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
Monday, January 27,2020 1/27/2020 4:15:27 AM

Symbol Security Name Market Category Trigger Time
TBLT ToughBuilt Ind Common Stock R 1/24/2020 9:30:00 AM
SNES SenesTech, Inc. Common Stk R 1/24/2020 9:30:00 AM
TBLTW ToughBuilt Ind Warrant R 1/24/2020 9:30:00 AM
SCON SUPERCONDUCTOR TECH R 1/24/2020 9:30:00 AM
EYESW Second Sight Mdl Products Wt R 1/24/2020 9:30:00 AM
CHFS CHF Solutions, Inc. R 1/24/2020 9:30:00 AM
CODX Co-Diagnostics, Inc. CM R 1/24/2020 9:30:00 AM
EPZM Epizyme, Inc. Common Stock Q 1/24/2020 9:32:03 AM
HSDT Helius Medical Tech Cl A Cmn R 1/24/2020 9:32:12 AM
INNT Innovate Biopharma Cmn R 1/24/2020 9:32:14 AM
TWMC Trans World Entertainment Cm R 1/24/2020 9:34:00 AM
TC TuanChe Limited ADS R 1/24/2020 9:34:13 AM
LLIT Lianluo Smart Limited R 1/24/2020 9:35:05 AM
BLCM Bellicum Pharmaceuticals Comm Q 1/24/2020 9:36:33 AM
CLRO CLEARONE INC. R 1/24/2020 9:36:50 AM
PSTVZ PLUS THERAPEUTICS, Wts R 1/24/2020 9:36:55 AM
GLG Bat Group, Inc. R 1/24/2020 9:39:18 AM
EDRY EuroDry Ltd. R 1/24/2020 9:40:17 AM
VXRT Vaxart, Inc. R 1/24/2020 9:40:17 AM
AMAG AMAG Pharmaceuticals, Inc. Q 1/24/2020 9:41:57 AM
AREC American Resources Cp Cm A R 1/24/2020 9:42:16 AM
TOPS TOP Ships Inc R 1/24/2020 9:44:10 AM
ONTXW Onconova Therapeutics, Inc. WT R 1/24/2020 9:44:29 AM
GRNQ Greenpro Capital Corp. Cmn Stk R 1/24/2020 9:46:08 AM
ESEA Euroseas Ltd. Common Stock R 1/24/2020 9:50:48 AM
SWKH SWK Holdings Corporation CS R 1/24/2020 9:51:49 AM
LMB Limbach Holdings, Inc.CS R 1/24/2020 9:52:25 AM
AFH Atlas Financial Holdings, Inc. R 1/24/2020 9:52:26 AM
MDJH MDJM LTD ORD R 1/24/2020 9:56:06 AM
VERU Veru Inc. R 1/24/2020 9:58:28 AM
WORX SCWorx Corp. R 1/24/2020 10:01:40 AM
AEMD Aethlon Medical, Inc. R 1/24/2020 10:03:18 AM
ARTW Arts-Way Manufacturing Co R 1/24/2020 10:06:19 AM
CETXW Cemtrex Inc. WTS R 1/24/2020 10:06:31 AM
NTRP Neurotrope, Inc. Cmn Stk R 1/24/2020 10:10:51 AM
ROSEW Rosehill Resources Inc. Wts R 1/24/2020 10:10:54 AM
ADXS Advaxis, Inc. Common Stock Q 1/24/2020 10:11:57 AM
AGTC Applied Genetic Technologies C Q 1/24/2020 10:23:55 AM
FTSV Forty Seven, Inc. Cmn Stk Q 1/24/2020 10:26:43 AM
DLPNW Dolphin Entertainment, WTS R 1/24/2020 10:33:59 AM
SFET Safe-T Group Ltd ADS R 1/24/2020 10:34:08 AM
BXRX Baudax Bio, Inc. Cmn Stk R 1/24/2020 10:38:40 AM
PIXY ShiftPixy, Inc. CS R 1/24/2020 10:39:57 AM
TAOP Taoping Inc. R 1/24/2020 10:40:03 AM
ENDP Endo International plc Q 1/24/2020 10:44:18 AM
GNUS Genius Brands Intl Inc R 1/24/2020 10:52:46 AM
LIVKW LIV Capital Acquisition WTS R 1/24/2020 10:56:11 AM
SXTC China SXT Pharmaceuticals Ords R 1/24/2020 10:56:58 AM
PT Pintec Technology Hldg Ltd ADS Q 1/24/2020 10:58:14 AM
GNPX Genprex, Inc. CM R 1/24/2020 11:06:58 AM
IKNX Ikonics Corporation R 1/24/2020 11:11:06 AM
VLRX Valeritas Holdings, Inc. CS R 1/24/2020 11:22:53 AM
VTVT vTv Therapeutics Inc Cl A Cm R 1/24/2020 11:23:51 AM
SPI SPI Energy Ord Shs Q 1/24/2020 11:34:53 AM
HOOK HOOKIPA Pharma Inc. Common Stk Q 1/24/2020 11:39:33 AM
JAN JanOne Inc. R 1/24/2020 11:45:42 AM
NDRA ENDRA Life Sciences Inc. CM R 1/24/2020 11:58:21 AM
AKBA Akebia Therapeutics, Inc. Cmn Q 1/24/2020 11:59:33 AM
PTE PolarityTE, Inc. Cmn Stk R 1/24/2020 12:01:47 PM
ACMR ACM Research, Inc. Cl A Cmn Q 1/24/2020 12:04:00 PM
CNCE Concert Pharmaceuticals, Inc. Q 1/24/2020 12:04:50 PM
IMAB I-MAB ADS Q 1/24/2020 12:08:53 PM
CETX Cemtrex Inc. R 1/24/2020 12:09:10 PM
LK Luckin Coffee Inc. ADS Q 1/24/2020 12:10:23 PM
LMNL Liminal BioSciences Cmn Shs Q 1/24/2020 12:11:19 PM
SBPH Spring Bank Pharmaceuticals CS R 1/24/2020 12:12:48 PM
ABUS Arbutus Biopharma Cp Cmn Stk Q 1/24/2020 12:15:02 PM
AIHS Senmiao Technology Limited CM R 1/24/2020 12:22:18 PM
BNGOW Bionano Genomics, Inc.WT R 1/24/2020 12:26:31 PM
UMRX Unum Therapeutics Inc. CM Q 1/24/2020 12:26:36 PM
DYAI Dyadic International, Inc Cmn R 1/24/2020 12:31:07 PM
KBLMW KBL Merger Corp. IV WTS R 1/24/2020 12:32:00 PM
BLPH Bellerophon Thera Common Stock R 1/24/2020 12:32:08 PM
ACAMW Acamar Partners Acqstn Wts R 1/24/2020 12:34:27 PM
VRCA Verrica Pharmaceuticals COM Q 1/24/2020 12:52:14 PM
ADRO Aduro Biotech, Inc. Cmn Q 1/24/2020 12:54:39 PM
CRSAW Crescent Acquisition Corp Wt R 1/24/2020 12:59:31 PM
CPAH CounterPath Corporation R 1/24/2020 12:59:41 PM
SNSS Sunesis Pharmaceuticals Inc R 1/24/2020 1:04:03 PM
GTIM Good Times Restaurants R 1/24/2020 1:18:10 PM
FTEO FRONTEO, Inc. ADS Q 1/24/2020 1:18:23 PM
NNDM Nano Dimension Ltd ADS R 1/24/2020 1:19:04 PM
TACOW Del Taco Restnts Warrants R 1/24/2020 1:20:27 PM
TRIB Trinity Biotech PLC ADR Q 1/24/2020 1:29:49 PM
VTIQW VectoIQ Acquisition Corp.WT R 1/24/2020 1:43:57 PM
ELGX Endologix, Inc. Q 1/24/2020 1:44:16 PM
BIMI BOQI International Medical Cmn R 1/24/2020 1:46:31 PM
FLGT Fulgent Genetics, Inc. CM Q 1/24/2020 1:52:22 PM
BRID Bridgford Foods Corporation Q 1/24/2020 2:09:13 PM
NLTX Neoleukin Therapeutics, Inc. Q 1/24/2020 2:10:50 PM
SEED Origin Agritech Limited R 1/24/2020 2:11:50 PM
TEDU Tarena International Inc ADR Q 1/24/2020 2:12:28 PM
FRAN Francescas Holdings Corp Q 1/24/2020 2:15:29 PM
HJLI Hancock Jaffe Laboratories Cmn R 1/24/2020 2:16:52 PM
NERV Minerva Neurosciences Cmn Q 1/24/2020 2:19:44 PM
ADMS Adamas Pharmaceuticals, Inc Cm Q 1/24/2020 2:20:29 PM
LQDA Liquidia Technologies, Inc Cmn R 1/24/2020 2:22:54 PM
IQ iQIYI, Inc. ADS Q 1/24/2020 2:24:17 PM
PHAS PhaseBio Pharma Common Stk Q 1/24/2020 2:24:58 PM
ALNA Allena Pharmaceuticals, Inc CM Q 1/24/2020 2:26:55 PM
MITO Stealth BioTherapeutics ADS Q 1/24/2020 2:28:59 PM
BRPAW Big Rock Partners Acq WT R 1/24/2020 2:29:45 PM
TEUM Pareteum Corporation Cmn Stk R 1/24/2020 2:30:57 PM
AGFSW AgroFresh Solu Warrants Q 1/24/2020 2:31:47 PM
ACOR Acorda Therapeutics Q 1/24/2020 2:31:49 PM
ASLN ASLAN Pharmaceuticals ADS Q 1/24/2020 2:33:13 PM
AUBN Auburn National Bancorporation Q 1/24/2020 2:34:11 PM
ACTTW Act II Global Acquisition Wt R 1/24/2020 2:35:56 PM
KIRK KIRKLANDSINC Q 1/24/2020 2:43:13 PM
KERNW Akerna Corp WT R 1/24/2020 2:44:57 PM
OTIC Otonomy, Inc. Q 1/24/2020 2:45:33 PM
SOLOW Electrameccanica Vehicles Wts R 1/24/2020 2:59:24 PM
IMTE Integrated Media Tech ORDS R 1/24/2020 3:02:11 PM
PECK The Peck Co Hldgs Cmn R 1/24/2020 3:02:35 PM
UROV Urovant Sciences Ltd. CM Q 1/24/2020 3:07:57 PM
IMGN ImmunoGen, Inc. Q 1/24/2020 3:26:07 PM
FLLCR Fellazo Inc. RT R 1/24/2020 3:26:37 PM
SGBX SG Blocks, Inc. Common Stock R 1/24/2020 3:28:45 PM
YVR Liquid Media Group Cmn R 1/24/2020 3:31:24 PM
SHIPZ Seanergy Maritime CL B Warrant R 1/24/2020 3:37:03 PM
SNCA Seneca Biopharma, Inc. Cmn R 1/24/2020 3:41:10 PM
LTRPB Liberty TripAdvisor Hldgs B Cm Q 1/24/2020 3:42:22 PM
MCRB Seres Therapeutics Cmn Stk Q 1/24/2020 3:44:09 PM
NESRW National Energy SV Reunited WT R 1/24/2020 3:52:58 PM
CRON Cronos Group Inc.CS Q 1/24/2020 3:53:23 PM
SELB Selecta Biosciences Common S Q 1/24/2020 3:55:45 PM
MNLO Menlo Therapeutics Inc Cmn Stk Q 1/24/2020 3:58:23 PM
AVDL Avadel Pharmaceuticals plc Q 1/24/2020 3:59:24 PM
WISA Summit Wireless Tech Cmn R 1/24/2020 3:59:30 PM
NRBO NeuroBo Pharmaceuticals Cmn R 1/24/2020 4:00:00 PM