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
Friday, July 20,2018 7/20/2018 4:15:23 AM

Symbol Security Name Market Category Trigger Time
CERCW Cerecor Inc. Cl A Wt R 7/19/2018 9:30:00 AM
UFPI Universal Forest Products Inc. Q 7/19/2018 9:30:00 AM
HJLIW Hancock Jaffe Laboratories Wts R 7/19/2018 9:30:00 AM
NURO NeuroMetrix, Inc. Cmn R 7/19/2018 9:30:00 AM
PRPO Precipio, Inc. Cmn Stk R 7/19/2018 9:30:00 AM
MRSN Mersana Therapeutics CM Q 7/19/2018 9:30:00 AM
RECN Resources Connection Inc Q 7/19/2018 9:30:02 AM
MDGS Medigus Ltd ADS R 7/19/2018 9:30:48 AM
DISCB Discovery, Inc. Ser B Q 7/19/2018 9:31:01 AM
SCVL Shoe Carnival Inc Q 7/19/2018 9:31:14 AM
OASM Oasmia Pharmaceutical AB ADS R 7/19/2018 9:32:00 AM
IDRA Idera Pharmaceuticals, Inc. R 7/19/2018 9:32:29 AM
KZIA Kazia Therapeutics Limited ADS R 7/19/2018 9:32:41 AM
NTIC Northern Technologies Intl Q 7/19/2018 9:33:53 AM
VRML Vermillion, Inc. R 7/19/2018 9:34:10 AM
JMU JMU Limited ADS Q 7/19/2018 9:34:12 AM
CYTXZ Cytori Therapeutics Srs S Wts R 7/19/2018 9:34:49 AM
CTG Computer Task Group, Inc. Q 7/19/2018 9:41:35 AM
EASTW Eastside Distilling, Inc. WT R 7/19/2018 9:55:55 AM
EBAY eBay Inc. Q 7/19/2018 9:56:13 AM
MMDMR Modern Media Acquisition RT R 7/19/2018 9:57:19 AM
BNTCW Benitec Biopharma Warrant R 7/19/2018 10:03:11 AM
AIHS Senmiao Technology Limited CM R 7/19/2018 10:08:51 AM
CLRB Cellectar Biosciences, Inc. R 7/19/2018 10:20:56 AM
CKPT Checkpoint Therapeutics, CS R 7/19/2018 10:39:16 AM
CXDC China XD Plastics Company Ltd Q 7/19/2018 10:39:29 AM
AMDA Amedica Corporation R 7/19/2018 10:39:35 AM
IAMXR I-AM Capital Acquisition Co Rt R 7/19/2018 10:53:24 AM
CTIB CTI Industries Corp R 7/19/2018 10:58:24 AM
DRIOW DarioHealth Corp. Wts R 7/19/2018 11:01:59 AM
NHLDW National Holdings Corp Wts R 7/19/2018 11:09:58 AM
BBOX Black Box Corporation Q 7/19/2018 11:17:31 AM
NHTC Natural Health Trends Cp Cm R 7/19/2018 11:20:39 AM
RFIL RF Industries Ltd Q 7/19/2018 11:29:05 AM
MMDMW Modern Media Acquisition WRT R 7/19/2018 11:30:23 AM
KBLMW KBL Merger Corp. IV WTS R 7/19/2018 11:31:41 AM
ENTXW Entera Bio Ltd.WT R 7/19/2018 11:44:08 AM
CHEKW Check-Cap Ltd. Srs A Wt R 7/19/2018 11:44:20 AM
CYTXW Cytori Therapeutics Inc WT R 7/19/2018 11:49:05 AM
CENX Century Aluminum Company Q 7/19/2018 11:54:07 AM
DOTAU Draper Oakwood Tech Aq. UT R 7/19/2018 11:54:43 AM
EVFM Evofem Biosciences Inc Common R 7/19/2018 12:04:37 PM
STAF Staffing 360 Solutions Cmn R 7/19/2018 12:06:51 PM
DTRM Determine, Inc. R 7/19/2018 12:07:55 PM
RWLK ReWalk Robotics Ltd Ord Shares R 7/19/2018 12:50:45 PM
SCHL Scholastic Corp Q 7/19/2018 12:54:05 PM
INPX Inpixon Common Stock R 7/19/2018 1:05:37 PM
AGMH AGM Group Holdings Cl A Ord R 7/19/2018 1:36:47 PM
SNGXW Soligenix, Inc. Wt R 7/19/2018 1:42:44 PM
GLG China Commercial Credit, Inc. R 7/19/2018 1:49:48 PM
NVEC NVE Corporation R 7/19/2018 1:55:37 PM
HDSN Hudson Technologies R 7/19/2018 2:03:19 PM
ALT Altimmune, Inc. Common Stock Q 7/19/2018 2:59:56 PM
RGSE Real Goods Solar, Inc. R 7/19/2018 3:08:34 PM
XGTIW xG Technology, Inc R 7/19/2018 3:11:38 PM
MCFT MCBC Holdings, Inc. Cmn Q 7/19/2018 3:17:25 PM
MBUU Malibu Boats, Inc. Cl A Cmn Q 7/19/2018 3:43:38 PM
OTIV On Track Innovations Ordinary R 7/19/2018 3:49:50 PM
ADXSW Advaxis, Inc. Warrants R 7/19/2018 3:54:22 PM
ALRN Aileron Therapeutics, Inc. CS Q 7/19/2018 3:59:34 PM