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, May 24,2018 5/24/2018 4:15:21 AM

Symbol Security Name Market Category Trigger Time
LMFA LM Funding America Cmn Stk R 5/23/2018 9:30:00 AM
RRGB REDROBINGOURMETBURGERS Q 5/23/2018 9:30:00 AM
ARDX Ardelyx, Inc. Cmn Stk Q 5/23/2018 9:30:00 AM
USOI CS XLnk CrdOil Cov Call ETN Q 5/23/2018 9:30:01 AM
FWP Forward Pharma A/S ADS Q 5/23/2018 9:30:01 AM
TITN Titan Machinery Inc. Q 5/23/2018 9:30:01 AM
FTD FTD Companies Inc Q 5/23/2018 9:30:05 AM
ACST Acasti Pharma, Inc. Cl A Cmn R 5/23/2018 9:30:09 AM
CDTI CDTI Advanced Materials R 5/23/2018 9:30:47 AM
ANY Sphere 3D Corp. R 5/23/2018 9:31:13 AM
IGLD Internet Gold-Gold Lines Ltd Q 5/23/2018 9:32:52 AM
SMRT Stein Mart Inc Q 5/23/2018 9:33:01 AM
TRMD TORM plc CLACOM Q 5/23/2018 9:34:33 AM
NVIV InVivo Theraptcs Hldg Cmn Q 5/23/2018 9:34:44 AM
CMTA Clementia Pharmaceutical Cm St Q 5/23/2018 9:34:56 AM
RELV Reliv' International Inc R 5/23/2018 9:35:37 AM
LMFAW LM Funding America WT R 5/23/2018 9:36:39 AM
OSPRW Osprey Energy Acquisition Wt R 5/23/2018 9:41:32 AM
AGFSW AgroFresh Solu Warrants Q 5/23/2018 9:47:35 AM
ATIS Attis Industries Inc. Cmn Stk R 5/23/2018 9:48:17 AM
ADOM ADOMANI, Inc. CM R 5/23/2018 9:50:38 AM
IAMXR I-AM Capital Acquisition Co Rt R 5/23/2018 9:53:59 AM
ALT Altimmune, Inc. Common Stock Q 5/23/2018 9:55:24 AM
XSPA XpresSpa Group, Inc. R 5/23/2018 9:59:03 AM
IMTE Integrated Media Tech ORDS R 5/23/2018 9:59:57 AM
ELECW Electrum Special Acquisitio WT R 5/23/2018 10:01:42 AM
EYESW Second Sight Mdl Products Wt R 5/23/2018 10:13:35 AM
HUNTW Hunter Maritime Acquisition W R 5/23/2018 10:26:31 AM
FCRE FC Global Realty Inc R 5/23/2018 10:37:54 AM
DISCB Discovery, Inc. Ser B Q 5/23/2018 10:41:59 AM
MICT Micronet Enertec Tech Cmn Stk R 5/23/2018 10:43:30 AM
SRAX Social Reality Cl A Cmn Stk R 5/23/2018 10:48:17 AM
KONA Kona Grill Inc Q 5/23/2018 10:50:03 AM
CRIS Curis Inc Q 5/23/2018 10:57:49 AM
AMMA Alliance MMA, Inc. Cmn R 5/23/2018 10:57:57 AM
YRIV Yangtze Riv Pt & Log Ltd Q 5/23/2018 10:58:10 AM
OPGNW OpGen, Inc. Warrant R 5/23/2018 11:03:32 AM
KTOVW Kitov Pharma Ltd. Wts R 5/23/2018 11:07:32 AM
ADXSW Advaxis, Inc. Warrants R 5/23/2018 11:07:51 AM
CHEKW Check-Cap Ltd. Srs A Wt R 5/23/2018 11:16:06 AM
ATLC Atlanticus Holdings Corp Q 5/23/2018 11:17:41 AM
SLNOW Soleno Therapeutics Wts A R 5/23/2018 11:21:10 AM
AMCN AirMedia Group Inc ADS Q 5/23/2018 11:34:56 AM
CLRBW Cellectar Biosciences Wts R 5/23/2018 11:41:33 AM
ESTRW Estre Ambiental, Inc. Q 5/23/2018 11:41:55 AM
IAMXW I-AM Capital Acquisition Wt R 5/23/2018 11:46:46 AM
DLBS iPath US Treas Long Bond Bear Q 5/23/2018 11:47:06 AM
MYND MYnd Analytics, Inc. Cm St R 5/23/2018 12:00:15 PM
EARS Auris Medical Holding AG Cmn R 5/23/2018 12:23:42 PM
SESN Sesen Bio, Inc. Q 5/23/2018 12:26:46 PM
HMNY Helios and Matheson Analytics R 5/23/2018 12:28:46 PM
FTR Frontier Communications Corp Q 5/23/2018 12:31:34 PM
ACHV Achieve Life Sciences, Inc. R 5/23/2018 12:36:48 PM
EMITF Elbit Imaging Ltd. Ord Shs Q 5/23/2018 12:49:36 PM
CLIRW ClearSign Combustion Cp Wrt R 5/23/2018 12:54:18 PM
RSLS ReShape Lifesciences Inc. R 5/23/2018 1:11:39 PM
CLDC China Lending Corp Ord Shs R 5/23/2018 1:14:21 PM
AMRH Ameri Holdings, Inc. Cm St R 5/23/2018 1:14:39 PM
JASNW Jason Industries, Inc. Warrant R 5/23/2018 1:21:53 PM
TNTR Tintri, Inc. CM Q 5/23/2018 1:21:56 PM
RMNI Rimini Street, Inc. Q 5/23/2018 1:41:01 PM
BHACW Barington/Hilco Acq Cp Wts R 5/23/2018 1:47:29 PM
SNGXW Soligenix, Inc. Wt R 5/23/2018 1:50:22 PM
BRACR Black Ridge Acq Corp. RT R 5/23/2018 1:59:26 PM
EVK Ever-Glory IntLGrp Cmn Stk Q 5/23/2018 2:08:42 PM
MEIP MEI PHARMA, INC. COM R 5/23/2018 2:14:24 PM
LIVX LiveXLive Media, Inc. Cm St R 5/23/2018 2:21:17 PM
BYSI BeyondSpring Inc. Ord Shrs R 5/23/2018 2:46:24 PM
NEBUW Nebula Acquisition Corp WTS R 5/23/2018 2:46:46 PM
SUMR Summer Infant Inc. Cmn Stk R 5/23/2018 2:53:02 PM
THST Truett Hurst Class A Commmon R 5/23/2018 2:53:08 PM
PAVM PAVmed Inc. Common Stock R 5/23/2018 3:24:13 PM
SNSS Sunesis Pharmaceuticals Inc R 5/23/2018 3:24:54 PM
BCACR Bison Cap Acquistion Cp Right R 5/23/2018 3:25:48 PM
CYTXW Cytori Therapeutics Inc WT R 5/23/2018 3:33:36 PM
OMNT Ominto, Inc. Cm St R 5/23/2018 3:43:34 PM
SGLB Sigma Labs, Inc. Cm St R 5/23/2018 3:56:33 PM