc. R 9/29/2016 3:32:29 PM
CFRXW Contrafect Class A Warrants R 9/29/2016 3:47:02 PM
INVT Inventergy Global, Inc. R 9/29/2016 3:48:14 PM
XGTI xG Technology, Inc Common Stk R 9/29/2016 3:57:01 PM
EYEGW Eyegate Pharmaceuticals Wts R 9/29/2016 5:24:33 PM