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
Tuesday, September 17,2019 9/17/2019 4:15:26 AM

Symbol Security Name Market Category Trigger Time
ARTL Artelo Biosciences, Inc. CS R 9/16/2019 9:30:00 AM
ABIL Ability Inc. R 9/16/2019 9:30:00 AM
AREC American Resources Cp Cm A R 9/16/2019 9:30:00 AM
PSTVZ PLUS THERAPEUTICS, Wts R 9/16/2019 9:30:00 AM
OTLKW Outlook Therapeutics Ser A Wt R 9/16/2019 9:30:00 AM
EFBI Eagle Financial Bancorp CM R 9/16/2019 9:30:01 AM
CODA Coda Octopus Group, Inc. CS R 9/16/2019 9:30:01 AM
FRAN Francescas Holdings Corp Q 9/16/2019 9:30:05 AM
WORX SCWorx Corp. R 9/16/2019 9:30:08 AM
WLFC Willis Lease Finance Corp Q 9/16/2019 9:30:21 AM
DMPI DelMar Pharmaceuticals R 9/16/2019 9:32:41 AM
JRJC China Finance Online Co. Limit Q 9/16/2019 9:33:09 AM
STRO Sutro Biopharma, Inc. Cmn Stk Q 9/16/2019 9:35:16 AM
PAVMZ PAVmed Inc. Wt Series Z R 9/16/2019 9:35:57 AM
CTIB CTI Industries Corp R 9/16/2019 9:36:46 AM
HDSN Hudson Technologies R 9/16/2019 9:37:11 AM
ONTX Onconova Therapeutics Inc R 9/16/2019 9:39:12 AM
FULC Fulcrum Therapeutics, Inc. Q 9/16/2019 9:41:28 AM
CHFS CHF Solutions, Inc. R 9/16/2019 9:43:23 AM
TTPH Tetraphase Pharmaceuticals, In Q 9/16/2019 9:45:43 AM
EIGI Endurance Int Grp Holdings Inc Q 9/16/2019 9:46:59 AM
RGLS Regulus Therapeutics Inc. R 9/16/2019 9:47:54 AM
DSKEW Daseke, Inc. Warrant R 9/16/2019 9:53:48 AM
UTSI UTStarcom Holdings Corp. Q 9/16/2019 9:55:35 AM
TBLTW ToughBuilt Ind Warrant R 9/16/2019 10:02:47 AM
IRIX IRIDEX Corporation Q 9/16/2019 10:03:48 AM
KERNW Akerna Corp WT R 9/16/2019 10:04:05 AM
SOLOW Electrameccanica Vehicles Wts R 9/16/2019 10:04:11 AM
FPAY FlexShopper, Inc. Cm St R 9/16/2019 10:19:38 AM
USWSW U.S. Well Services, Inc. Wts R 9/16/2019 10:19:53 AM
PBIP Prudential Bancorp, Inc. Q 9/16/2019 10:24:37 AM
BHAT Blue Hat Interactive Enter ORD R 9/16/2019 10:37:13 AM
ALRN Aileron Therapeutics, Inc. CS Q 9/16/2019 11:12:41 AM
NAOV NanoVibronix, Inc. Cmn Stk R 9/16/2019 11:20:04 AM
VSEC VSE Corporation Q 9/16/2019 11:27:22 AM
VRML Vermillion, Inc. R 9/16/2019 11:28:07 AM
IPDN Professional Diversity Network R 9/16/2019 11:29:04 AM
ESTRW Estre Ambiental, Inc. Q 9/16/2019 11:33:56 AM
PRTK Paratek Pharmaceuticals, Inc. Q 9/16/2019 11:34:32 AM
OSTK Overstock.com, Inc. Q 9/16/2019 11:45:03 AM
AMRHW Ameri Holdings, Inc. Wt R 9/16/2019 12:03:02 PM
PERI Perion Network Ltd. Ord Shs Q 9/16/2019 12:06:43 PM
AFH Atlas Financial Holdings, Inc. Q 9/16/2019 12:12:54 PM
APDNW Applied DNA Scien Warrant R 9/16/2019 12:20:45 PM
NDRAW ENDRA Life Sciences Inc. WT R 9/16/2019 12:23:33 PM
STOK Stoke Therapeutics Cmn Q 9/16/2019 12:26:22 PM
VIRC Virco Manufacturing Corp Q 9/16/2019 12:41:45 PM
MICT MICT, Inc. Common Stock R 9/16/2019 12:43:27 PM
DMTKW DermTech, Inc. Warrant R 9/16/2019 12:50:42 PM
GNLN Greenlane Holdings Cmn Cl A Q 9/16/2019 1:02:04 PM
AUTO AutoWeb, Inc. R 9/16/2019 1:04:46 PM
BCOR Blucora, Inc. Common Stock Q 9/16/2019 1:14:27 PM
DTEA DAVIDsTEA Inc. Cm St Q 9/16/2019 1:18:39 PM
TOCA Tocagen Inc. Common Stock Q 9/16/2019 1:21:58 PM
LACQW Leisure Acquisition Corp. Wt R 9/16/2019 1:22:51 PM
MNCLW Monocle Acquisition Corp Wts R 9/16/2019 1:23:50 PM
SGBX SG Blocks, Inc. Common Stock R 9/16/2019 1:33:10 PM
ZKIN ZK Intnl Grp Co Ltd Ord Sh R 9/16/2019 1:36:00 PM
AGFSW AgroFresh Solu Warrants Q 9/16/2019 1:41:32 PM
PLCE Children's Place, Inc. (The) Q 9/16/2019 2:07:05 PM
BNGOW Bionano Genomics, Inc.WT R 9/16/2019 2:10:16 PM
MORF Morphic Holding Inc Common Stk Q 9/16/2019 2:23:45 PM
CTXR Citius Pharmaceuticals Cm St R 9/16/2019 2:25:40 PM
ADMP Adamis Pharmaceuticals Inc R 9/16/2019 2:30:47 PM
WISA Summit Wireless Tech Cmn R 9/16/2019 2:46:48 PM
PNRL Paringa Resources LTD ADS R 9/16/2019 3:04:41 PM
MPVD Mountain Province Diamd Cmn Q 9/16/2019 3:15:13 PM
HCCHR HL Acquisitions Corp. Right R 9/16/2019 3:24:20 PM
DRAD Digirad Corporation Q 9/16/2019 3:44:04 PM
SCOR comScore, Inc. Common Stock Q 9/16/2019 3:48:53 PM
OPGN OpGen, Inc. Common Stock R 9/16/2019 3:51:19 PM
AIRT Air T Inc Q 9/16/2019 3:56:19 PM