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, March 28,2017 3/28/2017 4:30:18 PM

Symbol Security Name Market Category Trigger Time
FOMX Foamix Pharmaceuticals Ord Q 3/27/2017 9:30:00 AM
MSDI Monster Digital, Inc. CS R 3/27/2017 9:30:00 AM
CAPNW Capnia, Inc. Series A Warrant R 3/27/2017 9:30:00 AM
ONSIW Oncobiologics, Inc. Ser A Wt Q 3/27/2017 9:30:00 AM
HOTRW Chanticleer Warrants R 3/27/2017 9:30:00 AM
GIII G-III Apparel Group LTD Q 3/27/2017 9:30:00 AM
ARQL ArQule, Inc. Q 3/27/2017 9:30:00 AM
ZIONW Zions Bancorporation Wts Q 3/27/2017 9:30:15 AM
ZIONZ Zions Bancorporation Q 3/27/2017 9:30:16 AM
SYRS Syros Pharmaceuticals CM Q 3/27/2017 9:30:18 AM
SWIR Sierra Wireless Inc Q 3/27/2017 9:31:17 AM
INPX Inpixon Common Stock R 3/27/2017 9:41:00 AM
CALI China Auto Logistics Cmn R 3/27/2017 9:41:48 AM
SRAX Social Reality Cl A Cmn Stk R 3/27/2017 9:47:38 AM
ARDM Aradigm Corporation Cmn Stk R 3/27/2017 9:52:08 AM
ZAIS ZAIS Group Holdings Cl A Cmn R 3/27/2017 9:56:45 AM
NXEOU Nexeo Solutions, Inc. Unit R 3/27/2017 9:58:54 AM
PFIN P & F Industries Inc Cl A Q 3/27/2017 10:04:01 AM
CERCZ Cerecor Inc. Cl B Wt R 3/27/2017 10:05:43 AM
STDY SteadyMed Ltd Ord Shares Q 3/27/2017 10:15:24 AM
NVCN Neovasc Inc. Cmn Shs R 3/27/2017 10:15:54 AM
VVPR VivoPower International Ord Sh R 3/27/2017 10:21:24 AM
NXEOW Nexeo Solutions, Inc. Warrant R 3/27/2017 10:42:15 AM
CTG Computer Task Group, Inc. Q 3/27/2017 10:46:16 AM
WHLRW Wheeler REIT Warrants R 3/27/2017 10:55:56 AM
ELTK Eltek Ltd R 3/27/2017 11:32:14 AM
ANDAW Andina Acq CP WT R 3/27/2017 12:12:40 PM
EAGLW Double Eagle Acquisition WT R 3/27/2017 12:23:00 PM
AGFSW AgroFresh Solu Warrants Q 3/27/2017 12:43:06 PM
AXARW Axar Acquisition Cp. Wt R 3/27/2017 12:43:23 PM
SHIPW Seanergy Maritime Holdings Cor R 3/27/2017 1:11:44 PM
FVE Five Star Senior Living Inc Cm R 3/27/2017 1:59:18 PM
MTSL MER Telemanagement Sol R 3/27/2017 2:05:30 PM
ALQA Alliqua BioMedical, Inc. R 3/27/2017 2:21:47 PM
HIIQ Health Insurance Innovations, Q 3/27/2017 3:11:11 PM
SSH Sunshine Heart Inc R 3/27/2017 3:28:12 PM
ARGS Argos Therapeutics, Inc. Q 3/27/2017 3:29:37 PM
JYNT The Joint Corp Cmn R 3/27/2017 3:35:45 PM
MBII Marrone Bio Innovations, Inc. R 3/27/2017 3:53:41 PM
HTGM HTG Molecular Diagnostics Cmn Q 3/28/2017 9:30:00 AM
MICTW Micronet Enertec Technolog Wts R 3/28/2017 9:30:00 AM
TURN 180 Degree Capital Corp. Cmn Q 3/28/2017 9:30:00 AM
AVEO AVEO Pharmaceuticals, Inc. Q 3/28/2017 9:30:00 AM
STAF Staffing 360 Solutions, Inc. R 3/28/2017 9:30:00 AM
SCON SUPERCONDUCTOR TECH R 3/28/2017 9:30:00 AM
ORIG Ocean Rig UDW Inc Q 3/28/2017 9:30:00 AM
CYRX CryoPort, Inc. Cmn Stk R 3/28/2017 9:30:00 AM
CAPNW Capnia, Inc. Series A Warrant R 3/28/2017 9:30:00 AM
DGLY Digital Ally, Inc. Cmn R 3/28/2017 9:30:00 AM
FFKT Farmers Capital Bank Corp Q 3/28/2017 9:30:00 AM
CGIX Cancer Genetics, Inc. R 3/28/2017 9:30:30 AM
APOPW Cellect Biotechnology Ltd. WT R 3/28/2017 9:31:10 AM
ABEOW Abeona Therapeutics Wts R 3/28/2017 9:31:20 AM
CYRXW CryoPort, Inc. Warrants R 3/28/2017 9:31:35 AM
MGEN Miragen Therapeutics Inc R 3/28/2017 9:32:12 AM
CERCW Cerecor Inc. Cl A Wt R 3/28/2017 9:34:07 AM
APOP Cellect Biotechnology Ltd. ADR R 3/28/2017 9:35:08 AM
CERCZ Cerecor Inc. Cl B Wt R 3/28/2017 9:36:33 AM
RNVAZ Rennova Health, Inc. WTS R 3/28/2017 9:42:36 AM
RAVN Raven Industries, Inc. Q 3/28/2017 9:51:38 AM
COYN COPsync Inc Common Stock R 3/28/2017 9:53:56 AM
AUPH Aurinia Pharmaceuticals Ord Sh Q 3/28/2017 9:54:47 AM
RGLS Regulus Therapeutics Inc. Q 3/28/2017 9:56:34 AM
GEVO Gevo, Inc. Common Stock R 3/28/2017 10:01:22 AM
COYNW COPsync, Inc. Warrant R 3/28/2017 10:11:06 AM
BVXVW BiondVax Pharmaceuticals Wts R 3/28/2017 10:19:22 AM
CDEVW Centennial Res Dv Wts R 3/28/2017 10:29:03 AM
CHEKW Check-Cap Ltd. Srs A Wt R 3/28/2017 10:32:57 AM
EGAN eGain Corporation R 3/28/2017 10:38:09 AM
EBIO Eleven Biotherapeutics, Inc. Q 3/28/2017 10:38:58 AM
CLRBZ Cellectar Biosciences Sr A WT R 3/28/2017 11:08:32 AM
LMFAW LM Funding America WT R 3/28/2017 11:13:05 AM
GALT Galectin Therapeutics Cmn Stk R 3/28/2017 11:14:35 AM
CBMXW CombiMatrix Corporation WT R 3/28/2017 11:23:13 AM
MTSL MER Telemanagement Sol R 3/28/2017 11:27:20 AM
PAVMW PAVmed Inc. Warrant R 3/28/2017 11:40:51 AM
PXS Pyxis Tankers Inc Common Stk R 3/28/2017 11:41:11 AM
PAVM PAVmed Inc. Common Stock R 3/28/2017 11:48:52 AM
CLIRW ClearSign Combustion Cp Wrt R 3/28/2017 11:50:52 AM
XELB Xcel Brands, Inc. Cmn Stk Q 3/28/2017 11:56:42 AM
INAP Internap Corp Cmn Stk Q 3/28/2017 12:13:37 PM
INSEW Inspired Entertainment Wts R 3/28/2017 12:17:44 PM
RXDX Ignyta, Inc. Common Stock R 3/28/2017 12:26:32 PM
DELTW Delta Tech Hldgs. Warrant R 3/28/2017 12:43:58 PM
EYEGW Eyegate Pharmaceuticals Wts R 3/28/2017 12:57:13 PM
HOTRW Chanticleer Warrants R 3/28/2017 1:33:55 PM
CETXW Cemtrex Inc. WTS R 3/28/2017 2:26:48 PM
MNKD MannKind Corporation Q 3/28/2017 2:30:26 PM
VRAY ViewRay, Inc. Cm St Q 3/28/2017 2:31:05 PM
EACQW Easterly Acquisition Corp. WT R 3/28/2017 2:35:58 PM
ARGS Argos Therapeutics, Inc. Q 3/28/2017 2:47:42 PM
INPX Inpixon Common Stock R 3/28/2017 2:52:04 PM
LONE Lonestar Resources US CM ST A Q 3/28/2017 3:03:55 PM
ATOS Atossa Genetics Inc. R 3/28/2017 3:05:09 PM
MTFBW Motif Bio plc Wts ADRs R 3/28/2017 3:06:37 PM
TROVW Trovagene inc warrant R 3/28/2017 3:19:48 PM
RETA Reata Pharmaceuticals CLA CM Q 3/28/2017 3:20:03 PM
TWMC Trans World Entertainment Cp Q 3/28/2017 3:26:22 PM
ABIL Ability Inc. R 3/28/2017 3:43:38 PM
TVIX VelocityShares Daily 2X VIX Q 3/28/2017 3:46:33 PM
CNXR Connecture, Inc. Cmn Q 3/28/2017 3:47:11 PM
SGLBW Sigma Labs, Inc. Wt R 3/28/2017 3:58:31 PM
FNTEW FinTech Acquisition Cp II Wt R 3/28/2017 4:34:46 PM