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, January 18,2018 1/18/2018 4:30:22 PM

Symbol Security Name Market Category Trigger Time
INSE Inspired Entertainment Cmn R 1/17/2018 9:30:00 AM
HTGM HTG Molecular Diagnostics Cmn R 1/17/2018 9:30:00 AM
SNGXW Soligenix, Inc. Wt R 1/17/2018 9:30:00 AM
OBLN Obalon Therapeutics Cmn Q 1/17/2018 9:30:00 AM
GNCA Genocea Biosciences, Inc. Q 1/17/2018 9:30:00 AM
HALO Halozyme Therapeutics Inc Q 1/17/2018 9:30:00 AM
RCON Recon Technology, Ltd. R 1/17/2018 9:30:00 AM
SPI SPI Energy Ord Shs Q 1/17/2018 9:30:01 AM
NVCR NovoCure Limited Ord Shs Q 1/17/2018 9:30:32 AM
DRIOW DarioHealth Corp. Wts R 1/17/2018 9:31:30 AM
SHSP SharpSpring, Inc. Cmn Stk R 1/17/2018 9:31:56 AM
EXEL Exelixis, Inc. Q 1/17/2018 9:33:05 AM
QADB QAD Inc Class B Q 1/17/2018 9:33:15 AM
LFIN LongFin Corp Cl A Cm Stk R 1/17/2018 9:34:13 AM
MYSZ My Size, Inc. Cmn Stk R 1/17/2018 9:34:14 AM
MNGA MagneGas Corporation Cmn Stk R 1/17/2018 9:34:14 AM
SGRP SPAR Group Inc R 1/17/2018 9:35:00 AM
MARA Marathon Patent Grp Inc R 1/17/2018 9:36:52 AM
FTD FTD Companies Inc Q 1/17/2018 9:37:06 AM
BHACR Barington/Hilco Acq Cp Rights R 1/17/2018 9:40:53 AM
DLPN Dolphin Entertainment, CS R 1/17/2018 9:41:14 AM
RKDA Arcadia Biosciences, Inc. CS R 1/17/2018 9:44:45 AM
ONSIW Oncobiologics, Inc. Ser A Wt Q 1/17/2018 9:44:49 AM
GROW U.S. Global Investors Inc R 1/17/2018 9:45:41 AM
WPCS WPCS INTL INC R 1/17/2018 9:46:55 AM
CPAH CounterPath Corporation R 1/17/2018 9:48:38 AM
RIOT Riot Blockchain, Inc. R 1/17/2018 9:49:01 AM
NETE Net Element, Inc. Cmn Stk R 1/17/2018 9:56:03 AM
ACLS Axcelis Technologies Inc. Q 1/17/2018 9:57:04 AM
SRAX Social Reality Cl A Cmn Stk R 1/17/2018 10:02:26 AM
IZEA IZEA Inc Common Stock R 1/17/2018 10:02:43 AM
LBCC Long Blockchain Corp. Cmn Stk R 1/17/2018 10:04:17 AM
ZKIN ZK Intnl Grp Co Ltd Ord Sh R 1/17/2018 10:04:42 AM
NCNA NuCana plc ADS Q 1/17/2018 10:04:45 AM
EXAS Exact Sciences Corporation R 1/17/2018 10:06:36 AM
CNET ChinaNet Online Holdings, Inc. R 1/17/2018 10:07:19 AM
OPGN OpGen, Inc. Common Stock R 1/17/2018 10:15:02 AM
SNES SenesTech, Inc. Common Stk R 1/17/2018 10:15:33 AM
OSN Ossen Innovation Co Ltd R 1/17/2018 10:18:22 AM
AMTX Aemetis, Inc. Common Stock Q 1/17/2018 10:23:12 AM
RGSE Real Goods Solar, Inc. R 1/17/2018 10:24:16 AM
LYL Dragon Victory Inter Ord Sh R 1/17/2018 10:26:03 AM
DFBG Differential Brands Gp Cmn R 1/17/2018 10:27:25 AM
MMDMW Modern Media Acquisition WRT R 1/17/2018 10:28:50 AM
NEWA Newater Technology, Inc. Cm St R 1/17/2018 10:32:56 AM
NCTY The9 Limited Q 1/17/2018 10:37:21 AM
NHLDW National Holdings Corp Wts R 1/17/2018 10:40:49 AM
NXTD Nxt-ID, Inc. Common Stock R 1/17/2018 10:41:11 AM
AVXL Anavex Life Sciences Cmn R 1/17/2018 10:45:40 AM
ABIL Ability Inc. R 1/17/2018 10:56:59 AM
GDEN Golden Entertainment Inc Q 1/17/2018 10:57:12 AM
TYME Tyme Technologies, Inc. Cmn R 1/17/2018 11:06:48 AM
FORM FORMFACTOR INC Q 1/17/2018 11:13:28 AM
INPX Inpixon Common Stock R 1/17/2018 11:13:43 AM
EYEGW Eyegate Pharmaceuticals Wts R 1/17/2018 11:19:46 AM
CDNA CareDx, Inc. Cmn Q 1/17/2018 11:27:43 AM
WHLRW Wheeler REIT Warrants R 1/17/2018 11:48:35 AM
COOL PolarityTE, Inc. Cmn Stk R 1/17/2018 11:49:12 AM
ATACR Atlantic Acquisition Corp. RT R 1/17/2018 11:50:55 AM
DFFN Diffusion Pharmaceuticals Inc. R 1/17/2018 12:15:23 PM
EASTW Eastside Distilling, Inc. WT R 1/17/2018 12:15:41 PM
RLJE RLJ Entertainment Inc R 1/17/2018 12:26:04 PM
IFRX InflaRx N.V. CM Q 1/17/2018 1:01:16 PM
RTTR Ritter Pharmaceuticals, CM R 1/17/2018 1:05:29 PM
AMRH Ameri Holdings, Inc. Cm St R 1/17/2018 1:43:48 PM
MTSL MER Telemanagement Sol R 1/17/2018 1:51:48 PM
CYAN Cyanotech Corporation R 1/17/2018 2:00:53 PM
TTNP Titan Pharma Common Stock R 1/17/2018 2:46:13 PM
XELB Xcel Brands, Inc. Cmn Stk Q 1/17/2018 2:50:53 PM
OPGNW OpGen, Inc. Warrant R 1/17/2018 2:57:09 PM
OXBRW Oxbridge Re Hldgs Ltd Warrants R 1/17/2018 3:05:35 PM
WLB Westmoreland Coal Company Q 1/17/2018 3:14:06 PM
NHTC Natural Health Trends Cp Cm R 1/17/2018 3:32:04 PM
BBGI Beasley Broadcast Group Inc Q 1/17/2018 3:42:46 PM
CPHC Canterbury Park Holding Corp Q 1/17/2018 3:47:23 PM
CLDC China Lending Corp Ord Shs R 1/17/2018 3:47:37 PM
SHLDW Sears Holdings Corporation Wrt Q 1/18/2018 9:30:00 AM
BHACW Barington/Hilco Acq Cp Wts R 1/18/2018 9:30:00 AM
DFFN Diffusion Pharmaceuticals Inc. R 1/18/2018 9:30:00 AM
OASM Oasmia Pharmaceutical AB ADS R 1/18/2018 9:30:00 AM
TTNP Titan Pharma Common Stock R 1/18/2018 9:30:00 AM
CVO Cenveo Inc Cmn Stk Q 1/18/2018 9:30:02 AM
EFSC ENTERPRISE FINANCIAL SERVICES Q 1/18/2018 9:30:14 AM
ONSIW Oncobiologics, Inc. Ser A Wt Q 1/18/2018 9:31:08 AM
DELT Delta Technology Hld Ltd Ord R 1/18/2018 9:31:29 AM
AKER Akers Biosciences Inc Cmn R 1/18/2018 9:32:00 AM
OACQR Origo Acquisition Cp Rt R 1/18/2018 9:32:48 AM
ARGS Argos Therapeutics, Inc. Q 1/18/2018 9:34:19 AM
EPIX ESSA Pharma Inc Common R 1/18/2018 9:34:44 AM
MSDIW Monster Digital, Inc. WT R 1/18/2018 9:35:01 AM
DMPI DelMar Pharma Common Stock R 1/18/2018 9:36:58 AM
USAU U.S. Gold Corp. R 1/18/2018 9:37:16 AM
APPN Appian Corporation Cl A Cmn Q 1/18/2018 9:38:25 AM
NUROW NeuroMetrix, Inc. Wt R 1/18/2018 9:39:03 AM
RETO ReTo Eco-Solutions, Inc. Cm St R 1/18/2018 9:39:33 AM
INPX Inpixon Common Stock R 1/18/2018 9:39:35 AM
NAUH National American Univrsty Hld Q 1/18/2018 9:44:17 AM
ORPN Bioblast Pharma Ltd. R 1/18/2018 9:45:29 AM
HAIR Restoration Robotics, Inc. CM Q 1/18/2018 9:46:03 AM
MYSZ My Size, Inc. Cmn Stk R 1/18/2018 9:46:27 AM
ONTX Onconova Therapeutics Inc R 1/18/2018 9:46:28 AM
SHOS Sears Hometown & Outlet Stores R 1/18/2018 9:49:25 AM
NEWA Newater Technology, Inc. Cm St R 1/18/2018 9:51:31 AM
NIHD NII Holdings, Inc. Cmn Stk Q 1/18/2018 9:55:49 AM
CELGZ Celgene Cp Cntgnt Value Rts Q 1/18/2018 10:06:13 AM
PRTK Paratek Pharmaceuticals, Inc. Q 1/18/2018 10:11:31 AM
ACERW Acer Therapeutics Warrant R 1/18/2018 10:19:00 AM
NDRA ENDRA Life Sciences Inc. CM R 1/18/2018 10:27:58 AM
ONSIZ Oncobiologics, Inc. Ser B Wt Q 1/18/2018 10:48:21 AM
GRVY GRAVITY Co., Ltd. R 1/18/2018 10:48:54 AM
PAVM PAVmed Inc. Common Stock R 1/18/2018 10:58:23 AM
TYME Tyme Technologies, Inc. Cmn R 1/18/2018 11:07:38 AM
ADTN ADTRAN Inc Q 1/18/2018 11:20:44 AM
CLIRW ClearSign Combustion Cp Wrt R 1/18/2018 12:00:56 PM
AMEH Apollo Medical Holdings Cmn R 1/18/2018 12:03:16 PM
PAVMW PAVmed Inc. Warrant R 1/18/2018 12:26:03 PM
EYEGW Eyegate Pharmaceuticals Wts R 1/18/2018 1:06:46 PM
DRIOW DarioHealth Corp. Wts R 1/18/2018 1:11:17 PM
JASNW Jason Industries, Inc. Warrant R 1/18/2018 1:32:08 PM
ELECW Electrum Special Acquisitio WT R 1/18/2018 1:38:06 PM
APDNW Applied DNA Scien Warrant R 1/18/2018 1:38:46 PM
OACQW Origo Acquisition Cp Wts R 1/18/2018 1:40:30 PM
RAVE Rave Restaurant Group, Inc. R 1/18/2018 2:18:29 PM
CTIB CTI Industries Corp R 1/18/2018 2:23:47 PM
SHIPW Seanergy Maritime Holdings Cor R 1/18/2018 2:41:09 PM
STLRW Stellar Acquisition III WRT R 1/18/2018 2:42:09 PM
PRTO Proteon Therapeutics Cm Stk Q 1/18/2018 2:50:22 PM
AGFSW AgroFresh Solu Warrants Q 1/18/2018 2:53:03 PM
TROV TrovaGene, Inc. Common Stock R 1/18/2018 3:09:33 PM
WHLRW Wheeler REIT Warrants R 1/18/2018 3:09:49 PM
OBLN Obalon Therapeutics Cmn Q 1/18/2018 3:18:40 PM
XELB Xcel Brands, Inc. Cmn Stk Q 1/18/2018 3:31:19 PM
SBPH Spring Bank Pharmaceuticals CS R 1/18/2018 3:48:05 PM
AYTU Aytu BioScience, Inc. Cm St R 1/18/2018 3:53:36 PM
ESTRW Estre Ambiental, Inc. Q 1/18/2018 3:57:29 PM
GPACW Global Partner Acq. Corp Wrt R 1/18/2018 3:58:54 PM