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, February 21,2017 2/21/2017 4:15:18 AM

Symbol Security Name Market Category Trigger Time
ARQL ArQule, Inc. Q 2/17/2017 9:30:00 AM
XTLB XTL Biopharmaceuticals Ltd ADS R 2/17/2017 9:30:00 AM
WATT Energous Corporation Cmn R 2/17/2017 9:30:00 AM
GALTW Galectin Therapeutics Inc. Wts R 2/17/2017 9:30:00 AM
BNTC Benitec Biopharma Ltd ADS R 2/17/2017 9:30:58 AM
ROCK Gibraltar Industries, Inc. Q 2/17/2017 9:31:25 AM
PSIX Power Solutions Intl Cmn Stk R 2/17/2017 9:31:28 AM
TYPE Monotype Imaging Holdings Inc. Q 2/17/2017 9:32:03 AM
VRML Vermillion, Inc. R 2/17/2017 9:32:52 AM
MCHX Marchex Inc Q 2/17/2017 9:33:17 AM
MIND Mitcham Industries Q 2/17/2017 9:33:24 AM
FNSR Finisar Corporation Q 2/17/2017 9:33:57 AM
MEMP Memorial Production Partners Q 2/17/2017 9:40:52 AM
PI Impinj Inc CM Q 2/17/2017 9:50:12 AM
IEPRR Icahn Enterprises L.P. Rt Q 2/17/2017 9:52:37 AM
BNTCW Benitec Biopharma Warrant R 2/17/2017 9:59:58 AM
EVAR Lombard Medical, Inc. Ord Shs Q 2/17/2017 10:05:27 AM
PME Pingtan Marine Enterprise R 2/17/2017 10:17:13 AM
CUR Neuralstem, Inc. R 2/17/2017 10:17:15 AM
KTOVW Kitov Pharamceuticals Hold Wt R 2/17/2017 10:20:56 AM
MBRX Moleculin Biotech, Inc. COM R 2/17/2017 10:24:02 AM
MARPS Marine Peteroleum Trust Units R 2/17/2017 10:24:31 AM
AGFSW AgroFresh Solu Warrants Q 2/17/2017 10:35:31 AM
SRTSW Sensus Healthcare WT R 2/17/2017 10:39:30 AM
ABEO Abeona Therapeutics Inc. R 2/17/2017 10:39:36 AM
OREX Orexigen Therapeutics, Inc. Q 2/17/2017 10:41:09 AM
MTFBW Motif Bio plc Wts ADRs R 2/17/2017 10:44:12 AM
CLDC China Lending Corp Ord Shs R 2/17/2017 10:58:07 AM
PAACW Pacific Special Acq Warrant R 2/17/2017 11:00:42 AM
NVFY Nova Lifestyle, Inc. Cmn Stk Q 2/17/2017 11:02:20 AM
RGLS Regulus Therapeutics Inc. Q 2/17/2017 11:05:18 AM
MRDNW Meridian Waste Solutions WTS R 2/17/2017 11:17:41 AM
INFI Infinity Pharmaceuticals, Inc. Q 2/17/2017 11:21:26 AM
ACUR Acura Pharmaceuticals Cmn R 2/17/2017 11:24:13 AM
ABAC Aoxin Tianli Grp Inc R 2/17/2017 11:45:49 AM
RXIIW RXi Pharmaceuticals Corp R 2/17/2017 11:56:44 AM
RKDA Arcadia Biosciences, Inc. CS Q 2/17/2017 12:07:53 PM
ONSIW Oncobiologics, Inc. Ser A Wt Q 2/17/2017 12:13:18 PM
ONSIZ Oncobiologics, Inc. Ser B Wt Q 2/17/2017 12:20:09 PM
PERF Perfumania Holdings, Inc R 2/17/2017 12:25:41 PM
EVK Ever-Glory IntLGrp Cmn Stk Q 2/17/2017 1:13:06 PM
FNCX Function(x) Inc. R 2/17/2017 1:21:53 PM
TEAR TearLab Corporation R 2/17/2017 1:54:04 PM
DCTH Delcath Systems Inc. R 2/17/2017 1:59:50 PM
CLRBW Cellectar Biosciences Wts R 2/17/2017 2:09:05 PM
PYDS Payment Data Systems Cmn R 2/17/2017 2:38:33 PM
BHACW Barington/Hilco Acq Cp Wts R 2/17/2017 2:47:59 PM
RTNB root9B Holdings, Inc. R 2/17/2017 3:27:59 PM
MYSZ My Size, Inc. Cmn Stk R 2/17/2017 3:33:51 PM
IMMY Imprimis Pharmaceuticals Cmn R 2/17/2017 3:57:18 PM