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, November 15,2019 11/15/2019 4:30:27 PM

Symbol Security Name Market Category Trigger Time
VTGN VistaGen Therapeutics, Com R 11/14/2019 9:30:00 AM
IDEX Ideanomics, Inc. Cmn Stk R 11/14/2019 9:30:00 AM
SINA SINA Corporation Q 11/14/2019 9:30:00 AM
HGSH China HGS Real Estate Cmn Stk R 11/14/2019 9:30:00 AM
TNXP Tonix Pharma Hldg Cmn Stk Q 11/14/2019 9:30:00 AM
ECOR electroCore, Inc. Common Stk Q 11/14/2019 9:30:00 AM
LLIT Lianluo Smart Limited R 11/14/2019 9:30:00 AM
SONGW Akazoo S.A. WTS R 11/14/2019 9:30:00 AM
LPCN Lipocine Inc. Common Stock R 11/14/2019 9:30:00 AM
JAGX Jaguar Health, Inc. Cmn R 11/14/2019 9:30:00 AM
LYL Dragon Victory Inter Ord Sh R 11/14/2019 9:30:00 AM
AXLA Axcella Health Inc.CS Q 11/14/2019 9:30:00 AM
BCRX BioCryst Pharmaceuticals, Inc. Q 11/14/2019 9:30:00 AM
PHIO Phio Pharmaceuticals Corp. R 11/14/2019 9:30:00 AM
WSTL Westell Technologies, Inc. R 11/14/2019 9:30:00 AM
FLGT Fulgent Genetics, Inc. CM Q 11/14/2019 9:30:00 AM
XNET Xunlei Limited ADR Q 11/14/2019 9:30:00 AM
LIQT LiqTech International, Inc Cmn R 11/14/2019 9:30:00 AM
WB Weibo Corporation ADS Q 11/14/2019 9:30:00 AM
APDNW Applied DNA Scien Warrant R 11/14/2019 9:30:00 AM
KOD Kodiak Sciences Inc CS Q 11/14/2019 9:30:02 AM
NBEV New Age Beverages Cmn R 11/14/2019 9:30:03 AM
YMAB Y-mAbs Therapeutics, Inc. Cmn Q 11/14/2019 9:30:04 AM
CTACW ChaSerg Technology Acq Wt R 11/14/2019 9:30:18 AM
NCNA NuCana plc ADS Q 11/14/2019 9:30:20 AM
RCEL Avita Medical Limited ADS R 11/14/2019 9:30:47 AM
OCGN Ocugen, Inc. Common Stock R 11/14/2019 9:30:57 AM
SLGG Super League Gaming Cmn Stk R 11/14/2019 9:31:33 AM
TRPX Therapix Biosciences Ltd. ADS R 11/14/2019 9:32:37 AM
SQBG Sequential Brands Group Cmn R 11/14/2019 9:33:55 AM
PSNL Personalis, Inc. Common Stock Q 11/14/2019 9:34:23 AM
WTRH Waitr Holdings Inc. Cmn Stk Q 11/14/2019 9:34:51 AM
MCEP Mid-Con Energy Partners, LP R 11/14/2019 9:36:37 AM
SNDL Sundial Growers Inc. Cm Sh Q 11/14/2019 9:36:42 AM
SCON SUPERCONDUCTOR TECH R 11/14/2019 9:36:48 AM
ZN Zion Oil & Gas Common Stock R 11/14/2019 9:37:55 AM
XELB Xcel Brands, Inc. Cmn Stk Q 11/14/2019 9:37:57 AM
ESTR Estre Ambiental, Inc. Q 11/14/2019 9:38:19 AM
STAF Staffing 360 Solutions Cmn R 11/14/2019 9:38:32 AM
SLGL Sol-Gel Technologies Ord Shs Q 11/14/2019 9:39:02 AM
RBBN Ribbon Comm Inc Cmn Stk Q 11/14/2019 9:42:07 AM
ITRM Iterum Therapeutics plc ORD Q 11/14/2019 9:42:40 AM
OPGN OpGen, Inc. Common Stock R 11/14/2019 9:42:56 AM
VERO Venus Concept Inc. CMN Q 11/14/2019 9:47:27 AM
EDAP EDAP TMS SA ADR Q 11/14/2019 9:48:14 AM
FTEK Fuel Tech, Inc. Q 11/14/2019 9:54:09 AM
EYES Second Sight Medical Cmn R 11/14/2019 9:56:09 AM
BKYI BIO-key International Cm St R 11/14/2019 9:57:44 AM
AVEO AVEO Pharmaceuticals, Inc. R 11/14/2019 9:57:53 AM
ALT Altimmune, Inc. Q 11/14/2019 10:00:04 AM
DMPI DelMar Pharmaceuticals R 11/14/2019 10:00:34 AM
TKKSR TKK Symphony Acquisition RT R 11/14/2019 10:01:26 AM
DARE Dare Bioscience, Inc. R 11/14/2019 10:03:51 AM
SNSS Sunesis Pharmaceuticals Inc R 11/14/2019 10:04:12 AM
GHSI Guardion Health Sciences Cm St R 11/14/2019 10:04:52 AM
YTEN Yield10 Bioscience, Inc. R 11/14/2019 10:05:21 AM
BNSO Bonso Electronics Int'l R 11/14/2019 10:12:09 AM
RTTR Ritter Pharmaceuticals, CM R 11/14/2019 10:12:32 AM
AHCOW AdaptHealth Corp. Warrant R 11/14/2019 10:19:14 AM
AIH Aesthetic Medical Int ADS Q 11/14/2019 10:21:09 AM
XELA Exela Tech Inc R 11/14/2019 10:24:15 AM
VLRX Valeritas Holdings, Inc. CS R 11/14/2019 10:27:59 AM
COCP Cocrystal Pharma, Inc. CM R 11/14/2019 10:31:29 AM
RUBY Rubius Therapeutics Cm St Q 11/14/2019 10:31:46 AM
NEPT Neptune Wellness Solutions Ord R 11/14/2019 10:35:30 AM
YI 111, Inc. American Dep Shs Q 11/14/2019 10:35:52 AM
IMMP Immutep Limited ADS Q 11/14/2019 10:37:22 AM
PRTK Paratek Pharmaceuticals, Inc. Q 11/14/2019 10:42:44 AM
DRIOW DarioHealth Corp. Wts R 11/14/2019 10:43:34 AM
PT Pintec Technology Hldg Ltd ADS Q 11/14/2019 10:45:50 AM
GNPX Genprex, Inc. CM R 11/14/2019 10:46:56 AM
HJLI Hancock Jaffe Laboratories Cmn R 11/14/2019 10:48:13 AM
TBLT ToughBuilt Ind Common Stock R 11/14/2019 10:55:28 AM
ABIL Ability Inc. R 11/14/2019 11:00:03 AM
CREXW Creative Realities Inc Wt R 11/14/2019 11:02:07 AM
MYT Urban Tea, Inc. R 11/14/2019 11:08:42 AM
MRSN Mersana Therapeutics CM Q 11/14/2019 11:08:55 AM
PRPO Precipio, Inc. Cmn Stk R 11/14/2019 11:16:29 AM
OPTT Ocean Power Technologies, Inc. R 11/14/2019 11:18:27 AM
NCTY The9 Ltd ADS rep 3 Cl A Ords R 11/14/2019 11:19:17 AM
CSPI CSP Inc Q 11/14/2019 11:20:46 AM
IDYA IDEAYA Biosciences, Inc. Cmn Q 11/14/2019 11:22:04 AM
QUIK QuickLogic Corporation R 11/14/2019 11:23:55 AM
ATIS Attis Industries Inc. R 11/14/2019 11:26:02 AM
LPTX Leap Therapeutics Inc Cmn Stk Q 11/14/2019 11:41:48 AM
ORSNW Orisun Acquisition WT R 11/14/2019 11:43:42 AM
CTIB CTI Industries Corp R 11/14/2019 11:46:55 AM
MTC MMTec, Inc. Cm Sh R 11/14/2019 11:54:30 AM
MARPS Marine Peteroleum Trust Units R 11/14/2019 11:54:37 AM
EKSO Ekso Bionics Holdings, Inc. R 11/14/2019 11:56:01 AM
PHAS PhaseBio Pharma Common Stk Q 11/14/2019 11:59:27 AM
BOXL Boxlight Corp Class A Cmn R 11/14/2019 12:00:55 PM
BNGOW Bionano Genomics, Inc.WT R 11/14/2019 12:01:56 PM
IDXG Interpace Biosciences Cmn Stk R 11/14/2019 12:17:15 PM
MDJH MDJM LTD ORD R 11/14/2019 12:19:42 PM
TOTAR Tottenham Acquisition I Ltd RT R 11/14/2019 12:38:13 PM
DMAC DiaMedica Therapeutics CS R 11/14/2019 12:40:08 PM
PFMT Performant Financial Corporati Q 11/14/2019 12:44:27 PM
TKKSU TKK Symphony Acquisition UT R 11/14/2019 12:50:15 PM
CHEKW Check-Cap Ltd. Srs A Wt R 11/14/2019 12:59:24 PM
PNRG PrimeEnergy Res Cp R 11/14/2019 1:05:14 PM
SRTSW Sensus Healthcare WT R 11/14/2019 1:16:44 PM
PNRL Paringa Resources LTD ADS R 11/14/2019 1:17:38 PM
ASMB Assembly Biosciences, Inc. Q 11/14/2019 1:24:30 PM
TKKS TKK Symphony Acquistn Ord Shr R 11/14/2019 1:28:11 PM
MOTS Motus GI Holdings, Inc. Cm St R 11/14/2019 1:36:53 PM
SHIPW Seanergy Maritime Holdings Cor R 11/14/2019 1:42:13 PM
CERC Cerecor Inc. Cmn Stk R 11/14/2019 1:44:13 PM
TKKSW TKK Symphony Acquisition WT R 11/14/2019 1:47:15 PM
ANY Sphere 3D Corp. R 11/14/2019 1:49:53 PM
BYFC Broadway Financial Corporation R 11/14/2019 1:58:40 PM
KERN Akerna Cp Common Stock R 11/14/2019 1:59:54 PM
TMSR TMSR Holding Co Ltd Cmn R 11/14/2019 2:15:01 PM
PRVB Provention Bio, Inc. Cm St R 11/14/2019 2:17:00 PM
CTXR Citius Pharmaceuticals Cm St R 11/14/2019 2:27:43 PM
CRVS Corvus Pharma Cmn Q 11/14/2019 2:47:10 PM
ONTX Onconova Therapeutics Inc R 11/14/2019 2:55:37 PM
TTOO T2 Biosystems, Inc. CS Q 11/14/2019 2:56:26 PM
NTGN Neon Therapeutics, Inc. Cmn Q 11/14/2019 3:17:06 PM
TTPH Tetraphase Pharmaceuticals, In Q 11/14/2019 3:19:47 PM
PEIX PACIFIC ETHANOL INC R 11/14/2019 3:32:03 PM
LEDS SemiLEDs Corporation R 11/14/2019 3:32:25 PM
MYSZ My Size, Inc. Cmn Stk R 11/14/2019 3:36:13 PM
ORGS Orgenesis Inc. Common Stock R 11/14/2019 3:52:01 PM
TYME Tyme Technologies, Inc. Cmn R 11/14/2019 3:52:06 PM
MICT MICT, Inc. Common Stock R 11/14/2019 3:56:48 PM
EBIX Ebix, Inc. Q 11/14/2019 3:56:58 PM
JMU JMU Limited ADS Q 11/14/2019 3:57:27 PM
MGTA Magenta Therapeutics Cmn Q 11/14/2019 3:58:50 PM
EYEG Eyegate Pharmaceuticals Cm R 11/14/2019 3:59:40 PM
YTEN Yield10 Bioscience, Inc. R 11/15/2019 9:30:00 AM
FTACW FinTech Acquisition Corp. WT R 11/15/2019 9:30:00 AM
ZSAN Zosano Pharma Corporation Cmn R 11/15/2019 9:30:00 AM
AGRX Agile Therapeutics, Inc. Cmn R 11/15/2019 9:30:00 AM
QUIK QuickLogic Corporation R 11/15/2019 9:30:00 AM
TTNP Titan Pharma Common Stock R 11/15/2019 9:30:00 AM
AYTU Aytu BioScience, Inc. R 11/15/2019 9:30:00 AM
MYT Urban Tea, Inc. R 11/15/2019 9:30:00 AM
VISL Vislink Tech Inc Common Stk R 11/15/2019 9:30:00 AM
TBLT ToughBuilt Ind Common Stock R 11/15/2019 9:30:00 AM
BKYI BIO-key International Cm St R 11/15/2019 9:30:00 AM
NVTR Nuvectra Corp Cm Stk Q 11/15/2019 9:30:00 AM
TORC resTORbio, Inc. CM Q 11/15/2019 9:30:00 AM
SNNA Sienna Biopharmaceuticals Cmn Q 11/15/2019 9:30:01 AM
VFF Village Farms Int Cm Sh R 11/15/2019 9:30:01 AM
TNXP Tonix Pharma Hldg Cmn Stk Q 11/15/2019 9:30:01 AM
ANCN Anchiano Therapeutics Ltd. ADS R 11/15/2019 9:30:44 AM
NAII Natural Alternatives Intl Inc Q 11/15/2019 9:31:16 AM
SGBX SG Blocks, Inc. Common Stock R 11/15/2019 9:31:26 AM
UXIN Uxin Limited ADS Q 11/15/2019 9:31:41 AM
VERB Verb Technology Company Cmn R 11/15/2019 9:31:50 AM
FCEL FuelCell Energy, Inc. Q 11/15/2019 9:32:44 AM
SNCA Seneca Biopharma, Inc. Cmn R 11/15/2019 9:32:57 AM
CGIX Cancer Genetics, Inc. R 11/15/2019 9:32:58 AM
OPTT Ocean Power Technologies, Inc. R 11/15/2019 9:33:00 AM
DXYN The Dixie Group Inc Q 11/15/2019 9:34:45 AM
KERNW Akerna Corp WT R 11/15/2019 9:34:46 AM
LMB Limbach Holdings, Inc.CS R 11/15/2019 9:35:16 AM
XBIO Xenetic Biosciences Cmn R 11/15/2019 9:35:54 AM
MHLD Maiden Holdings, Ltd. R 11/15/2019 9:36:17 AM
PSTVZ PLUS THERAPEUTICS, Wts R 11/15/2019 9:39:07 AM
MGI MoneyGram Intl Common Stock Q 11/15/2019 9:39:57 AM
HSDT Helius Medical Tech Cl A Cmn R 11/15/2019 9:42:35 AM
COCP Cocrystal Pharma, Inc. CM R 11/15/2019 9:43:54 AM
CPRX Catalyst Pharmaceuticals, Inc. R 11/15/2019 9:44:34 AM
STAF Staffing 360 Solutions Cmn R 11/15/2019 9:45:41 AM
APDN Applied DNA Sciences, Inc. R 11/15/2019 9:51:43 AM
BLPH Bellerophon Thera Common Stock R 11/15/2019 9:54:48 AM
ALPN Alpine Immune Sciences Cmn Q 11/15/2019 9:56:36 AM
REKR Rekor Systems, Inc. Cmn Stk R 11/15/2019 9:58:43 AM
TOPS TOP Ships Inc R 11/15/2019 9:59:44 AM
PECK The Peck Co Hldgs Cmn R 11/15/2019 10:00:08 AM
CHEKW Check-Cap Ltd. Srs A Wt R 11/15/2019 10:03:19 AM
OPGN OpGen, Inc. Common Stock R 11/15/2019 10:06:28 AM
MICT MICT, Inc. Common Stock R 11/15/2019 10:10:55 AM
USIO Usio, Inc. Common Stock R 11/15/2019 10:12:34 AM
MVIS MicroVision Inc Q 11/15/2019 10:16:18 AM
LIVX LiveXLive Media, Inc. Cm St R 11/15/2019 10:24:14 AM
CLRO CLEARONE INC. R 11/15/2019 10:26:56 AM
RWLK ReWalk Robotics Ltd. Ltd. R 11/15/2019 10:27:13 AM
OPHC OPTIMUMBANK HLDGS R 11/15/2019 10:29:08 AM
SLS SELLAS Life Sciences Gp Cmn R 11/15/2019 10:31:22 AM
ARDS Aridis Pharmaceuticals Inc. CM R 11/15/2019 10:32:36 AM
CTIB CTI Industries Corp R 11/15/2019 10:35:28 AM
CHEK Check-Cap Ltd. Ord R 11/15/2019 10:36:56 AM
TBLTU ToughBuilt Indtrs Cl A Unit R 11/15/2019 10:39:18 AM
IMAC IMAC Holdings, Inc. Cmn Stk R 11/15/2019 10:40:36 AM
TRNX Taronis Technologies Cmn Stk R 11/15/2019 10:45:37 AM
DTSS Datasea Inc. CS R 11/15/2019 10:48:09 AM
XCUR Exicure, Inc. Common Stock R 11/15/2019 10:49:33 AM
CLSN Celsion Corporation R 11/15/2019 10:59:14 AM
LOACW Longevity Acquisition Warrant R 11/15/2019 11:04:57 AM
AEMD Aethlon Medical, Inc. R 11/15/2019 11:05:28 AM
AKER Akers Biosciences Inc. R 11/15/2019 11:05:31 AM
MOSY MoSys, Inc. R 11/15/2019 11:06:43 AM
TBLTW ToughBuilt Ind Warrant R 11/15/2019 11:06:54 AM
JAGX Jaguar Health, Inc. Cmn R 11/15/2019 11:07:22 AM
NDRAW ENDRA Life Sciences Inc. WT R 11/15/2019 11:07:43 AM
QK Q&K International Group ADS Q 11/15/2019 11:09:38 AM
FLNT Fluent, Inc. Q 11/15/2019 11:09:43 AM
PDSB PDS Biotechnology R 11/15/2019 11:11:11 AM
PMTS CPI Card Group Inc. R 11/15/2019 11:14:39 AM
BPTH Bio-Path Holdings, Inc. R 11/15/2019 11:15:28 AM
AMRS Amyris, Inc. Q 11/15/2019 11:18:44 AM
OMEX Odyssey Marine Exploriation R 11/15/2019 11:20:36 AM
EVK Ever-Glory IntLGrp Cmn Stk Q 11/15/2019 11:29:41 AM
ATHE Alterity Therapeutics Ltd ADR R 11/15/2019 11:34:39 AM
CNFR Conifer Holdings, Inc. Cmn Q 11/15/2019 11:36:59 AM
BNGOW Bionano Genomics, Inc.WT R 11/15/2019 11:39:31 AM
NIU Niu Technologies ADS Q 11/15/2019 11:48:01 AM
AHCOW AdaptHealth Corp. Warrant R 11/15/2019 11:54:12 AM
SNGXW Soligenix, Inc. Wt R 11/15/2019 12:16:25 PM
RAVE Rave Restaurant Group, Inc. R 11/15/2019 12:19:20 PM
DRIOW DarioHealth Corp. Wts R 11/15/2019 12:33:43 PM
TCON TRACON Pharmaceutical Cmn Stk Q 11/15/2019 12:38:06 PM
APDNW Applied DNA Scien Warrant R 11/15/2019 12:38:44 PM
KBLMR KBL Merger Corp. IV Rights R 11/15/2019 12:41:31 PM
ALGRR Allegro Merger Corp. Right R 11/15/2019 12:44:33 PM
GRTX Galera Therapeutics, Inc Cm St Q 11/15/2019 12:50:44 PM
MTFB Motif Bio plc ADR R 11/15/2019 1:09:23 PM
BIMI NF Energy Saving Corporation R 11/15/2019 1:17:54 PM
YAYO YayYo, Inc. Common Stock R 11/15/2019 1:21:26 PM
ATIS Attis Industries Inc. R 11/15/2019 1:26:39 PM
RAPT RAPT Therapeutics, Inc. Cmn Q 11/15/2019 1:33:01 PM
RUBY Rubius Therapeutics Cm St Q 11/15/2019 1:37:03 PM
PIXY ShiftPixy, Inc. CS R 11/15/2019 1:42:06 PM
CSSE Chicken Sp for the Sl Cl A Q 11/15/2019 1:45:38 PM
MTFBW Motif Bio plc Wts ADRs R 11/15/2019 2:02:14 PM
SOLOW Electrameccanica Vehicles Wts R 11/15/2019 2:27:15 PM
NMRD Nemaura Medical Inc. Cmn Stk R 11/15/2019 2:27:59 PM
KTOVW Kitov Pharma Ltd. Wts R 11/15/2019 2:31:02 PM
AMRHW Ameri Holdings, Inc. Wt R 11/15/2019 2:35:03 PM
INAP Internap Corp Cmn Stk Q 11/15/2019 2:36:31 PM
PHIO Phio Pharmaceuticals Corp. R 11/15/2019 2:42:20 PM
EDNT Edison Nation, Inc. Cm St R 11/15/2019 2:46:02 PM
MOTS Motus GI Holdings, Inc. Cm St R 11/15/2019 2:49:55 PM
STOK Stoke Therapeutics Cmn Q 11/15/2019 2:57:10 PM
TMSR TMSR Holding Co Ltd Cmn R 11/15/2019 3:06:32 PM
TKKSR TKK Symphony Acquisition RT R 11/15/2019 3:06:58 PM
NXTC NextCure, Inc. Common Stock Q 11/15/2019 3:08:36 PM
ROSEW Rosehill Resources Inc. Wts R 11/15/2019 3:29:03 PM
ALGRW Allegro Merger Corp. Wt R 11/15/2019 3:33:13 PM
UMRX Unum Therapeutics Inc. CM Q 11/15/2019 3:36:03 PM
REXN Rexahn Pharmaceuticals Cmn R 11/15/2019 3:38:49 PM
CELGZ Celgene Cp Cntgnt Value Rts Q 11/15/2019 3:39:17 PM
ZN Zion Oil & Gas Common Stock R 11/15/2019 3:51:54 PM
REPL Replimune Group, Inc. CM Q 11/15/2019 3:54:50 PM
RBBN Ribbon Comm Inc Cmn Stk Q 11/15/2019 3:56:56 PM
ADAP Adaptimmune Theraptcs plc ADS Q 11/15/2019 3:57:12 PM
SNOAW Sonoma Pharma Wts R 11/15/2019 3:59:03 PM