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, June 29,2016 6/29/2016 4:15:22 AM

Symbol Security Name Market Category Trigger Time
RITT RIT Technologies Ltd R 6/28/2016 9:30:00 AM
RGLS Regulus Therapeutics Inc. Q 6/28/2016 9:30:00 AM
FNCX Function(x) Inc. R 6/28/2016 9:30:00 AM
SCOR comScore, Inc. Q 6/28/2016 9:30:00 AM
PAVMU PAVmed Inc. Unit R 6/28/2016 9:30:01 AM
VLGEA Village Super Market Inc Cl A Q 6/28/2016 9:30:03 AM
RTTR Ritter Pharmaceuticals, CM R 6/28/2016 9:30:42 AM
TVIX VelocityShares Daily 2X VIX Q 6/28/2016 9:31:05 AM
GBLI Global Indemnity plc Ireland Q 6/28/2016 9:32:34 AM
SMLR Semler Scientific, Inc. R 6/28/2016 9:35:24 AM
TFSCW 1347 Capital Corp. Warrants R 6/28/2016 9:38:01 AM
OPXAW Opexa Therapeutics Warrant R 6/28/2016 9:38:22 AM
CCCL China Ceramics Co Cmn Stk R 6/28/2016 9:38:36 AM
DRAM DATARAM CORP R 6/28/2016 9:40:18 AM
AMDA Amedica Corporation R 6/28/2016 9:41:57 AM
PULM Pulmatrix, Inc. Cmn Stk Q 6/28/2016 9:49:46 AM
CYAD Celyad SA ADS Q 6/28/2016 9:50:00 AM
MBLX Metabolix, Inc. Cmn Stk R 6/28/2016 9:53:01 AM
RLJE RLJ Entertainment Inc R 6/28/2016 9:53:46 AM
FCSC Fibrocell Science Inc Cmn Stk R 6/28/2016 9:54:20 AM
ACST Acasti Pharma, Inc. Cl A Cmn R 6/28/2016 9:55:59 AM
DFBG Differential Brands Gp Cmn R 6/28/2016 10:03:11 AM
MNGA MagneGas Corporation Cmn Stk R 6/28/2016 10:19:03 AM
AHPI Allied Healthcare Products R 6/28/2016 10:23:44 AM
AMRS Amyris, Inc. Q 6/28/2016 10:39:51 AM
RITTW RIT Technologies WT exp 2018 R 6/28/2016 10:42:56 AM
TCBIW Texas Cap Bancshares Warrants Q 6/28/2016 10:43:19 AM
IPDN Professional Diversity Network R 6/28/2016 10:44:21 AM
MDVX Medovex Corp. Cmn R 6/28/2016 10:44:51 AM
RXII RXi Pharmaceuticals Corp R 6/28/2016 10:51:10 AM
NVET Nexvet Biopharma plc Ord Q 6/28/2016 10:58:06 AM
NTRA Natera Inc Common Stock Q 6/28/2016 11:11:36 AM
YECO Yulong Eco-Materials Ltd Ord R 6/28/2016 11:15:50 AM
MTSL MER Telemanagement Sol R 6/28/2016 11:22:18 AM
STAF Staffing 360 Solutions, Inc. R 6/28/2016 11:26:50 AM
TFSC 1347 Capital Corp. Common St R 6/28/2016 11:33:12 AM
KTOV Kitov Pharamceuticals Hold ADS R 6/28/2016 11:41:10 AM
RGSE Real Goods Solar, Inc. R 6/28/2016 11:47:47 AM
SEED Origin Agritech Limited Q 6/28/2016 11:49:36 AM
CELGZ Celgene Cp Cntgnt Value Rts Q 6/28/2016 11:52:44 AM
KTOVW Kitov Pharamceuticals Hold Wt R 6/28/2016 11:53:39 AM
VIVE Viveve Medical, Inc. Cm St R 6/28/2016 12:05:07 PM
PRKR ParkerVision Inc R 6/28/2016 12:23:18 PM
WTFCW Wintrust TARP Warrants Q 6/28/2016 12:26:58 PM
ZBIO ProShr UltraPro Sh Nasdaq Bio Q 6/28/2016 12:40:35 PM
SAEX SAEXPLORATION HLDGS Q 6/28/2016 12:47:54 PM
GGACW Gernero Grp Acq Warrant R 6/28/2016 1:28:04 PM
JSYNW Jensyn Acquistion Corp. WT R 6/28/2016 1:51:17 PM
LINK Interlink Electronics, Inc. CM R 6/28/2016 2:18:39 PM
MICT Micronet Enertec Tech Cmn Stk R 6/28/2016 2:19:22 PM
LPCN Lipocine Inc. Common Stock R 6/28/2016 2:55:12 PM
QTNT Quotient Limited Ordinary Shrs Q 6/28/2016 2:55:59 PM
LINDW Lindblad Expeditions Hlds Wt R 6/28/2016 3:08:02 PM
CERCZ Cerecor Inc. Cl B Wt R 6/28/2016 3:08:19 PM
VIIX VelocityShares VIX Short Term Q 6/28/2016 3:13:30 PM
HRMNW Harmony Merger Warrant R 6/28/2016 3:21:20 PM
ETRM EnteroMedics Inc R 6/28/2016 3:22:55 PM
MBII Marrone Bio Innovations, Inc. Q 6/28/2016 3:36:47 PM
RTK Rentech Inc. Common Stock R 6/28/2016 3:38:55 PM
ECTE ECHO THERAPEUTICS R 6/28/2016 3:55:17 PM
MYOS MYOS RENS Tech Cmn R 6/28/2016 3:55:51 PM
SSH Sunshine Heart Inc R 6/28/2016 3:57:10 PM
DELT Delta Technology Hld Ltd Ord R 6/28/2016 3:57:23 PM
CFRXW Contrafect Class A Warrants R 6/28/2016 4:03:45 PM