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
Thursday, December 14,2017 12/14/2017 4:30:20 PM

Symbol Security Name Market Category Trigger Time
ARCB ArcBest Corp Q 12/13/2017 9:30:00 AM
RIOT Riot Blockchain, Inc. R 12/13/2017 9:30:00 AM
LITE Lumentum Hlds Common Stk Q 12/13/2017 9:30:00 AM
HMNY Helios and Matheson Analytics R 12/13/2017 9:30:00 AM
MSDIW Monster Digital, Inc. WT R 12/13/2017 9:30:00 AM
BLBD Blue Bird Corp Cmn Stk Q 12/13/2017 9:30:08 AM
ARWR Arrowhead Pharmaceuticals Inc. Q 12/13/2017 9:31:44 AM
CHCI Comstock Holding Cos., Inc. R 12/13/2017 9:33:07 AM
LMFAW LM Funding America WT R 12/13/2017 9:33:16 AM
MYND MYnd Analytics, Inc. Cm St R 12/13/2017 9:35:01 AM
PTI Proteostasis Therapeutic Cm Q 12/13/2017 9:35:30 AM
SNNA Sienna Biopharmaceuticals Cmn Q 12/13/2017 9:37:05 AM
GHDX Genomic Health Health Inc Q 12/13/2017 9:37:09 AM
GLBR Global Brokerage, Inc. R 12/13/2017 9:41:15 AM
GSHTW Gores Holdings II, Inc. Wts R 12/13/2017 9:45:28 AM
EYESW Second Sight Mdl Products Wt R 12/13/2017 9:47:32 AM
NDRAW ENDRA Life Sciences Inc. WT R 12/13/2017 9:49:18 AM
WLB Westmoreland Coal Company Q 12/13/2017 9:49:40 AM
NEPT Neptune Tech & Bioresrc R 12/13/2017 9:51:42 AM
TOPS TOP Ships Inc R 12/13/2017 9:55:15 AM
NTLA Intellia Therapeutics, Inc. CS Q 12/13/2017 9:55:29 AM
DELTW Delta Tech Hldgs. Warrant R 12/13/2017 9:59:53 AM
CERCW Cerecor Inc. Cl A Wt R 12/13/2017 10:01:16 AM
INPX Inpixon Common Stock R 12/13/2017 10:03:23 AM
LENS Presbia PLC Ordinary Shs Q 12/13/2017 10:03:26 AM
BSPM Biostar Pharmaceuticals, Inc. R 12/13/2017 10:07:02 AM
SNES SenesTech, Inc. Common Stk R 12/13/2017 10:09:27 AM
BUR Burcon NutraScience Corp Q 12/13/2017 10:10:10 AM
ADXSW Advaxis, Inc. Warrants R 12/13/2017 10:16:56 AM
YECO Yulong Eco-Materials Ltd Ord R 12/13/2017 10:20:32 AM
EYES Second Sight Medical Cmn R 12/13/2017 10:26:37 AM
OXBRW Oxbridge Re Hldgs Ltd Warrants R 12/13/2017 10:26:52 AM
REXX Rex Energy Corporation R 12/13/2017 10:28:42 AM
ASTC Astrotech Corporation R 12/13/2017 10:35:09 AM
NETE Net Element, Inc. Cmn Stk R 12/13/2017 10:47:40 AM
ADOM ADOMANI, Inc. CM R 12/13/2017 10:52:49 AM
EFOI Energy Focus, Inc. Common Stk R 12/13/2017 11:14:23 AM
MCEP Mid-Con Energy Partners, LP Q 12/13/2017 11:27:29 AM
MYNDW MYnd Analytics, Inc. Wt R 12/13/2017 11:28:48 AM
BOXL Boxlight Corp Class A Cmn R 12/13/2017 11:29:23 AM
EKSO Ekso Bionics Holdings, Inc. R 12/13/2017 11:45:32 AM
PAVMW PAVmed Inc. Warrant R 12/13/2017 11:47:08 AM
FWP Forward Pharma A/S ADS Q 12/13/2017 11:47:09 AM
PYDS Payment Data Systems Cmn R 12/13/2017 12:17:36 PM
FNJN Finjan Holdings, Inc. Cmn Stk R 12/13/2017 12:19:05 PM
WRLSR Pensare Acquisition Corp Right R 12/13/2017 12:34:05 PM
AMRH Ameri Holdings, Inc. Cm St R 12/13/2017 12:36:22 PM
SLNO Soleno Therapeutics, Inc. R 12/13/2017 12:55:32 PM
EARS Auris Medical Holding AG Cmn R 12/13/2017 12:59:12 PM
BVSN BroadVision Inc R 12/13/2017 1:06:17 PM
CLRBZ Cellectar Biosciences Sr A WT R 12/13/2017 1:20:46 PM
LMFA LM Funding America Cmn Stk R 12/13/2017 1:35:44 PM
PZRX PhaseRx, Inc. Cm St R 12/13/2017 1:41:01 PM
OPNT Opiant Pharmaceuticals Cm St R 12/13/2017 1:52:25 PM
RDFN Redfin Corporation Cm St Q 12/13/2017 1:59:55 PM
CTXRW Citius Pharmaceuticals Wt R 12/13/2017 2:09:05 PM
NITE Nightstar Therapeutics plc ADS Q 12/13/2017 2:11:19 PM
TRCH Torchlight Energy Rsrc Cmn R 12/13/2017 2:12:43 PM
LINK Interlink Electronics, Inc. CM R 12/13/2017 2:22:44 PM
CELGZ Celgene Cp Cntgnt Value Rts Q 12/13/2017 2:37:23 PM
OPGN OpGen, Inc. Common Stock R 12/13/2017 2:47:40 PM
BLVDW Boulevard Acquisition Co II WT R 12/13/2017 3:55:53 PM
EVOK Evoke Pharma, Inc. Cmn R 12/13/2017 3:57:41 PM
ASNS Arsanis, Inc. CM Q 12/13/2017 4:00:00 PM
AEMD Aethlon Medical Common R 12/14/2017 9:30:00 AM
TNTR Tintri, Inc. CM Q 12/14/2017 9:30:00 AM
CRTO Criteo SA ADS Q 12/14/2017 9:30:00 AM
ONSIW Oncobiologics, Inc. Ser A Wt Q 12/14/2017 9:30:00 AM
GPP Green Plains Partners Cmn Un Q 12/14/2017 9:30:00 AM
AMRH Ameri Holdings, Inc. Cm St R 12/14/2017 9:30:00 AM
PZRX PhaseRx, Inc. Cm St R 12/14/2017 9:30:41 AM
PAVMW PAVmed Inc. Warrant R 12/14/2017 9:31:32 AM
CFMS ConforMIS, Inc. CS Q 12/14/2017 9:32:12 AM
QTNA Quantenna Communications CM Q 12/14/2017 9:32:21 AM
ALNA Allena Pharmaceuticals, Inc CM Q 12/14/2017 9:34:00 AM
VUZI Vuzix Corp Common Stock R 12/14/2017 9:35:01 AM
TOPS TOP Ships Inc R 12/14/2017 9:37:00 AM
MBTF MBT Financial Corp Q 12/14/2017 9:37:49 AM
MNGA MagneGas Corporation Cmn Stk R 12/14/2017 9:38:01 AM
ESGR Enstar Group Limited Q 12/14/2017 9:39:35 AM
BRPAR Big Rock Partners Acq RT R 12/14/2017 9:44:04 AM
RCON Recon Technology, Ltd. R 12/14/2017 9:45:54 AM
DRNA Dicerna Pharmaceuticals Inc Q 12/14/2017 9:46:33 AM
YTEN Yield10 Bioscience, Inc. R 12/14/2017 9:47:29 AM
ISSC Innovative Solutions & Support Q 12/14/2017 9:48:26 AM
VERU Veru Inc. R 12/14/2017 9:50:56 AM
CLRBZ Cellectar Biosciences Sr A WT R 12/14/2017 9:52:29 AM
CPAH CounterPath Corporation R 12/14/2017 10:00:37 AM
EYES Second Sight Medical Cmn R 12/14/2017 10:07:44 AM
BNTCW Benitec Biopharma Warrant R 12/14/2017 10:08:19 AM
TIG TiGenix ADS Q 12/14/2017 10:09:25 AM
SHIPW Seanergy Maritime Holdings Cor R 12/14/2017 10:14:05 AM
CALI China Auto Logistics Cmn R 12/14/2017 10:14:51 AM
APOPW Cellect Biotechnology Ltd. WT R 12/14/2017 10:15:00 AM
STRM Streamline Health Solutions R 12/14/2017 10:17:30 AM
GLBR Global Brokerage, Inc. R 12/14/2017 10:19:09 AM
WPCS WPCS INTL INC R 12/14/2017 10:21:46 AM
AMEH Apollo Medical Holdings Cmn R 12/14/2017 10:24:12 AM
GPACW Global Partner Acq. Corp Wrt R 12/14/2017 10:28:16 AM
CERCW Cerecor Inc. Cl A Wt R 12/14/2017 10:28:44 AM
EYESW Second Sight Mdl Products Wt R 12/14/2017 10:30:09 AM
CODX Co-Diagnostics, Inc. CM R 12/14/2017 10:30:26 AM
OPNT Opiant Pharmaceuticals Cm St R 12/14/2017 10:33:15 AM
ABIL Ability Inc. R 12/14/2017 10:36:26 AM
COOL PolarityTE, Inc. Cmn Stk R 12/14/2017 10:38:21 AM
ACERW Acer Therapeutics Warrant R 12/14/2017 10:38:34 AM
DCIX Diana Containerships Inc. Q 12/14/2017 10:38:43 AM
LENS Presbia PLC Ordinary Shs Q 12/14/2017 10:48:02 AM
RIBTW RiceBran Technologies Warrant R 12/14/2017 10:55:29 AM
FTR Frontier Communications Corp Q 12/14/2017 11:10:49 AM
MFIN Medallion Financial Corp Q 12/14/2017 11:15:40 AM
PTI Proteostasis Therapeutic Cm Q 12/14/2017 11:16:41 AM
NXTDW Nxt-ID, Inc. Warrant R 12/14/2017 11:17:40 AM
SAFM Sanderson Farms Inc Q 12/14/2017 11:29:52 AM
ROSEW Rosehill Resources Inc. Wts R 12/14/2017 11:35:10 AM
OXBRW Oxbridge Re Hldgs Ltd Warrants R 12/14/2017 12:14:24 PM
XOMA XOMA Corporation Q 12/14/2017 12:14:53 PM
BOXL Boxlight Corp Class A Cmn R 12/14/2017 12:30:30 PM
TTNP Titan Pharma Common Stock R 12/14/2017 12:33:33 PM
AHPAW Avista Healthcare Pub Acq Wrnt R 12/14/2017 12:43:19 PM
PIXY ShiftPixy, Inc. CS R 12/14/2017 12:50:33 PM
NEWA Newater Technology, Inc. Cm St R 12/14/2017 12:53:02 PM
MSDIW Monster Digital, Inc. WT R 12/14/2017 12:53:03 PM
TROV TrovaGene, Inc. Common Stock R 12/14/2017 1:18:25 PM
CMSSR CM Seven Star Acquisition RTS R 12/14/2017 1:18:35 PM
CYAD Celyad SA ADS Q 12/14/2017 1:36:02 PM
GNMK GenMark Diagnostics, Inc. Q 12/14/2017 1:39:08 PM
GTIM Good Times Restaurants R 12/14/2017 1:54:21 PM
ARWR Arrowhead Pharmaceuticals Inc. Q 12/14/2017 1:54:23 PM
MARK Remark Hldgs Inc. Cmn Stk R 12/14/2017 2:15:21 PM
CTXRW Citius Pharmaceuticals Wt R 12/14/2017 2:28:17 PM
FFBCW First Finan Bancorp Warrant Q 12/14/2017 2:30:03 PM
PSDV pSivida Corp Common Stock Q 12/14/2017 2:36:04 PM
SBOT Stellar Biotech Common Stock R 12/14/2017 2:43:26 PM
RBBN Ribbon Comm Inc Cmn Stk Q 12/14/2017 2:44:47 PM
LJPC La Jolla Pharmctl Co Common R 12/14/2017 2:46:55 PM
CHEKW Check-Cap Ltd. Srs A Wt R 12/14/2017 3:02:07 PM
PGNX Progenics Pharmaceuticals, Inc Q 12/14/2017 3:03:00 PM
RVEN Reven Housing REIT, Inc. R 12/14/2017 3:11:58 PM
DELTW Delta Tech Hldgs. Warrant R 12/14/2017 3:41:44 PM
NLST Netlist, Inc. R 12/14/2017 3:47:35 PM
HUNTW Hunter Maritime Acquisition W R 12/14/2017 3:48:53 PM
TMUSP T-Mobile US 5.5% Mn Cn Pfd A Q 12/14/2017 3:50:05 PM
SGLBW Sigma Labs, Inc. Wt R 12/14/2017 3:54:11 PM
CYTXW Cytori Therapeutics Inc WT R 12/14/2017 3:56:06 PM
GEOS Geospace Technologies Q 12/14/2017 3:56:46 PM
MYNDW MYnd Analytics, Inc. Wt R 12/14/2017 3:58:09 PM
IMTE Integrated Media Tech ORDS R 12/14/2017 3:58:45 PM
SHLDW Sears Holdings Corporation Wrt Q 12/14/2017 4:00:00 PM