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, January 23,2019 1/23/2019 4:15:24 AM

Symbol Security Name Market Category Trigger Time
PETS PetMed Express, Inc. Q 1/22/2019 9:30:00 AM
SHIPW Seanergy Maritime Holdings Cor R 1/22/2019 9:30:00 AM
IGLD Internet Gold-Gold Lines Ltd Q 1/22/2019 9:30:00 AM
COCP Cocrystal Pharma, Inc. CM R 1/22/2019 9:30:00 AM
TMSR TMSR Holding Co Ltd Cmn R 1/22/2019 9:30:00 AM
DMPI DelMar Pharma Common Stock R 1/22/2019 9:30:00 AM
OASM Oasmia Pharmaceutical AB ADS R 1/22/2019 9:30:00 AM
ISIG Insignia Systems Inc R 1/22/2019 9:30:00 AM
EDIT Editas Medicine, Inc. Cm St Q 1/22/2019 9:30:00 AM
CFRX Contrafect Corp Common R 1/22/2019 9:30:02 AM
SYNC Synacor, Inc. Q 1/22/2019 9:30:17 AM
CRSP CRISPR Therapeutics AG CM Q 1/22/2019 9:30:57 AM
CODX Co-Diagnostics, Inc. CM R 1/22/2019 9:31:06 AM
HYRE HyreCar Inc. Cm St R 1/22/2019 9:31:25 AM
AGMH AGM Group Holdings Cl A Ord R 1/22/2019 9:33:11 AM
PCOM Points International Ltd. Cmn R 1/22/2019 9:33:28 AM
YOGA YogaWorks, Inc. CM Q 1/22/2019 9:35:41 AM
UPL Ultra Petroleum Corp. Cmn Stk Q 1/22/2019 9:37:05 AM
FLGT Fulgent Genetics, Inc. CM Q 1/22/2019 9:38:25 AM
ICON Iconix Brand Group, Inc. Q 1/22/2019 9:39:00 AM
AUPH Aurinia Pharmaceuticals Ord Sh Q 1/22/2019 9:41:22 AM
YVR Liquid Media Group Cmn R 1/22/2019 9:41:27 AM
ATISW Attis Industries Inc. Wts R 1/22/2019 9:41:33 AM
TBIO Translate Bio, Inc. Cmn Stk Q 1/22/2019 9:42:15 AM
PYDS Payment Data Systems Cmn R 1/22/2019 9:43:31 AM
NTLA Intellia Therapeutics, Inc. CS Q 1/22/2019 9:43:57 AM
AMTX Aemetis, Inc. Common Stock Q 1/22/2019 9:45:31 AM
BIOC Biocept Inc. R 1/22/2019 9:46:05 AM
LENS Presbia PLC Ordinary Shs R 1/22/2019 9:46:24 AM
OHRP Ohr Pharmaceutical Inc Cmn Stk R 1/22/2019 9:47:02 AM
PTSI P A M Transportation Svcs Inc Q 1/22/2019 9:47:04 AM
ASLN ASLAN Pharmaceuticals ADS Q 1/22/2019 9:47:13 AM
ALRN Aileron Therapeutics, Inc. CS Q 1/22/2019 9:50:18 AM
ATTU Attunity Ltd R 1/22/2019 9:52:11 AM
SBLK Star Bulk Carriers Corp Q 1/22/2019 9:53:24 AM
LMFAW LM Funding America WT R 1/22/2019 9:54:29 AM
TYME Tyme Technologies, Inc. Cmn R 1/22/2019 9:54:41 AM
SMRT Stein Mart Inc Q 1/22/2019 9:56:58 AM
PHUN Phunware, Inc. Common Stock R 1/22/2019 9:57:36 AM
MBOT Microbot Medical Inc R 1/22/2019 9:59:04 AM
PHUNW Phunware, Inc. Warrants R 1/22/2019 10:00:04 AM
MHLD Maiden Holdings, Ltd. Q 1/22/2019 10:00:49 AM
ASCMA Ascent Capital Group A Q 1/22/2019 10:03:27 AM
ATLC Atlanticus Holdings Corp Q 1/22/2019 10:04:53 AM
JRJC China Finance Online Co. Limit Q 1/22/2019 10:06:59 AM
WB Weibo Corporation ADS Q 1/22/2019 10:07:46 AM
IMTE Integrated Media Tech ORDS R 1/22/2019 10:12:37 AM
HEAR Turtle Beach Corp Cmn stk Q 1/22/2019 10:16:32 AM
AMRH Ameri Holdings, Inc. Cm St R 1/22/2019 10:21:23 AM
AMBCW Ambac Financial Group, Inc. Q 1/22/2019 10:22:25 AM
CLIRW ClearSign Combustion Cp Wrt R 1/22/2019 10:23:00 AM
DLTH Duluth Holdings Cl B Cmn Q 1/22/2019 10:24:22 AM
ORGO Organogenesis R 1/22/2019 10:27:24 AM
CFMS Conformis, Inc. CS Q 1/22/2019 10:29:47 AM
UMRX Unum Therapeutics Inc. CM Q 1/22/2019 10:30:00 AM
AUTO AutoWeb, Inc. R 1/22/2019 10:34:26 AM
PXS Pyxis Tankers Inc Common Stk R 1/22/2019 10:48:27 AM
QFIN 360 Finance, Inc. ADS Q 1/22/2019 10:49:02 AM
LOACW Longevity Acquisition Warrant R 1/22/2019 10:51:14 AM
HSGX Histogenics Corp Cmn Stk R 1/22/2019 10:59:20 AM
OXBR Oxbridge Re Hldgs Ord Shares R 1/22/2019 11:01:42 AM
XBIT XBiotech Inc. Cmn Q 1/22/2019 11:07:15 AM
GRVY GRAVITY Co., Ltd. Q 1/22/2019 11:09:03 AM
IEAWW Infrastructure & Enrgy Alt Wt R 1/22/2019 11:15:18 AM
CRVS Corvus Pharma Cmn Q 1/22/2019 11:18:30 AM
HOVNP Hovanian Enterprises Inc. Dep. Q 1/22/2019 11:29:58 AM
APRI Apricus Biosciences, Inc. R 1/22/2019 11:32:27 AM
FAMI Farmmi, Inc. Ordinary Shs R 1/22/2019 11:40:24 AM
ITRM Iterum Therapeutics plc ORD Q 1/22/2019 11:41:37 AM
GLG China Bat Group, Inc. R 1/22/2019 11:42:47 AM
RDFN Redfin Corporation Cm St Q 1/22/2019 11:44:18 AM
BRACW Black Ridge Acq. Corp. WRNT R 1/22/2019 11:46:38 AM
SELB Selecta Biosciences Common S Q 1/22/2019 11:49:13 AM
IDRA Idera Pharma Cmn Stk R 1/22/2019 11:54:11 AM
EGLE Eagle Bulk Shipping Inc. Q 1/22/2019 11:56:01 AM
CDMO Avid Bioservices, Inc. R 1/22/2019 12:02:30 PM
LMFA LM Funding America Cmn Stk R 1/22/2019 12:04:59 PM
EYEGW Eyegate Pharmaceuticals Wts R 1/22/2019 12:09:29 PM
TISA Top Image Systems Ltd R 1/22/2019 12:11:07 PM
OXBRW Oxbridge Re Hldgs Ltd Warrants R 1/22/2019 12:11:42 PM
RAVE Rave Restaurant Group, Inc. R 1/22/2019 12:15:57 PM
ESTR Estre Ambiental, Inc. Q 1/22/2019 12:24:11 PM
BLNKW Blink Charging Co. Wt R 1/22/2019 12:25:03 PM
RMTI Rockwell Medical, Inc. Q 1/22/2019 12:33:02 PM
ROSEW Rosehill Resources Inc. Wts R 1/22/2019 12:45:54 PM
ADIL Adial Pharmaceuticals, Inc. Cm R 1/22/2019 12:47:00 PM
HCCHR HL Acquisitions Corp. Right R 1/22/2019 12:59:04 PM
HTHT Huazhu Group Ltd ADS Q 1/22/2019 1:01:20 PM
GLMD Galmed Pharmaceuticals Ltd R 1/22/2019 1:12:29 PM
FTSV Forty Seven, Inc. Cmn Stk Q 1/22/2019 1:19:40 PM
OMED OncoMed Pharmaceuticals, Inc. Q 1/22/2019 1:20:43 PM
FBIO Fortress Biotech, Inc. R 1/22/2019 1:21:22 PM
CXDC China XD Plastics Company Ltd Q 1/22/2019 1:22:33 PM
CREG China Recycling Energy Corp R 1/22/2019 1:32:13 PM
RGLS Regulus Therapeutics Inc. R 1/22/2019 1:38:43 PM
BCACW Bison Cap Acquistion Corp Wt R 1/22/2019 1:42:06 PM
OPGNW OpGen, Inc. Warrant R 1/22/2019 1:42:10 PM
NH NantHealth, Inc. CM ST Q 1/22/2019 1:45:16 PM
KBLMR KBL Merger Corp. IV RTS R 1/22/2019 1:46:13 PM
CKPT Checkpoint Therapeutics, CS R 1/22/2019 1:50:03 PM
IRMD iRadimed Corp Cmn Stk R 1/22/2019 2:08:53 PM
SCKT Socket Mobile, Inc. CM ST R 1/22/2019 2:15:26 PM
AGFS AgroFresh Solutions, Inc. Q 1/22/2019 2:25:43 PM
NLNK NewLink Genetics Corporation Q 1/22/2019 2:33:48 PM
PFIE Profire Energy, Inc. Cmn Stk R 1/22/2019 2:38:28 PM
AMMA Alliance MMA, Inc. Cmn R 1/22/2019 2:38:39 PM
CIFS China Internet Nationwid Or Sh Q 1/22/2019 2:41:04 PM
XON Intrexon Corporation Q 1/22/2019 2:46:33 PM
VKTX Viking Therapeutics Inc Cmn R 1/22/2019 2:49:56 PM
ARWR Arrowhead Pharmaceuticals Inc. Q 1/22/2019 2:51:00 PM
VVPR VivoPower International Ord Sh R 1/22/2019 3:01:20 PM
NEBUW Nebula Acquisition Corp WTS R 1/22/2019 3:03:53 PM
ARDX Ardelyx, Inc. Cmn Stk Q 1/22/2019 3:04:13 PM
TOTAW Tottenham Acquisition I Ltd WT R 1/22/2019 3:07:36 PM
TOTAR Tottenham Acquisition I Ltd RT R 1/22/2019 3:07:44 PM
FTR Frontier Communications Corp Q 1/22/2019 3:10:56 PM
ENTX Entera Bio Ltd. Ord Shs R 1/22/2019 3:12:20 PM
RNET RigNet, Inc. Q 1/22/2019 3:14:19 PM
DHXM DHX Media Ltd. Q 1/22/2019 3:19:47 PM
TZACW Tenzing Acquisition Corp. Wts R 1/22/2019 3:22:53 PM
SPI SPI Energy Ord Shs Q 1/22/2019 3:25:39 PM
TTNP Titan Pharma Common Stock R 1/22/2019 3:30:15 PM
NFEC NF Energy Saving Corporation R 1/22/2019 3:35:49 PM
FLMNW Falcon Minerals Cp Wt R 1/22/2019 3:47:00 PM
ETTX Entasis Therapeutics Hlds Cmn Q 1/22/2019 3:47:38 PM
SINA SINA Corporation Q 1/22/2019 3:51:03 PM
ORTX Orchard Therapeutics plc ADS Q 1/22/2019 3:51:30 PM
BGFV Big5SportingGoodsCorporation Q 1/22/2019 3:56:51 PM
WINRW Simplicity Esp & Gam Wt R 1/22/2019 3:56:52 PM
SEAC SeaChange International Inc Q 1/22/2019 3:59:21 PM
PMTS CPI Card Group Inc. R 1/22/2019 4:00:00 PM
WINR Simplicity Esports & Gaming Co R 1/22/2019 4:00:00 PM
AAME Atlantic American Corporation Q 1/22/2019 4:00:00 PM