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 20,2019 11/20/2019 4:30:27 PM

Symbol Security Name Market Category Trigger Time
AIHS Senmiao Technology Limited CM R 11/19/2019 9:30:00 AM
HGSH China HGS Real Estate Cmn Stk R 11/19/2019 9:30:00 AM
GURE Gulf Resources, Inc. Q 11/19/2019 9:30:00 AM
OCGN Ocugen, Inc. Common Stock R 11/19/2019 9:30:07 AM
MYSZ My Size, Inc. Cmn Stk R 11/19/2019 9:30:10 AM
YVR Liquid Media Group Cmn R 11/19/2019 9:30:13 AM
XELA Exela Tech Inc R 11/19/2019 9:30:31 AM
EVK Ever-Glory IntLGrp Cmn Stk Q 11/19/2019 9:30:41 AM
RAPT RAPT Therapeutics, Inc. Cmn Q 11/19/2019 9:30:56 AM
EVOK Evoke Pharma, Inc. Cmn R 11/19/2019 9:31:26 AM
KLXE KLX Energy Servcs Hldgs Cmn Q 11/19/2019 9:31:26 AM
PSTV PLUS THERAPEUTICS, Inc. R 11/19/2019 9:31:30 AM
POAI Predictive Oncology Inc. R 11/19/2019 9:32:20 AM
CTIB CTI Industries Corp R 11/19/2019 9:32:28 AM
ANY Sphere 3D Corp. R 11/19/2019 9:34:01 AM
HX Hexindai Inc. ADR Q 11/19/2019 9:34:14 AM
LLIT Lianluo Smart Limited R 11/19/2019 9:34:26 AM
OXBRW Oxbridge Re Hldgs Ltd Warrants R 11/19/2019 9:35:10 AM
ABIL Ability Inc. R 11/19/2019 9:35:18 AM
FCEL FuelCell Energy, Inc. Q 11/19/2019 9:35:25 AM
SNCA Seneca Biopharma, Inc. Cmn R 11/19/2019 9:37:01 AM
KRTX Karuna Therapeutics Inc Common Q 11/19/2019 9:37:41 AM
HJLI Hancock Jaffe Laboratories Cmn R 11/19/2019 9:39:32 AM
MYT Urban Tea, Inc. R 11/19/2019 9:41:36 AM
DTSS Datasea Inc. CS R 11/19/2019 9:42:19 AM
GRNQ Greenpro Capital Corp. Cmn Stk R 11/19/2019 9:42:41 AM
DMPI DelMar Pharmaceuticals R 11/19/2019 9:43:51 AM
AXLA Axcella Health Inc.CS Q 11/19/2019 9:44:58 AM
OBAS Optibase Ltd. Q 11/19/2019 9:46:32 AM
INAP Internap Corp Cmn Stk Q 11/19/2019 9:47:00 AM
CETXW Cemtrex Inc. WTS R 11/19/2019 9:48:03 AM
SNOAW Sonoma Pharma Wts R 11/19/2019 9:48:21 AM
ADXS Advaxis, Inc. Common Stock Q 11/19/2019 9:50:01 AM
OESX Orion Energy Systems, Inc Cmn R 11/19/2019 9:51:29 AM
ANCN Anchiano Therapeutics Ltd. ADS R 11/19/2019 9:52:15 AM
VNET 21Vianet Group Inc Q 11/19/2019 9:52:46 AM
BLDP Ballard Power Systems Inc Q 11/19/2019 9:53:03 AM
ABEOW Abeona Therapeutics Wts R 11/19/2019 9:54:14 AM
ZEAL Zealand Pharma ADS Q 11/19/2019 9:55:03 AM
SSKN Strata Skin Sciences, Inc. Cmn R 11/19/2019 9:56:32 AM
SCON SUPERCONDUCTOR TECH R 11/19/2019 9:57:34 AM
YAYO YayYo, Inc. Common Stock R 11/19/2019 9:58:39 AM
JAN JanOne Inc. R 11/19/2019 10:00:12 AM
GTHX G1 Therapeutics, Inc. CM Q 11/19/2019 10:00:56 AM
BBQ BBQ Holdings, Inc. Q 11/19/2019 10:02:11 AM
DYNT DYNATRONICS CP R 11/19/2019 10:10:02 AM
DRIO DarioHealth Corp. R 11/19/2019 10:11:09 AM
INPX Inpixon Common Stock R 11/19/2019 10:26:06 AM
NDRA ENDRA Life Sciences Inc. CM R 11/19/2019 10:29:32 AM
PT Pintec Technology Hldg Ltd ADS Q 11/19/2019 10:29:51 AM
FTR Frontier Communications Corp Q 11/19/2019 10:31:25 AM
KERN Akerna Cp Common Stock R 11/19/2019 10:34:07 AM
CLBS Caladrius Biosciences, Inc. R 11/19/2019 10:34:48 AM
LONE Lonestar Resources US CM ST A Q 11/19/2019 10:34:53 AM
LIQT LiqTech International, Inc Cmn R 11/19/2019 10:35:32 AM
SLRX Salarius Pharmaceuticals R 11/19/2019 10:35:45 AM
BNGOW Bionano Genomics, Inc.WT R 11/19/2019 10:36:59 AM
NSYS Nortech Systems Inc R 11/19/2019 10:42:08 AM
CYCC Cyclacel Pharmaceuticals, Inc. R 11/19/2019 10:43:22 AM
GNUS Genius Brands Intl Inc R 11/19/2019 10:45:05 AM
BASI Bioanalytical Systems Inc R 11/19/2019 10:48:28 AM
PLUG Plug Power Inc R 11/19/2019 10:57:43 AM
VISL Vislink Tech Inc Common Stk R 11/19/2019 10:58:17 AM
NVUS Novus Therapeutics, Inc. R 11/19/2019 11:03:58 AM
TH Target Hospitality Cp Cmn R 11/19/2019 11:11:19 AM
ASTC Astrotech Corporation R 11/19/2019 11:15:24 AM
THMO ThermoGenesis Holdings, Inc. R 11/19/2019 11:15:47 AM
FTFT Future FinTech Group Inc. R 11/19/2019 11:20:31 AM
PECK The Peck Co Hldgs Cmn R 11/19/2019 11:23:24 AM
CRTX Cortexyme, Inc. Common Stock Q 11/19/2019 11:23:43 AM
CHEKW Check-Cap Ltd. Srs A Wt R 11/19/2019 11:24:22 AM
NDRAW ENDRA Life Sciences Inc. WT R 11/19/2019 11:25:33 AM
ROSEW Rosehill Resources Inc. Wts R 11/19/2019 11:26:44 AM
ORSNW Orisun Acquisition WT R 11/19/2019 11:27:53 AM
PPSI Pioneer Power Solutions Cmn R 11/19/2019 11:40:15 AM
NVIV InVivo Theraptcs Hldg Cmn R 11/19/2019 11:40:49 AM
PSTVZ PLUS THERAPEUTICS, Wts R 11/19/2019 11:48:35 AM
RMBL RumbleOn, Inc. Class B Cmn Stk R 11/19/2019 11:58:45 AM
SGBX SG Blocks, Inc. Common Stock R 11/19/2019 12:00:15 PM
SLGG Super League Gaming Cmn Stk R 11/19/2019 12:04:51 PM
AEMD Aethlon Medical, Inc. R 11/19/2019 12:06:08 PM
CYRXW CryoPort, Inc. Warrants R 11/19/2019 12:08:09 PM
BCDA BioCardia, Inc. Cm St R 11/19/2019 12:10:45 PM
OXBR Oxbridge Re Hldgs Ord Shares R 11/19/2019 12:14:09 PM
BNGO Bionano Genomics, Inc. Cm St R 11/19/2019 12:18:26 PM
VKTXW Viking Therapeutics, Inc. WTS R 11/19/2019 12:26:24 PM
TLSA Tiziana Life Sciences plc ADS Q 11/19/2019 12:30:44 PM
IMUX Immunic Inc Cmn Stk R 11/19/2019 12:34:45 PM
MLNT Melinta Therapeutics, Inc Q 11/19/2019 12:34:49 PM
IKNX Ikonics Corporation R 11/19/2019 12:38:07 PM
NAKD Naked Brand Group Limited Ord R 11/19/2019 12:41:56 PM
EAST Eastside Distilling, Inc. CM R 11/19/2019 12:46:32 PM
PFMT Performant Financial Corporati Q 11/19/2019 1:15:15 PM
WTER Alkaline Water Company CS R 11/19/2019 1:29:52 PM
TOTAR Tottenham Acquisition I Ltd RT R 11/19/2019 1:41:11 PM
ITRM Iterum Therapeutics plc ORD Q 11/19/2019 1:41:32 PM
BXRXV Baudax Bio, Inc. Cmn Stk WI R 11/19/2019 1:54:42 PM
ENOB Enochian Biosciences, Inc. R 11/19/2019 2:05:52 PM
SURF Surface Oncology, Inc. Q 11/19/2019 2:17:46 PM
BFRA Biofrontera AG ADS R 11/19/2019 2:33:57 PM
BRY Berry Petroleum Corp Cmn Stk Q 11/19/2019 2:34:38 PM
ALACW Alberton Acquisition Corp WT R 11/19/2019 2:36:35 PM
SSPKW Silver Spike Acquisition Wts R 11/19/2019 2:38:38 PM
AXAS Abraxas Petroleum Corporation R 11/19/2019 2:59:45 PM
HDSN Hudson Technologies R 11/19/2019 3:04:32 PM
PAYS Paysign, Inc. R 11/19/2019 3:09:27 PM
NEON Neonode Inc. R 11/19/2019 3:33:28 PM
NMCI Navios Maritime Cntr Cmn Unts Q 11/19/2019 3:40:37 PM
KBLM KBL Merger Corp. IV CS R 11/19/2019 3:42:12 PM
VERB Verb Technology Company Cmn R 11/19/2019 3:52:51 PM
AGFSW AgroFresh Solu Warrants Q 11/19/2019 3:53:38 PM
URBN Urban Outfitters, Inc. Q 11/20/2019 9:30:00 AM
GRNQ Greenpro Capital Corp. Cmn Stk R 11/20/2019 9:30:00 AM
OXBR Oxbridge Re Hldgs Ord Shares R 11/20/2019 9:30:00 AM
EYESW Second Sight Mdl Products Wt R 11/20/2019 9:30:00 AM
CKPT Checkpoint Therapeutics, CS R 11/20/2019 9:30:00 AM
GNPX Genprex, Inc. CM R 11/20/2019 9:30:00 AM
PHIO Phio Pharmaceuticals Corp. R 11/20/2019 9:30:00 AM
BRY Berry Petroleum Corp Cmn Stk Q 11/20/2019 9:30:00 AM
PDD Pinduoduo Inc. ADS Q 11/20/2019 9:30:00 AM
TMSR TMSR Holding Co Ltd Cmn R 11/20/2019 9:30:00 AM
SAEX SAExploration Hldgs R 11/20/2019 9:30:01 AM
TIPT Tiptree Inc. Cmn R 11/20/2019 9:30:03 AM
IMBI iMedia Brands, Inc. R 11/20/2019 9:30:16 AM
AREC American Resources Cp Cm A R 11/20/2019 9:30:33 AM
CTIB CTI Industries Corp R 11/20/2019 9:30:44 AM
NVTR Nuvectra Corp Cm Stk Q 11/20/2019 9:30:49 AM
FCEL FuelCell Energy, Inc. Q 11/20/2019 9:31:23 AM
SINO Sino-Global Shipping America, R 11/20/2019 9:32:02 AM
HX Hexindai Inc. ADR Q 11/20/2019 9:32:35 AM
OCGN Ocugen, Inc. Common Stock R 11/20/2019 9:33:00 AM
LTBR Lightbridge Corp Cmn Stk R 11/20/2019 9:33:24 AM
AVGR Avinger, Inc. R 11/20/2019 9:33:24 AM
SCON SUPERCONDUCTOR TECH R 11/20/2019 9:34:34 AM
VRML Vermillion, Inc. R 11/20/2019 9:37:17 AM
AIHS Senmiao Technology Limited CM R 11/20/2019 9:38:21 AM
KGJI Kingold Jewelry Inc. Cmn R 11/20/2019 9:38:38 AM
EPIX ESSA Pharma Inc. Common R 11/20/2019 9:41:01 AM
PSTV PLUS THERAPEUTICS, Inc. R 11/20/2019 9:48:04 AM
IPDN Professional Diversity Network R 11/20/2019 9:48:45 AM
HTBX Heat Biologics, Inc. Cmn Stk R 11/20/2019 9:49:46 AM
THWWW Target Hospit Cp Wts R 11/20/2019 9:50:37 AM
LX LexinFintech Holdings Ltd. Q 11/20/2019 9:54:38 AM
MCEP Mid-Con Energy Partners, LP R 11/20/2019 9:58:05 AM
TDACW Trident Acquisitions Corp. WT R 11/20/2019 10:00:09 AM
ANTE AirNet Technology Inc. R 11/20/2019 10:01:42 AM
IFMK iFresh Inc. Cm St R 11/20/2019 10:01:46 AM
NDRA ENDRA Life Sciences Inc. CM R 11/20/2019 10:02:26 AM
FTACW FinTech Acquisition Corp. WT R 11/20/2019 10:02:43 AM
OESX Orion Energy Systems, Inc Cmn R 11/20/2019 10:04:22 AM
AMRN Amarin Corporation PLC ADS Q 11/20/2019 10:13:12 AM
DRIO DarioHealth Corp. R 11/20/2019 10:14:54 AM
XSPA XpresSpa Group, Inc. R 11/20/2019 10:18:26 AM
ACST Acasti Pharma, Inc. Cl A Cmn R 11/20/2019 10:22:26 AM
GHSI Guardion Health Sciences Cm St R 11/20/2019 10:23:53 AM
ONTX Onconova Therapeutics Inc R 11/20/2019 10:25:50 AM
ASNA Ascena Retail Group Cmn Stk Q 11/20/2019 10:26:39 AM
MTFBW Motif Bio plc Wts ADRs R 11/20/2019 10:29:33 AM
HGSH China HGS Real Estate Cmn Stk R 11/20/2019 10:39:58 AM
SOLOW Electrameccanica Vehicles Wts R 11/20/2019 10:42:57 AM
XBIOW Xenetic Biosciences Warrants R 11/20/2019 10:45:16 AM
TIBRW Tiberius Acquisition Corp Wt R 11/20/2019 10:58:45 AM
CSSE Chicken Sp for the Sl Cl A Q 11/20/2019 11:00:37 AM
ELTK Eltek Ltd. R 11/20/2019 11:10:30 AM
ORGO Organogenesis R 11/20/2019 11:10:47 AM
SGBX SG Blocks, Inc. Common Stock R 11/20/2019 11:13:44 AM
GPAQW Gordon Pointe Acquisition WT R 11/20/2019 11:25:32 AM
NVIV InVivo Theraptcs Hldg Cmn R 11/20/2019 11:31:17 AM
MIRM Mirum Pharma Inc Cmn Stk Q 11/20/2019 11:36:15 AM
INNT Innovate Biopharma Cmn R 11/20/2019 11:39:04 AM
ENT Global Eagle Entmnt R 11/20/2019 11:43:57 AM
SPWR SunPower Corporation Q 11/20/2019 12:00:03 PM
JRJC China Finance Online Co. Limit Q 11/20/2019 12:10:01 PM
PUYI Puyi Inc. ADS Q 11/20/2019 12:21:45 PM
CAAS China Automotive Systems, Inc. R 11/20/2019 12:25:47 PM
KRTX Karuna Therapeutics Inc Common Q 11/20/2019 12:36:53 PM
LOACW Longevity Acquisition Warrant R 11/20/2019 12:44:18 PM
SNOAW Sonoma Pharma Wts R 11/20/2019 12:56:05 PM
CERC Cerecor Inc. Cmn Stk R 11/20/2019 1:05:32 PM
VIVE Viveve Medical, Inc. Cm St R 11/20/2019 1:06:57 PM
SLGG Super League Gaming Cmn Stk R 11/20/2019 1:14:44 PM
DVAX Dynavax Technologies Corp R 11/20/2019 1:16:53 PM
TROV TrovaGene, Inc. Common Stock R 11/20/2019 1:18:10 PM
PHUNW Phunware, Inc. Warrants R 11/20/2019 1:20:42 PM
CLVS Clovis Oncology, Inc. Q 11/20/2019 1:25:40 PM
BVSN BroadVision Inc R 11/20/2019 1:26:31 PM
KBSF KBS Fashion Group Ltd R 11/20/2019 1:34:21 PM
FPAYW FlexShopper, Inc. Wt R 11/20/2019 1:44:14 PM
TRNX Taronis Technologies Cmn Stk R 11/20/2019 1:47:22 PM
HCACW Hennessy Capital Acquis WT R 11/20/2019 1:58:09 PM
AIH Aesthetic Medical Int ADS Q 11/20/2019 1:58:10 PM
IMTE Integrated Media Tech ORDS R 11/20/2019 2:15:09 PM
TBLT ToughBuilt Ind Common Stock R 11/20/2019 2:47:28 PM
HSDT Helius Medical Tech Cl A Cmn R 11/20/2019 2:48:23 PM
IDYA IDEAYA Biosciences, Inc. Cmn Q 11/20/2019 2:57:05 PM
AMRHW Ameri Holdings, Inc. Wt R 11/20/2019 3:09:21 PM
CORT Corcept Therapeutics R 11/20/2019 3:13:24 PM
TBLTU ToughBuilt Indtrs Cl A Unit R 11/20/2019 3:17:10 PM
AZRX AzurRx BioPharma, Inc. Cm St R 11/20/2019 3:18:07 PM
CABA Cabaletta Bio, Inc. Cmn Stk Q 11/20/2019 3:18:34 PM
ALYA Alithya Group inc. A Sub Vt Sh R 11/20/2019 3:23:24 PM
TKKSR TKK Symphony Acquisition RT R 11/20/2019 3:25:16 PM
KIRK KIRKLANDSINC Q 11/20/2019 3:26:01 PM
DDMXW DD3 Acquisition Corp Warrants R 11/20/2019 3:31:06 PM
PNRL Paringa Resources LTD ADS R 11/20/2019 3:31:20 PM
UNIT Uniti Group Inc. Q 11/20/2019 3:32:14 PM
RMBL RumbleOn, Inc. Class B Cmn Stk R 11/20/2019 3:33:49 PM
GLBS Globus Maritime Limited R 11/20/2019 3:35:45 PM
DMTK DermTech, Inc. Common Stock R 11/20/2019 3:37:53 PM
TRPX Therapix Biosciences Ltd. ADS R 11/20/2019 3:38:44 PM
ANCN Anchiano Therapeutics Ltd. ADS R 11/20/2019 3:47:04 PM
GURE Gulf Resources, Inc. Q 11/20/2019 3:52:51 PM
AQMS Aqua Metals, Inc. Cm St R 11/20/2019 3:54:26 PM
BHAT Blue Hat Interactive Enter ORD R 11/20/2019 3:57:14 PM