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, May 24,2019 5/24/2019 4:30:27 PM

Symbol Security Name Market Category Trigger Time
PLUS ePlus inc. Q 5/23/2019 9:30:00 AM
PRTO Proteon Therapeutics Cm Stk Q 5/23/2019 9:30:00 AM
TTOO T2 Biosystems, Inc. CS Q 5/23/2019 9:30:00 AM
OBLN Obalon Therapeutics Cmn Q 5/23/2019 9:30:00 AM
ONVO Organovo Hldgs Inc Cmn Stk Q 5/23/2019 9:30:00 AM
ROSE Rosehill Resources Inc Cl A Cm R 5/23/2019 9:30:00 AM
SBLK Star Bulk Carriers Corp Q 5/23/2019 9:30:00 AM
ASCMA Ascent Capital Group A Q 5/23/2019 9:30:00 AM
SINA SINA Corporation Q 5/23/2019 9:30:00 AM
WB Weibo Corporation ADS Q 5/23/2019 9:30:00 AM
OTLK Outlook Therapeutics Cm St R 5/23/2019 9:30:01 AM
RNWK RealNetworks Inc Q 5/23/2019 9:30:02 AM
CTRN Citi Trends Inc Q 5/23/2019 9:30:14 AM
XELA Exela Tech Inc R 5/23/2019 9:30:19 AM
PAVMZ PAVmed Inc. Wt Series Z R 5/23/2019 9:30:28 AM
CODX Co-Diagnostics, Inc. CM R 5/23/2019 9:30:31 AM
TRMD TORM plc CLACOM Q 5/23/2019 9:31:01 AM
NTAP NetApp, Inc. Q 5/23/2019 9:33:18 AM
TBLT ToughBuilt Ind Common Stock R 5/23/2019 9:34:21 AM
AGRX Agile Therapeutics, Inc. Cmn R 5/23/2019 9:34:22 AM
TOUR Tuniu Corporation ADS Q 5/23/2019 9:34:31 AM
KBLMW KBL Merger Corp. IV WTS R 5/23/2019 9:34:58 AM
MYNDW MYnd Analytics, Inc. Wt R 5/23/2019 9:35:04 AM
VRNT Verint Systems Inc Q 5/23/2019 9:35:38 AM
GRNQ Greenpro Capital Corp. Cmn Stk R 5/23/2019 9:38:17 AM
DMPI DelMar Pharmaceuticals R 5/23/2019 9:39:03 AM
MPB Mid Penn Bancorp Q 5/23/2019 9:40:54 AM
EFOI Energy Focus, Inc. Common Stk R 5/23/2019 9:41:49 AM
CIFS China Internet Nationwid Or Sh Q 5/23/2019 9:43:32 AM
DRRX DURECT Corporation Q 5/23/2019 9:43:40 AM
JFKKW 8i Enterprises Acquisition WT R 5/23/2019 9:47:16 AM
BIOC Biocept Inc. R 5/23/2019 9:47:57 AM
RCON Recon Technology, Ltd. R 5/23/2019 9:47:59 AM
LYL Dragon Victory Inter Ord Sh R 5/23/2019 9:48:54 AM
XOG Extraction Oil & Gas CM Q 5/23/2019 9:51:07 AM
NCTY The9 Ltd ADS R 5/23/2019 9:52:36 AM
JMU JMU Limited ADS Q 5/23/2019 9:57:25 AM
KTOVW Kitov Pharma Ltd. Wts R 5/23/2019 9:59:23 AM
CPAH CounterPath Corporation R 5/23/2019 10:01:33 AM
TOCA Tocagen Inc. Common Stock Q 5/23/2019 10:02:13 AM
JYNT The Joint Corp Cmn R 5/23/2019 10:03:30 AM
BCOM B Communications Ltd Q 5/23/2019 10:07:13 AM
TBLTW ToughBuilt Ind Warrant R 5/23/2019 10:07:37 AM
TCON TRACON Pharmaceutical Cmn Stk Q 5/23/2019 10:08:07 AM
OSMT Osmotica Pharma plc Ord Shs Q 5/23/2019 10:11:21 AM
CGIX Cancer Genetics, Inc. R 5/23/2019 10:12:45 AM
TEDU Tarena International Inc ADR Q 5/23/2019 10:13:57 AM
CELGZ Celgene Cp Cntgnt Value Rts Q 5/23/2019 10:14:55 AM
INMB INmune Bio Inc. CS R 5/23/2019 10:15:14 AM
OPHC OPTIMUMBANK HLDGS R 5/23/2019 10:15:28 AM
AMRWW Alta Mesa Resources, Inc. Wts R 5/23/2019 10:17:06 AM
TAIT Taitron Components Cl A R 5/23/2019 10:21:23 AM
UXIN Uxin Limited ADS Q 5/23/2019 10:23:42 AM
NCSM NCS Multistage Holdings CM Q 5/23/2019 10:24:16 AM
TRVN Trevena, Inc. Q 5/23/2019 10:25:13 AM
VERI Veritone, Inc. CM Q 5/23/2019 10:26:01 AM
ROSEW Rosehill Resources Inc. Wts R 5/23/2019 10:31:24 AM
HTBX Heat Biologics, Inc. Cmn Stk R 5/23/2019 10:39:03 AM
NDRA ENDRA Life Sciences Inc. CM R 5/23/2019 10:41:12 AM
NOVN Novan, Inc. CM Q 5/23/2019 10:58:54 AM
ENT Global Eagle Entmnt R 5/23/2019 11:00:19 AM
SCVL Shoe Carnival Inc Q 5/23/2019 11:05:11 AM
PIXY ShiftPixy, Inc. CS R 5/23/2019 11:10:56 AM
NVUS Novus Therapeutics, Inc. R 5/23/2019 11:13:09 AM
WKHS Workhorse Group Common Stock R 5/23/2019 11:23:13 AM
AMRH Ameri Holdings, Inc. Cm St R 5/23/2019 11:33:28 AM
SFET Safe-T Group Ltd ADS R 5/23/2019 11:43:26 AM
FTD FTD Companies Inc Q 5/23/2019 11:44:22 AM
MCRB Seres Therapeutics Cmn Stk Q 5/23/2019 11:46:15 AM
ESTA Establishment Labs Holdings In R 5/23/2019 12:02:01 PM
INNT Innovate Biopharma Cmn R 5/23/2019 12:04:32 PM
JSYNW Jensyn Acquistion Corp. WT R 5/23/2019 12:06:18 PM
QUMU QUMU CORPORATION R 5/23/2019 12:09:52 PM
UPL Ultra Petroleum Corp. Cmn Stk Q 5/23/2019 12:15:33 PM
INPX Inpixon Common Stock R 5/23/2019 12:18:45 PM
VLRX Valeritas Holdings, Inc. CS R 5/23/2019 12:20:16 PM
APDN Applied DNA Sciences Cmn R 5/23/2019 12:20:46 PM
HAIR Restoration Robotics, Inc. CM Q 5/23/2019 12:21:03 PM
TLGT Teligent, Inc. Common Stock Q 5/23/2019 12:21:52 PM
CNET ChinaNet Online Holdings, Inc. R 5/23/2019 12:22:55 PM
JFKKR 8i Enterprises Acquisition RT R 5/23/2019 12:24:32 PM
YGYI Youngevity International Cm St R 5/23/2019 12:38:30 PM
AEMD Aethlon Medical Common R 5/23/2019 12:41:20 PM
AGFSW AgroFresh Solu Warrants Q 5/23/2019 12:50:54 PM
ICON Iconix Brand Group, Inc. Q 5/23/2019 1:03:07 PM
BLIN Bridgeline Digital, Inc. R 5/23/2019 1:03:48 PM
CADC China Advd Cnstrctn Mtrls Grp R 5/23/2019 1:06:45 PM
KXINW Kaixin Auto Holdings WT R 5/23/2019 1:14:24 PM
ZYNE Zynerba Pharmaceuticals CS Q 5/23/2019 1:18:51 PM
TLSA Tiziana Life Sciences plc ADS Q 5/23/2019 1:19:31 PM
FCSC Fibrocell Science Inc. R 5/23/2019 1:22:06 PM
LQDA Liquidia Technologies, Inc Cmn R 5/23/2019 1:28:18 PM
SLGG Super League Gaming Cmn Stk R 5/23/2019 1:34:02 PM
DYNT DYNATRONICS CP R 5/23/2019 1:38:11 PM
EGLE Eagle Bulk Shipping Inc. Q 5/23/2019 1:46:10 PM
WAFU Wah Fu Education Group Ltd Ord R 5/23/2019 1:51:38 PM
CTXRW Citius Pharmaceuticals Wt R 5/23/2019 2:06:48 PM
IEA Infrastructure & Enrgy Alt Cm R 5/23/2019 2:13:00 PM
BGFV Big5SportingGoodsCorporation Q 5/23/2019 2:14:26 PM
CREX Creative Realities Inc. Cmn R 5/23/2019 2:26:00 PM
FBIO Fortress Biotech, Inc. R 5/23/2019 2:28:26 PM
AKER Akers Biosciences Inc. R 5/23/2019 2:29:35 PM
AXSM Axsome Therapeutics, Inc. CS Q 5/23/2019 2:36:59 PM
MREO Mereo BioPharma Grp plc ADS Q 5/23/2019 2:40:54 PM
OPGNW OpGen, Inc. Warrant R 5/23/2019 2:42:08 PM
SRRK Scholar Rock Holding Corp CM Q 5/23/2019 2:50:36 PM
XBIO Xenetic Biosciences Cmn R 5/23/2019 3:00:00 PM
ABEOW Abeona Therapeutics Wts R 5/23/2019 3:01:03 PM
CNACW Constellation Alpha Capital Wt R 5/23/2019 3:07:20 PM
RYTM Rhythm Pharmaceuticals CM Q 5/23/2019 3:09:25 PM
BIMI NF Energy Saving Corporation R 5/23/2019 3:16:03 PM
SELB Selecta Biosciences Common S Q 5/23/2019 3:19:12 PM
MBOT Microbot Medical Inc R 5/23/2019 3:20:56 PM
CAPR Capricor Therapeutics Cmn R 5/23/2019 3:24:49 PM
TNXP Tonix Pharma Hldg Cmn Stk Q 5/23/2019 3:33:38 PM
MDJH MDJM LTD ORD R 5/23/2019 3:38:05 PM
EYES Second Sight Medical Cmn R 5/23/2019 3:38:35 PM
SIEB Siebert Financial Corp R 5/23/2019 3:42:56 PM
DXLG DESTINATION XL GRP Q 5/23/2019 3:44:20 PM
CLPS CLPS Incorporation CM Q 5/23/2019 3:48:39 PM
CBAT CBAK Energy Technology, Inc. Q 5/23/2019 3:52:22 PM
MBIO Mustang Bio, Inc. CM Q 5/23/2019 3:53:21 PM
CYTK CYTOKINETICS Q 5/23/2019 3:55:56 PM
BLMN Bloomin' Brands, Inc. Q 5/23/2019 3:56:56 PM
CRZO Carrizo Oil & Gas Inc Q 5/23/2019 3:59:12 PM
SPI SPI Energy Ord Shs Q 5/23/2019 3:59:17 PM
LGCY Legacy Reserves Inc. Cmn Stk Q 5/24/2019 9:30:00 AM
DMPI DelMar Pharmaceuticals R 5/24/2019 9:30:00 AM
IMRN Immuron Limited ADS R 5/24/2019 9:30:00 AM
LTBR Lightbridge Corp Cmn Stk R 5/24/2019 9:30:00 AM
ONVO Organovo Hldgs Inc Cmn Stk Q 5/24/2019 9:30:00 AM
DFFN Diffusion Pharmaceuticals Inc. R 5/24/2019 9:30:00 AM
SLS SELLAS Life Sciences Gp Cmn R 5/24/2019 9:30:00 AM
MYT Urban Tea, Inc. R 5/24/2019 9:30:00 AM
KXIN Kaixin Auto Holdings R 5/24/2019 9:30:00 AM
EYEGW Eyegate Pharmaceuticals Wts R 5/24/2019 9:30:01 AM
JFKKR 8i Enterprises Acquisition RT R 5/24/2019 9:30:01 AM
PMTS CPI Card Group Inc. R 5/24/2019 9:30:06 AM
PETZ TDH Holdings, Inc. Cmn Shrs R 5/24/2019 9:30:44 AM
VTGN VistaGen Therapeutics, Com R 5/24/2019 9:32:08 AM
FAT FAT Brands Inc. Cmn Stk R 5/24/2019 9:32:24 AM
ZN Zion Oil & Gas Common Stock Q 5/24/2019 9:35:26 AM
ENG ENGlobal Corp Cmn Stk R 5/24/2019 9:35:36 AM
TWMC Trans World Entertainment Cp Q 5/24/2019 9:35:39 AM
OBLN Obalon Therapeutics Cmn Q 5/24/2019 9:35:47 AM
TBLTW ToughBuilt Ind Warrant R 5/24/2019 9:37:45 AM
OTLKW Outlook Therapeutics Ser A Wt R 5/24/2019 9:40:02 AM
BIQI BIQI Intl Hldgs Cp Shs R 5/24/2019 9:54:24 AM
VLRX Valeritas Holdings, Inc. CS R 5/24/2019 10:03:09 AM
CAPR Capricor Therapeutics Cmn R 5/24/2019 10:11:22 AM
GHSI Guardion Health Sciences Cm St R 5/24/2019 10:12:03 AM
RCON Recon Technology, Ltd. R 5/24/2019 10:12:41 AM
SANW S&W Seed Company R 5/24/2019 10:13:49 AM
CETX Cemtrex Inc. Common Stock R 5/24/2019 10:17:28 AM
GLACR Greenland Acquisition Corp RT R 5/24/2019 10:24:01 AM
WRLSR Pensare Acquisition Corp Right R 5/24/2019 10:27:42 AM
AREC American Resources Cp Cm A R 5/24/2019 10:34:14 AM
DLPN Dolphin Entertainment, CS R 5/24/2019 10:54:46 AM
MTECW MTech Acquisition Corp. WT R 5/24/2019 10:55:46 AM
AEMD Aethlon Medical Common R 5/24/2019 10:57:12 AM
PAYS Paysign, Inc. R 5/24/2019 11:00:28 AM
LMFAW LM Funding America WT R 5/24/2019 11:01:36 AM
CYTXZ Cytori Therapeutics Srs S Wts R 5/24/2019 11:04:41 AM
NESRW National Energy SV Reunited WT R 5/24/2019 11:07:31 AM
MUDSW Mudrick Capital Acquisition WT R 5/24/2019 11:09:12 AM
TRPX Therapix Biosciences Ltd. ADS R 5/24/2019 11:17:21 AM
DVAX Dynavax Technologies Corp R 5/24/2019 11:21:02 AM
ASV ASV Holdings, Inc. CM R 5/24/2019 11:22:38 AM
EDNT Edison Nation, Inc. Cm St R 5/24/2019 11:23:56 AM
ROSEU Rosehill Resources Inc. Ut R 5/24/2019 11:28:54 AM
MICT MICT, Inc. Common Stock R 5/24/2019 11:29:47 AM
IMRNW Immuron Limited R 5/24/2019 11:35:44 AM
BNSO Bonso Electronics Int'l R 5/24/2019 11:37:51 AM
STIM Neuronetics, Inc. Common Stock Q 5/24/2019 11:47:18 AM
NVCN Neovasc Inc. Cmn Shs R 5/24/2019 12:32:36 PM
ALPN Alpine Immune Sciences Cmn Q 5/24/2019 12:41:34 PM
IEAWW Infrastructure & Enrgy Alt Wt R 5/24/2019 12:44:27 PM
IFRX InflaRx N.V. CM Q 5/24/2019 1:03:46 PM
ROSE Rosehill Resources Inc Cl A Cm R 5/24/2019 1:04:09 PM
EYESW Second Sight Mdl Products Wt R 5/24/2019 1:06:14 PM
CNTF China TechFaith Wireless Commu Q 5/24/2019 1:09:13 PM
SPLK Splunk Inc Q 5/24/2019 1:17:34 PM
AGFSW AgroFresh Solu Warrants Q 5/24/2019 1:20:22 PM
ESTRW Estre Ambiental, Inc. Q 5/24/2019 1:21:01 PM
SNSS Sunesis Pharmaceuticals Inc R 5/24/2019 1:37:56 PM
ENTX Entera Bio Ltd. Ord Shs R 5/24/2019 1:40:11 PM
TKKSW TKK Symphony Acquisition WT R 5/24/2019 1:40:21 PM
PIXY ShiftPixy, Inc. CS R 5/24/2019 1:57:27 PM
ALACW Alberton Acquisition Corp WT R 5/24/2019 2:14:19 PM
XYN Xynomic Pharmaceuticals R 5/24/2019 2:23:36 PM
MTFBW Motif Bio plc Wts ADRs R 5/24/2019 2:29:38 PM
CNACW Constellation Alpha Capital Wt R 5/24/2019 2:31:09 PM
THWWW Target Hospit Cp Wts R 5/24/2019 2:40:02 PM
NXTDW Nxt-ID, Inc. Warrant R 5/24/2019 3:06:49 PM
GWGH GWG Holdings Inc Common Stock R 5/24/2019 3:09:37 PM
WINS Wins Finance Hldgs Ord Shs R 5/24/2019 3:19:10 PM
XELA Exela Tech Inc R 5/24/2019 3:31:17 PM
ICON Iconix Brand Group, Inc. Q 5/24/2019 3:35:59 PM
REKR Rekor Systems, Inc. Cmn Stk R 5/24/2019 3:54:39 PM
CLGN CollPlant Holdings, Ltd. ADS R 5/24/2019 3:55:40 PM
CTRV ContraVir Pharm Inc. R 5/24/2019 4:00:00 PM