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
Wednesday, March 20,2019 3/20/2019 4:15:25 AM

Symbol Security Name Market Category Trigger Time
UROV Urovant Sciences Ltd. CM Q 3/19/2019 9:30:00 AM
AQB AquaBounty Technologies CS R 3/19/2019 9:30:00 AM
DARE Dare Bioscience, Inc. R 3/19/2019 9:30:00 AM
HJLIW Hancock Jaffe Laboratories Wts R 3/19/2019 9:30:00 AM
INPX Inpixon Common Stock R 3/19/2019 9:30:00 AM
PFSW PFSweb Inc R 3/19/2019 9:30:01 AM
TORC resTORbio, Inc. CM Q 3/19/2019 9:30:01 AM
ASLN ASLAN Pharmaceuticals ADS Q 3/19/2019 9:30:02 AM
BCOM B Communications Ltd Q 3/19/2019 9:30:02 AM
TLGT Teligent, Inc. Common Stock Q 3/19/2019 9:30:03 AM
JAGX Jaguar Health, Inc. Cmn R 3/19/2019 9:30:24 AM
LPTX Leap Therapeutics Inc Cmn Stk Q 3/19/2019 9:31:31 AM
AREX Approach Resources Inc. Q 3/19/2019 9:32:18 AM
ASNA Ascena Retail Group Cmn Stk Q 3/19/2019 9:32:43 AM
PHAS PhaseBio Pharma Common Stk Q 3/19/2019 9:33:16 AM
LQDA Liquidia Technologies, Inc Cmn R 3/19/2019 9:33:18 AM
PHII Petroleum Helicopters Inc Q 3/19/2019 9:33:18 AM
SLNO Soleno Therapeutics, Inc. R 3/19/2019 9:35:04 AM
SELB Selecta Biosciences Common S Q 3/19/2019 9:36:34 AM
INNT Innovate Biopharma Cmn R 3/19/2019 9:37:41 AM
FLKS Flex Pharma, Inc. Cmn R 3/19/2019 9:38:46 AM
OXBR Oxbridge Re Hldgs Ord Shares R 3/19/2019 9:40:41 AM
CHEKZ Check-Cap Ltd. Sr C Wt R 3/19/2019 9:40:47 AM
EYEGW Eyegate Pharmaceuticals Wts R 3/19/2019 9:41:15 AM
SGRP SPAR Group Inc R 3/19/2019 9:42:05 AM
ARCI Appliance Recycling Centers R 3/19/2019 9:42:48 AM
IMGN ImmunoGen, Inc. Q 3/19/2019 9:43:25 AM
LENS Presbia PLC Ordinary Shs R 3/19/2019 9:53:49 AM
CTRV ContraVir Pharm Inc. R 3/19/2019 9:55:10 AM
SGLB Sigma Labs, Inc. Cm St R 3/19/2019 9:56:11 AM
BPTH Bio-Path Holdings, Inc. R 3/19/2019 9:57:20 AM
ALACR Alberton Acq Corp Rights R 3/19/2019 10:00:10 AM
HAIR Restoration Robotics, Inc. CM Q 3/19/2019 10:03:31 AM
SQBG Sequential Brands Group Cmn R 3/19/2019 10:04:23 AM
FTD FTD Companies Inc Q 3/19/2019 10:04:52 AM
AGFSW AgroFresh Solu Warrants Q 3/19/2019 10:05:04 AM
EARS Auris Medical Holding Ltd. R 3/19/2019 10:08:02 AM
HYRE HyreCar Inc. Cm St R 3/19/2019 10:14:02 AM
SCACW Saban Capital Acquisition WT R 3/19/2019 10:21:24 AM
CIFS China Internet Nationwid Or Sh Q 3/19/2019 10:30:23 AM
PHUN Phunware, Inc. Common Stock R 3/19/2019 10:32:31 AM
GRTS Gritstone Oncology, Inc. CM Q 3/19/2019 10:35:25 AM
TMCXW Trinity Merger Corp. WTS R 3/19/2019 10:38:48 AM
ENT Global Eagle Entmnt R 3/19/2019 10:43:46 AM
RBZ Reebonz Hldg Ltd R 3/19/2019 10:54:00 AM
TMDI Titan Medical Inc. Ord Shs R 3/19/2019 10:54:40 AM
ARYAW ARYA Sciences Acquisiton WT R 3/19/2019 11:05:43 AM
NIHD NII Holdings, Inc. Cmn Stk Q 3/19/2019 11:09:23 AM
SND Smart Sand, Inc. Cmn Stk Q 3/19/2019 11:14:30 AM
IPWR Ideal Power Inc. R 3/19/2019 11:15:59 AM
TACOW Del Taco Restnts Warrants R 3/19/2019 11:33:29 AM
PHUNW Phunware, Inc. Warrants R 3/19/2019 11:39:13 AM
ELTK Eltek Ltd. R 3/19/2019 11:40:30 AM
BRPAR Big Rock Partners Acq RT R 3/19/2019 11:42:03 AM
NVMM Novume Solutions, Inc. Cm St R 3/19/2019 11:50:00 AM
DSKEW Daseke, Inc. Warrant R 3/19/2019 11:57:53 AM
PDSB PDS Biotechnology R 3/19/2019 12:15:02 PM
SHIP Seanergy Maritime Hld Corp R 3/19/2019 12:19:08 PM
JSYNW Jensyn Acquistion Corp. WT R 3/19/2019 12:23:21 PM
CYTXZ Cytori Therapeutics Srs S Wts R 3/19/2019 12:37:34 PM
CUI CUI Global, Inc. Common Stock R 3/19/2019 1:00:52 PM
GLACR Greenland Acquisition Corp RT R 3/19/2019 1:02:58 PM
GNPX Genprex, Inc. CM R 3/19/2019 1:07:38 PM
TDACW Trident Acquisitions Corp. WT R 3/19/2019 1:12:10 PM
OPGN OpGen, Inc. Common Stock R 3/19/2019 1:13:00 PM
IEAWW Infrastructure & Enrgy Alt Wt R 3/19/2019 1:35:14 PM
TEUM Pareteum Corporation Cmn Stk R 3/19/2019 1:47:53 PM
KTOVW Kitov Pharma Ltd. Wts R 3/19/2019 2:02:34 PM
STPP iPath US Treasury Steepener Q 3/19/2019 2:34:34 PM
ATIS Attis Industries Inc. R 3/19/2019 2:37:11 PM
CTRM Castor Maritime Inc. CS R 3/19/2019 2:38:47 PM
SIEN Sientra, Inc. Cmn Q 3/19/2019 2:45:58 PM
ROSEW Rosehill Resources Inc. Wts R 3/19/2019 3:27:40 PM
DAVE Famous Dave's of America Inc Q 3/19/2019 3:31:50 PM
CETX Cemtrex Inc. Common Stock R 3/19/2019 3:33:25 PM
LGCY Legacy Reserves Inc. Cmn Stk Q 3/19/2019 3:38:47 PM
OHAI OHA Investment Corp Cmn Stk Q 3/19/2019 3:40:48 PM
PULM Pulmatrix, Inc. Cmn Stk R 3/19/2019 3:44:15 PM
AWSM Cool Holdings Inc. Common Stk R 3/19/2019 3:44:57 PM
NSTG NanoString Technologies Cmn Q 3/19/2019 3:45:14 PM
GLBS Globus Maritime Limited R 3/19/2019 3:51:07 PM