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, September 20,2019 9/20/2019 4:30:34 PM

Symbol Security Name Market Category Trigger Time
APDN Applied DNA Sciences Cmn R 9/19/2019 9:30:00 AM
PRVB Provention Bio, Inc. Cm St R 9/19/2019 9:30:00 AM
VBIV VBI Vaccines, Inc. Cm Stk R 9/19/2019 9:30:00 AM
SPI SPI Energy Ord Shs Q 9/19/2019 9:30:00 AM
TMSR TMSR Holding Co Ltd Cmn R 9/19/2019 9:30:00 AM
HCACW Hennessy Capital Acquis WT R 9/19/2019 9:30:00 AM
OTLKW Outlook Therapeutics Ser A Wt R 9/19/2019 9:30:00 AM
GHSI Guardion Health Sciences Cm St R 9/19/2019 9:30:00 AM
BNGO Bionano Genomics, Inc. Cm St R 9/19/2019 9:30:58 AM
SAUC Diversified Restaurant Hldgs R 9/19/2019 9:32:15 AM
SNNA Sienna Biopharmaceuticals Cmn Q 9/19/2019 9:33:48 AM
BNTC Benitec Biopharma Ltd ADS R 9/19/2019 9:33:53 AM
PHCF Puhui Wealth Inv Mgmt Ord R 9/19/2019 9:34:09 AM
PBTS Powerbridge Technlgs Ord Shs R 9/19/2019 9:34:36 AM
EZPW EZCORP, Inc. Q 9/19/2019 9:35:45 AM
TTNP Titan Pharma Common Stock R 9/19/2019 9:36:36 AM
GLG Bat Group, Inc. R 9/19/2019 9:37:21 AM
RIOT Riot Blockchain, Inc. R 9/19/2019 9:39:49 AM
BCDA BioCardia, Inc. Cm St R 9/19/2019 9:43:20 AM
LXRX Lexicon Pharmaceuticals, Inc. Q 9/19/2019 9:43:43 AM
CNST Constellation Pharmaceuticals, Q 9/19/2019 9:45:32 AM
CRNCV Cerence Inc Common When Issued Q 9/19/2019 9:52:23 AM
MTFB Motif Bio plc ADR R 9/19/2019 10:04:13 AM
VIVE Viveve Medical, Inc. Cm St R 9/19/2019 10:04:58 AM
BCYC Bicycle Therapeutics plc ADS Q 9/19/2019 10:05:17 AM
ALACR Alberton Acq Corp Rights R 9/19/2019 10:11:20 AM
SCPH scPharmaceuticals Inc. Cmn Stk Q 9/19/2019 10:15:42 AM
ZYNE Zynerba Pharmaceuticals CS Q 9/19/2019 10:16:08 AM
CCCL China Ceramics Co Cmn Stk R 9/19/2019 10:16:45 AM
ADXS Advaxis, Inc. Common Stock Q 9/19/2019 10:18:41 AM
CETXW Cemtrex Inc. WTS R 9/19/2019 10:19:01 AM
ACRS Aclaris Therapeutics, Inc. Cmn Q 9/19/2019 10:20:10 AM
NDRAW ENDRA Life Sciences Inc. WT R 9/19/2019 10:22:25 AM
SRTSW Sensus Healthcare WT R 9/19/2019 10:23:08 AM
TOPS TOP Ships Inc R 9/19/2019 10:24:51 AM
LCAHW Landcadia Holdings II, Inc. Wt R 9/19/2019 10:29:55 AM
PT Pintec Technology Hldg Ltd ADS Q 9/19/2019 10:39:54 AM
NCSM NCS Multistage Holdings CM Q 9/19/2019 10:41:23 AM
FPAYW FlexShopper, Inc. Wt R 9/19/2019 10:42:26 AM
TBLTW ToughBuilt Ind Warrant R 9/19/2019 10:49:40 AM
CHEKW Check-Cap Ltd. Srs A Wt R 9/19/2019 10:50:48 AM
AGFSW AgroFresh Solu Warrants Q 9/19/2019 10:51:39 AM
CBNK Capital Bancorp, Inc. Cmn Stk Q 9/19/2019 10:59:16 AM
MRNS Marinus Pharmaceuticals CS Q 9/19/2019 11:02:34 AM
ARTL Artelo Biosciences, Inc. CS R 9/19/2019 11:24:29 AM
EVSIW Envision Solar Int WTS R 9/19/2019 11:26:26 AM
IGMS IGM Biosciences, Inc. Cmn Stk Q 9/19/2019 11:28:45 AM
CBAT CBAK Energy Technology, Inc. R 9/19/2019 11:56:55 AM
AGRX Agile Therapeutics, Inc. Cmn R 9/19/2019 12:02:13 PM
SUMR Summer Infant Inc. Cmn Stk R 9/19/2019 12:12:46 PM
PSTVZ PLUS THERAPEUTICS, Wts R 9/19/2019 12:24:18 PM
HJLIW Hancock Jaffe Laboratories Wts R 9/19/2019 12:31:13 PM
GFN Common Stock Q 9/19/2019 12:37:06 PM
NTEC Intec Pharma Ltd Ord Shrs R 9/19/2019 12:46:45 PM
GURE Gulf Resources, Inc. Q 9/19/2019 12:59:30 PM
ENDP Endo International plc Q 9/19/2019 1:13:59 PM
ESTR Estre Ambiental, Inc. Q 9/19/2019 1:17:00 PM
CIDM CINEDIGM CORP Q 9/19/2019 1:19:51 PM
SHIPW Seanergy Maritime Holdings Cor R 9/19/2019 1:38:54 PM
IEAWW Infrastructure & Enrgy Alt Wt R 9/19/2019 2:19:37 PM
MARK Remark Hldgs Inc. Cmn Stk R 9/19/2019 2:27:21 PM
BCDAW BioCardia, Inc. Wt R 9/19/2019 2:34:18 PM
HERD Pacer Csh Cw Fund of Funds ETF Q 9/19/2019 2:46:52 PM
IZEA IZEA Worldwide, Inc. Cmn Stk R 9/19/2019 2:58:30 PM
SNDL Sundial Growers Inc. Cm Sh Q 9/19/2019 3:06:08 PM
TUSK Mammoth Energy Services Cm St Q 9/19/2019 3:12:57 PM
EIDX Eidos Therapeutics, Inc. Cmn Q 9/19/2019 3:20:26 PM
BROGR Twelve Seas Investment RT R 9/19/2019 3:30:25 PM
BIMI NF Energy Saving Corporation R 9/19/2019 3:44:34 PM
TSRI TSR Inc R 9/19/2019 3:55:07 PM
HTGM HTG Molecular Diagnostics Cmn R 9/20/2019 9:30:00 AM
HCACW Hennessy Capital Acquis WT R 9/20/2019 9:30:00 AM
SMTX SMTC Corporation Q 9/20/2019 9:30:00 AM
TEUM Pareteum Corporation Cmn Stk R 9/20/2019 9:30:00 AM
MHLD Maiden Holdings, Ltd. Q 9/20/2019 9:30:04 AM
AMRH Ameri Holdings, Inc. Cm St R 9/20/2019 9:30:07 AM
AGFSW AgroFresh Solu Warrants Q 9/20/2019 9:30:53 AM
SAUC Diversified Restaurant Hldgs R 9/20/2019 9:31:01 AM
ZN Zion Oil & Gas Common Stock R 9/20/2019 9:32:20 AM
FTR Frontier Communications Corp Q 9/20/2019 9:37:55 AM
VIVE Viveve Medical, Inc. Cm St R 9/20/2019 9:38:16 AM
NAKD Naked Brand Group Limited Ord R 9/20/2019 9:39:29 AM
CUI CUI Global, Inc. Common Stock R 9/20/2019 9:39:33 AM
TKKSR TKK Symphony Acquisition RT R 9/20/2019 9:41:07 AM
GLG Bat Group, Inc. R 9/20/2019 9:46:49 AM
DSKEW Daseke, Inc. Warrant R 9/20/2019 9:53:28 AM
FPAYW FlexShopper, Inc. Wt R 9/20/2019 9:54:08 AM
THCBW Tuscan Holdings Corp.WTS R 9/20/2019 9:58:20 AM
STNLW Sentinel Energy Services WT R 9/20/2019 9:59:33 AM
ROKU Roku, Inc. Class A Common Stk Q 9/20/2019 9:59:34 AM
CTIB CTI Industries Corp R 9/20/2019 10:05:00 AM
KERNW Akerna Corp WT R 9/20/2019 10:07:24 AM
SUMR Summer Infant Inc. Cmn Stk R 9/20/2019 10:07:34 AM
GLACW Greenland Acquisition Corp WT R 9/20/2019 10:08:23 AM
WHLR Wheeler Real Estate Investment R 9/20/2019 10:08:43 AM
IMTE Integrated Media Tech ORDS R 9/20/2019 10:16:21 AM
ROSEW Rosehill Resources Inc. Wts R 9/20/2019 10:16:37 AM
SALM Salem Media Group, Inc. Cl A Q 9/20/2019 10:19:04 AM
AEMD Aethlon Medical Common R 9/20/2019 10:20:49 AM
WWR Westwater Resources, Inc. R 9/20/2019 10:23:00 AM
PTNR Partner Communications Co Ltd Q 9/20/2019 10:23:48 AM
SNOA Sonoma Pharmaceuticals R 9/20/2019 10:28:58 AM
DCAR DropCar, Inc. R 9/20/2019 10:29:58 AM
ECOR electroCore, Inc. Common Stk Q 9/20/2019 10:35:12 AM
TLGT Teligent, Inc. Common Stock Q 9/20/2019 10:45:04 AM
WINS Wins Finance Hldgs Ord Shs R 9/20/2019 10:52:37 AM
AEZS Aeterna Zentaris Inc. R 9/20/2019 11:01:27 AM
PEIX PACIFIC ETHANOL INC R 9/20/2019 11:01:53 AM
SBPH Spring Bank Pharmaceuticals CS R 9/20/2019 11:03:31 AM
USEG U S Energy Corp R 9/20/2019 11:05:13 AM
INSE Inspired Entertainment Cmn R 9/20/2019 11:06:11 AM
YRCW YRC Worldwide Inc Q 9/20/2019 11:17:59 AM
FRAN Francescas Holdings Corp Q 9/20/2019 11:18:43 AM
CHNR China Natural Resources, Inc. R 9/20/2019 11:21:21 AM
DMTKW DermTech, Inc. Warrant R 9/20/2019 11:23:20 AM
ONTX Onconova Therapeutics Inc R 9/20/2019 11:30:24 AM
EDTXW EdtechX Holdings Acq Wt R 9/20/2019 11:35:52 AM
VISL Vislink Tech Inc Common Stk R 9/20/2019 11:43:19 AM
EDSA Edesa Biotech Cm Shs R 9/20/2019 11:49:00 AM
BCDAW BioCardia, Inc. Wt R 9/20/2019 12:08:17 PM
EVSIW Envision Solar Int WTS R 9/20/2019 12:20:46 PM
BOXL Boxlight Corp Class A Cmn R 9/20/2019 12:26:34 PM
INMD InMode Ltd. ORD Q 9/20/2019 12:37:45 PM
GNUS Genius Brands Intl Inc R 9/20/2019 12:45:21 PM
AIHS Senmiao Technology Limited CM R 9/20/2019 12:53:01 PM
EYEN Eyenovia, Inc. CM R 9/20/2019 1:05:39 PM
IDYA IDEAYA Biosciences, Inc. Cmn Q 9/20/2019 1:34:28 PM
SINT SiNtx Technologies, Inc. R 9/20/2019 1:49:02 PM
TBLTW ToughBuilt Ind Warrant R 9/20/2019 1:58:55 PM
IRIX IRIDEX Corporation Q 9/20/2019 2:06:13 PM
NVLN Novelion Therapeutics Inc Q 9/20/2019 2:16:11 PM
BCYC Bicycle Therapeutics plc ADS Q 9/20/2019 2:17:09 PM
SCPH scPharmaceuticals Inc. Cmn Stk Q 9/20/2019 2:19:27 PM
DRIO DarioHealth Corp. Cmn Stk R 9/20/2019 2:21:48 PM
NCSM NCS Multistage Holdings CM Q 9/20/2019 2:23:25 PM
USAT USA Technologies Cmn Stk Q 9/20/2019 2:24:53 PM
HTBX Heat Biologics, Inc. Cmn Stk R 9/20/2019 2:28:17 PM
PT Pintec Technology Hldg Ltd ADS Q 9/20/2019 2:43:21 PM
TACOW Del Taco Restnts Warrants R 9/20/2019 2:50:14 PM
HBP Huttig Building Products, Inc. R 9/20/2019 3:13:30 PM
ASTC Astrotech Corporation R 9/20/2019 3:17:13 PM
WSTL Westell Technologies, Inc. R 9/20/2019 3:34:49 PM
APDN Applied DNA Sciences Cmn R 9/20/2019 3:39:21 PM
USATP USA Technologies, Inc. Q 9/20/2019 3:39:41 PM
VKTXW Viking Therapeutics, Inc. WTS R 9/20/2019 3:44:32 PM
BTAI BioXcel Therapeutics, Inc. Cmn R 9/20/2019 3:44:41 PM
REED Reeds, Inc. Common Stock R 9/20/2019 3:45:30 PM
ASNA Ascena Retail Group Cmn Stk Q 9/20/2019 3:47:19 PM
MICT MICT, Inc. Common Stock R 9/20/2019 3:47:48 PM
AREX Approach Resources Inc. Q 9/20/2019 3:49:52 PM
BRPAR Big Rock Partners Acq RT R 9/20/2019 3:52:43 PM
OPESW Opes Acquisition WT R 9/20/2019 3:54:38 PM
POLA Polar Power, Inc.CS R 9/20/2019 3:55:19 PM
BFC Bank First Corporation R 9/20/2019 3:55:22 PM
PRTH Priority Tech Hldgs Cmn R 9/20/2019 3:55:33 PM
NEPH Nephros, Inc. Common Stock R 9/20/2019 3:58:53 PM
FVE Five Star Senior Living Inc Cm R 9/20/2019 4:00:00 PM
WORX SCWorx Corp. R 9/20/2019 4:00:01 PM