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, November 21,2018 11/21/2018 4:15:22 AM

Symbol Security Name Market Category Trigger Time
NXTDW Nxt-ID, Inc. Warrant R 11/20/2018 9:30:00 AM
EAST Eastside Distilling, Inc. CM R 11/20/2018 9:30:00 AM
BRKS Brooks Automation Inc Q 11/20/2018 9:30:00 AM
KOSS Koss Corp R 11/20/2018 9:30:00 AM
MICT MICT, Inc. Common Stock R 11/20/2018 9:30:00 AM
OKTA Okta, Inc. Class A Cmn Stock Q 11/20/2018 9:30:00 AM
TNDM Tandem Diabetes Care, Inc. Q 11/20/2018 9:30:00 AM
KLIC Kulicke & Soffa Industries Inc Q 11/20/2018 9:30:00 AM
SOLO Electrameccanica Vehicles Cmn R 11/20/2018 9:30:00 AM
CNACW Constellation Alpha Capital Wt R 11/20/2018 9:30:00 AM
PETZ TDH Holdings, Inc. Cmn Shrs R 11/20/2018 9:30:00 AM
LIVN LivaNova PLC Or Sh Q 11/20/2018 9:30:00 AM
GRVY GRAVITY Co., Ltd. Q 11/20/2018 9:30:01 AM
SRAX Social Reality Cl A Cmn Stk R 11/20/2018 9:30:01 AM
YECO Yulong Eco-Materials Ltd Ord R 11/20/2018 9:30:02 AM
CLBS Caladrius Biosciences, Inc. R 11/20/2018 9:30:04 AM
UXIN Uxin Limited ADS Q 11/20/2018 9:30:06 AM
AMD Advanced Micro Devices Cmn Stk Q 11/20/2018 9:30:15 AM
TWST Twist Bioscience Corp Cmn Stk Q 11/20/2018 9:30:27 AM
FBIO Fortress Biotech, Inc. R 11/20/2018 9:30:43 AM
KOOL Cesca Therapeutics Inc. R 11/20/2018 9:31:22 AM
ACMR ACM Research, Inc. Cl A Cmn Q 11/20/2018 9:31:45 AM
AKER Akers Biosciences Inc. R 11/20/2018 9:32:24 AM
CBMG Cellular Biomedicine Grp Cmn Q 11/20/2018 9:33:55 AM
SLNO Soleno Therapeutics, Inc. R 11/20/2018 9:34:29 AM
NAUH National American Univrsty Hld Q 11/20/2018 9:34:34 AM
LINC Lincoln Educational Services C Q 11/20/2018 9:35:00 AM
RIOT Riot Blockchain, Inc. R 11/20/2018 9:36:06 AM
FIVE Five Below, Inc. Q 11/20/2018 9:36:16 AM
IGLD Internet Gold-Gold Lines Ltd Q 11/20/2018 9:36:35 AM
LQDA Liquidia Technologies, Inc Cmn R 11/20/2018 9:36:56 AM
MTFB Motif Bio plc ADR R 11/20/2018 9:37:14 AM
ESEA Euroseas Ltd. Common Stock R 11/20/2018 9:37:17 AM
KTOVW Kitov Pharma Ltd. Wts R 11/20/2018 9:37:34 AM
FTFT Future FinTech Group Inc. Q 11/20/2018 9:39:08 AM
HMNY Helios and Matheson Analytics R 11/20/2018 9:39:08 AM
WTRHW Waitr Holdings Inc. Wt R 11/20/2018 9:40:41 AM
BCOM B Communications Ltd Q 11/20/2018 9:41:18 AM
TEDU Tarena International Inc ADR Q 11/20/2018 9:42:08 AM
LENS Presbia PLC Ordinary Shs R 11/20/2018 9:42:11 AM
LMB Limbach Holdings, Inc.CS R 11/20/2018 9:44:31 AM
UPL Ultra Petroleum Corp. Cmn Stk Q 11/20/2018 9:45:24 AM
DLPNW Dolphin Entertainment, WTS R 11/20/2018 9:45:42 AM
TNXP Tonix Pharma Hldg Cmn Stk Q 11/20/2018 9:47:23 AM
FCEL FuelCell Energy, Inc. Q 11/20/2018 9:48:17 AM
GOGO Gogo Inc. Common Stock Q 11/20/2018 9:48:20 AM
CHFS CHF Solutions, Inc. R 11/20/2018 9:48:51 AM
GSM Ferroglobe PLC OS Q 11/20/2018 9:50:00 AM
HCCHW HL Acquisitions Corp. WT R 11/20/2018 9:50:33 AM
ACHC Acadia Healthcare Co Inc Q 11/20/2018 9:51:09 AM
CGIX Cancer Genetics, Inc. R 11/20/2018 9:52:10 AM
AMRS Amyris, Inc. Q 11/20/2018 9:52:55 AM
YVR Liquid Media Group Cmn R 11/20/2018 9:53:59 AM
EEI Ecology and Environment Inc Q 11/20/2018 9:54:08 AM
TMSR TMSR Holding Co Ltd Cmn R 11/20/2018 9:54:12 AM
PRTS US Auto Parts Network Inc Q 11/20/2018 9:55:53 AM
IAMXW I-AM Capital Acquisition Wt R 11/20/2018 9:56:00 AM
TRMD TORM plc CLACOM Q 11/20/2018 9:56:58 AM
NITE Nightstar Therapeutics plc ADS Q 11/20/2018 9:57:13 AM
IMTE Integrated Media Tech ORDS R 11/20/2018 9:57:53 AM
AWSM Cool Holdings Inc. Common Stk R 11/20/2018 9:57:53 AM
AETI American Electric Technologies R 11/20/2018 9:59:32 AM
OHRP Ohr Pharmaceutical Inc Cmn Stk R 11/20/2018 10:00:16 AM
XSPA XpresSpa Group, Inc. R 11/20/2018 10:01:15 AM
AUTL Autolus Therapeutics plc ADS Q 11/20/2018 10:01:19 AM
MBOT Microbot Medical Inc R 11/20/2018 10:02:50 AM
RSLS ReShape Lifesciences Inc. R 11/20/2018 10:04:48 AM
CHMA Chiasma, Inc. Common Stk Q 11/20/2018 10:09:20 AM
NH NantHealth, Inc. CM ST Q 11/20/2018 10:09:33 AM
AKAO Achaogen, Inc. Common Stock Q 11/20/2018 10:10:02 AM
SONO Sonos, Inc. Common Stk Q 11/20/2018 10:10:15 AM
DSKEW Daseke, Inc. Warrant R 11/20/2018 10:11:02 AM
HYRE HyreCar Inc. Cm St R 11/20/2018 10:11:20 AM
KBLMW KBL Merger Corp. IV WTS R 11/20/2018 10:11:37 AM
COCP Cocrystal Pharma, Inc. CM R 11/20/2018 10:12:11 AM
SITO SITO Mobile, Ltd. Cmn Stk R 11/20/2018 10:12:27 AM
CADC China Advd Cnstrctn Mtrls Grp R 11/20/2018 10:12:42 AM
IDEX Ideanomics, Inc. Cmn Stk R 11/20/2018 10:13:16 AM
DOTAW Draper Oakwood Tech Aq. WT R 11/20/2018 10:13:24 AM
SGMS Scientific Games Corp Cmn Stk Q 11/20/2018 10:14:22 AM
MDB MongoDB, Inc. Class A Cmn Stk Q 11/20/2018 10:14:57 AM
TISA Top Image Systems Ltd R 11/20/2018 10:15:05 AM
DCAR DropCar, Inc. Cmn Stk R 11/20/2018 10:15:05 AM
NESRW National Energy SV Reunited WT R 11/20/2018 10:16:28 AM
VRRMW Verra Mobility Wts R 11/20/2018 10:16:55 AM
BTAI BioXcel Therapeutics, Inc. Cmn R 11/20/2018 10:16:59 AM
FLL Full House Resorts Inc Cmn Stk R 11/20/2018 10:17:35 AM
LIFE aTyr Pharma, Inc. Cm Q 11/20/2018 10:20:11 AM
PHIO Phio Pharmaceuticals Corp. R 11/20/2018 10:20:15 AM
IPDN Professional Diversity Network R 11/20/2018 10:25:28 AM
MKGI Monaker Group CM R 11/20/2018 10:26:26 AM
BCACR Bison Cap Acquistion Cp Right R 11/20/2018 10:27:33 AM
CFMS Conformis, Inc. CS Q 11/20/2018 10:28:08 AM
SHIPW Seanergy Maritime Holdings Cor R 11/20/2018 10:40:28 AM
METC Ramaco Resources, Inc. CM Q 11/20/2018 10:41:08 AM
ICON Iconix Brand Group, Inc. Q 11/20/2018 10:49:58 AM
BLNKW Blink Charging Co. Wt R 11/20/2018 10:55:52 AM
SMTX SMTC Corporation Q 11/20/2018 11:00:58 AM
YOGA YogaWorks, Inc. CM Q 11/20/2018 11:07:43 AM
FLMNW Falcon Minerals Cp Wt R 11/20/2018 11:07:56 AM
SGOC SGOCO Group, Ltd Ord Shr R 11/20/2018 11:08:46 AM
ATIS Attis Industries Inc. Cmn Stk R 11/20/2018 11:19:46 AM
ABEOW Abeona Therapeutics Wts R 11/20/2018 11:24:01 AM
PHIOW Phio Pharmaceuticals Corp. R 11/20/2018 11:25:28 AM
EMITF Elbit Imaging Ltd. Ord Shs Q 11/20/2018 11:41:58 AM
AMRWW Alta Mesa Resources, Inc. Wts R 11/20/2018 11:46:40 AM
ALTMW Altus Midstream Co Warrant R 11/20/2018 11:50:34 AM
ATISW Attis Industries Inc. Wts R 11/20/2018 11:57:06 AM
KOD Kodiak Sciences Inc CS Q 11/20/2018 11:59:14 AM
BRQS Borqs Tech Inc Ord Shs R 11/20/2018 12:10:49 PM
HEBT Hebron Technology Co Cl A Cmn R 11/20/2018 12:11:26 PM
AGFS AgroFresh Solutions, Inc. Q 11/20/2018 12:15:35 PM
QTT Qutoutiao Inc. ADS Q 11/20/2018 12:28:21 PM
ARCW ARC Group Worldwide, Inc. R 11/20/2018 12:47:14 PM
EYEGW Eyegate Pharmaceuticals Wts R 11/20/2018 12:48:42 PM
NBEV New Age Beverages Cmn R 11/20/2018 12:49:25 PM
NEOS Neos Therapeutics, Inc. Cmn Q 11/20/2018 12:52:04 PM
CXDC China XD Plastics Company Ltd Q 11/20/2018 12:57:57 PM
AQB AquaBounty Technologies CS R 11/20/2018 1:04:17 PM
AMR Alta Mesa Res Cl A R 11/20/2018 1:24:42 PM
DXLG DESTINATION XL GRP Q 11/20/2018 1:26:43 PM
AQST Aquestive Therapeutics Cmn Q 11/20/2018 1:34:46 PM
STRO Sutro Biopharma, Inc. Cmn Stk Q 11/20/2018 1:35:14 PM
BYFC Broadway Financial Corporation R 11/20/2018 1:36:14 PM
RARX Ra Pharmaceuticals CM Q 11/20/2018 1:36:51 PM
HJLIW Hancock Jaffe Laboratories Wts R 11/20/2018 1:39:46 PM
ELGX Endologix, Inc. Q 11/20/2018 1:41:57 PM
CETXW Cemtrex Inc. WTS R 11/20/2018 1:50:16 PM
DOOO BRP Inc. Cm Sub Voting Shares Q 11/20/2018 2:02:02 PM
UBCP United Bancorp Inc R 11/20/2018 2:06:34 PM
SORL SORL Auto Parts, Inc. Q 11/20/2018 2:09:27 PM
EXPI eXp World Holdings, Inc. CS Q 11/20/2018 2:09:55 PM
NAVI Navient Corporation Cmn Q 11/20/2018 2:15:44 PM
ECOR electroCore, Inc. Common Stk Q 11/20/2018 2:21:15 PM
REPL Replimune Group, Inc. CM Q 11/20/2018 2:32:23 PM
EYEN Eyenovia, Inc. CM R 11/20/2018 2:35:59 PM
MBIO Mustang Bio, Inc. CM Q 11/20/2018 2:36:30 PM
UNAM Unico American Corporation Q 11/20/2018 2:40:01 PM
CRMT America's Car-Mart Inc Q 11/20/2018 2:45:27 PM
EPIX ESSA Pharma Inc. Common R 11/20/2018 2:46:49 PM
VBIV VBI Vaccines, Inc. Cm Stk R 11/20/2018 2:51:37 PM
PRTHW Priority Technology Hldgs Wt R 11/20/2018 2:53:27 PM
KTOV Kitov Pharma Ltd. ADS R 11/20/2018 2:56:41 PM
TGA TransGlobe Energy Corp Q 11/20/2018 3:05:35 PM
KELYB Kelly Services Inc Cl B Q 11/20/2018 3:07:03 PM
PFIE Profire Energy, Inc. Cmn Stk R 11/20/2018 3:07:05 PM
VEACW Vantage Energy Acquisition WT R 11/20/2018 3:09:21 PM
GLACW Greenland Acquisition Corp WT R 11/20/2018 3:12:35 PM
FLKS Flex Pharma, Inc. Cmn Q 11/20/2018 3:15:17 PM
NVLN Novelion Therapeutics Inc Q 11/20/2018 3:15:31 PM
NDRAW ENDRA Life Sciences Inc. WT R 11/20/2018 3:17:00 PM
ASV ASV Holdings, Inc. CM R 11/20/2018 3:17:14 PM
LOACW Longevity Acquisition Warrant R 11/20/2018 3:21:00 PM
NESR National Energy Srv Reuntd Ord R 11/20/2018 3:23:16 PM
WRLSR Pensare Acquisition Corp Right R 11/20/2018 3:26:04 PM
CBLI Cleveland BioLabs Inc R 11/20/2018 3:36:40 PM
AXNX Axonics Modulation Tech Cmn Q 11/20/2018 3:41:59 PM
MRSN Mersana Therapeutics CM Q 11/20/2018 3:49:21 PM
SCACW Saban Capital Acquisition WT R 11/20/2018 3:51:22 PM
ADOM ADOMANI, Inc. CM R 11/20/2018 3:52:23 PM
GLG China Commercial Credit, Inc. R 11/20/2018 3:52:56 PM
ROST Ross Stores, Inc. Q 11/20/2018 3:53:39 PM
EXFO EXFO Inc Q 11/20/2018 3:57:49 PM
FSNN Fusion Connect, Inc. R 11/20/2018 3:58:31 PM
PHAS PhaseBio Pharma Common Stk Q 11/20/2018 3:58:43 PM
SG Sirius International In Gp Cm Q 11/20/2018 3:58:59 PM
BGFV Big5SportingGoodsCorporation Q 11/20/2018 3:59:00 PM
ALRN Aileron Therapeutics, Inc. CS Q 11/20/2018 3:59:37 PM
WINS Wins Finance Hldgs Ord Shs R 11/20/2018 3:59:50 PM
IFMK iFresh Inc. Cm St R 11/20/2018 4:00:00 PM