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 25,2018 9/25/2018 4:30:21 PM

Symbol Security Name Market Category Trigger Time
AWSM Cool Holdings Inc. Common Stk R 9/24/2018 9:30:00 AM
ALT Altimmune, Inc. Q 9/24/2018 9:30:00 AM
ROSE Rosehill Resources Inc Cl A Cm R 9/24/2018 9:30:00 AM
NBEV New Age Beverages Cmn R 9/24/2018 9:30:01 AM
NTNX Nutanix Inc. Class A Cmn Q 9/24/2018 9:30:01 AM
TLRY Tilray, Inc. Class 2 Q 9/24/2018 9:30:01 AM
ASTC Astrotech Corporation R 9/24/2018 9:30:01 AM
NLST Netlist, Inc. R 9/24/2018 9:30:01 AM
ASCMA Ascent Capital Group A Q 9/24/2018 9:30:01 AM
BNGOW Bionano Genomics, Inc.WT R 9/24/2018 9:30:02 AM
ESEA Euroseas Ltd. Common Stock R 9/24/2018 9:30:05 AM
CTXR Citius Pharmaceuticals Cm St R 9/24/2018 9:30:06 AM
BHTG BioHiTech Global, Inc. CS R 9/24/2018 9:30:09 AM
RAVE Rave Restaurant Group, Inc. R 9/24/2018 9:30:11 AM
NCOM National Commerce Corp Cm Q 9/24/2018 9:30:14 AM
CELC Celcuity Inc. Cm St R 9/24/2018 9:30:24 AM
BSGM BioSig Technologies Cmn Stk R 9/24/2018 9:30:27 AM
SBT Sterling Bancorp, Inc. Cmn Stk R 9/24/2018 9:30:27 AM
LFACU LF Capital Acquistion Corp.UT R 9/24/2018 9:31:17 AM
ALQA Alliqua BioMedical, Inc. R 9/24/2018 9:31:22 AM
CDTI CDTI Advanced Materials R 9/24/2018 9:32:07 AM
AETI American Electric Technologies R 9/24/2018 9:33:59 AM
CHUY Chuy's Holdings, Inc. Q 9/24/2018 9:35:01 AM
RLM Realm Therapeutics plc ADS R 9/24/2018 9:36:32 AM
APEN Apollo Endosurgery, Inc. Cmn Q 9/24/2018 9:37:18 AM
JG Aurora Mobile Limited ADS Q 9/24/2018 9:38:44 AM
IMTE Integrated Media Tech ORDS R 9/24/2018 9:39:19 AM
HEBT Hebron Technology Co Cl A Cmn R 9/24/2018 9:44:44 AM
ESES Eco-Stim Energy Sltns Cmn R 9/24/2018 9:45:37 AM
CLRBZ Cellectar Biosciences Sr A WT R 9/24/2018 9:52:16 AM
NXTDW Nxt-ID, Inc. Warrant R 9/24/2018 9:54:08 AM
AHPAW Avista Healthcare Pub Acq Wrnt R 9/24/2018 9:55:50 AM
TRPX Therapix Biosciences Ltd. ADS R 9/24/2018 10:01:51 AM
AMRWW Alta Mesa Resources, Inc. Wts R 9/24/2018 10:04:00 AM
NITE Nightstar Therapeutics plc ADS Q 9/24/2018 10:06:18 AM
ROSEW Rosehill Resources Inc. Wts R 9/24/2018 10:16:47 AM
OPK OPKO Health, Inc. Cmn Stk Q 9/24/2018 10:22:11 AM
BHACW Barington/Hilco Acq Cp Wts R 9/24/2018 10:30:16 AM
AGMH AGM Group Holdings Cl A Ord R 9/24/2018 10:32:04 AM
KTOVW Kitov Pharma Ltd. Wts R 9/24/2018 10:34:24 AM
PAVMZ PAVmed Inc. Wt Series Z R 9/24/2018 10:38:41 AM
SHIP Seanergy Maritime Hld Corp R 9/24/2018 10:44:37 AM
SNGXW Soligenix, Inc. Wt R 9/24/2018 10:46:44 AM
DGLY Digital Ally, Inc. Cmn R 9/24/2018 10:49:03 AM
TRCH Torchlight Energy Rsrc Cmn R 9/24/2018 10:57:32 AM
SHLD Sears Holdings Corporation Q 9/24/2018 11:01:22 AM
QUMU QUMU CORPORATION R 9/24/2018 11:08:10 AM
JASNW Jason Industries, Inc. Warrant R 9/24/2018 11:10:31 AM
QTT Qutoutiao Inc. ADS Q 9/24/2018 11:11:30 AM
NFEC NF Energy Saving Corporation R 9/24/2018 11:30:40 AM
ONTXW Onconova Therapeutics, Inc. WT R 9/24/2018 11:32:04 AM
SHLDW Sears Holdings Corporation Wrt Q 9/24/2018 11:34:13 AM
DHXM DHX Media Ltd. Q 9/24/2018 11:42:04 AM
ECHO Echo Global Logistics, Inc. Q 9/24/2018 11:46:28 AM
EVK Ever-Glory IntLGrp Cmn Stk Q 9/24/2018 11:53:50 AM
CYTXW Cytori Therapeutics Inc WT R 9/24/2018 11:54:44 AM
DRIOW DarioHealth Corp. Wts R 9/24/2018 11:59:11 AM
JAKK JAKKS Pacific Inc Q 9/24/2018 12:04:02 PM
NESRW National Energy SV Reunited WT R 9/24/2018 12:07:50 PM
ADRO Aduro Biotech, Inc. Cmn Q 9/24/2018 12:07:57 PM
TOPS TOP Ships Inc R 9/24/2018 12:23:35 PM
TWLVW Twelve Seas Investment WT R 9/24/2018 12:34:29 PM
BLPH Bellerophon Thera Common Stock Q 9/24/2018 12:34:49 PM
OCC Optical Cable Corporation Q 9/24/2018 12:43:44 PM
SPPI Spectrum Pharmaceuticals Inc Q 9/24/2018 12:53:14 PM
FDBC Fidelity D & D Bancorp, COM Q 9/24/2018 1:09:14 PM
JSYNW Jensyn Acquistion Corp. WT R 9/24/2018 1:52:33 PM
XSPA XpresSpa Group, Inc. R 9/24/2018 2:05:14 PM
ATXI Avenue Therapeutics, Inc. CM R 9/24/2018 2:10:04 PM
CHKE Cherokee Inc Q 9/24/2018 2:10:48 PM
CENX Century Aluminum Company Q 9/24/2018 2:20:23 PM
ADOM ADOMANI, Inc. CM R 9/24/2018 2:30:30 PM
NTGN Neon Therapeutics, Inc. Cmn Q 9/24/2018 2:37:58 PM
SURF Surface Oncology, Inc. Q 9/24/2018 3:04:16 PM
DXYN The Dixie Group Inc Q 9/24/2018 3:08:03 PM
BKYI BIO-key International Cm St R 9/24/2018 3:08:18 PM
TAIT Taitron Components Cl A R 9/24/2018 3:26:17 PM
AUTL Autolus Therapeutics plc ADS Q 9/24/2018 3:29:43 PM
ERYP Erytech Pharma S.A. ADS Q 9/24/2018 3:34:56 PM
RDCM RADCOM LTD R 9/24/2018 3:37:42 PM
IMXIW Int'l Money Express Wt R 9/24/2018 3:42:52 PM
AUTO AutoWeb, Inc. R 9/24/2018 3:43:31 PM
SIRI Sirius XM Holdings Inc. Q 9/24/2018 3:47:26 PM
DOGZ Dogness (International) Corpor Q 9/24/2018 3:59:35 PM
ITRM Iterum Therapeutics plc ORD Q 9/24/2018 4:00:00 PM
ATISW Attis Industries Inc. Wts R 9/25/2018 9:30:00 AM
SAEX SAExploration Hldgs R 9/25/2018 9:30:00 AM
GEMP Gemphire Therapeutics CM Q 9/25/2018 9:30:00 AM
OPNT Opiant Pharmaceuticals Cm St R 9/25/2018 9:30:00 AM
XBIO Xenetic Biosciences Cmn R 9/25/2018 9:30:00 AM
ENTXW Entera Bio Ltd.WT R 9/25/2018 9:30:00 AM
HJLIW Hancock Jaffe Laboratories Wts R 9/25/2018 9:30:00 AM
TGTX TG Therapeutics, Inc. Cmn Stk R 9/25/2018 9:30:00 AM
AMRWW Alta Mesa Resources, Inc. Wts R 9/25/2018 9:30:00 AM
BNTCW Benitec Biopharma Warrant R 9/25/2018 9:30:00 AM
SNDX Syndax Pharmaceuticals Cmn Q 9/25/2018 9:30:01 AM
NEOG Neogen Corp Q 9/25/2018 9:30:01 AM
NLST Netlist, Inc. R 9/25/2018 9:30:01 AM
OPBK OP Bancorp Common Stock Q 9/25/2018 9:30:04 AM
GNMX Aevi Genomic Medicine Cmn Q 9/25/2018 9:30:09 AM
ONTX Onconova Therapeutics Inc R 9/25/2018 9:30:46 AM
AZRX AzurRx BioPharma, Inc. Cm St R 9/25/2018 9:31:14 AM
SPI SPI Energy Ord Shs Q 9/25/2018 9:31:50 AM
CYTXZ Cytori Therapeutics Srs S Wts R 9/25/2018 9:35:49 AM
FPAY FlexShopper, Inc. Cm St R 9/25/2018 9:36:50 AM
ACRX AcelRx Pharmaceuticals, Inc. Q 9/25/2018 9:41:05 AM
GGAL Grupo Financiero Galicia ADS R 9/25/2018 9:41:08 AM
NAUH National American Univrsty Hld Q 9/25/2018 9:44:49 AM
BNGOW Bionano Genomics, Inc.WT R 9/25/2018 9:47:05 AM
ALDX Aldeyra Therapeutics Cmn Stk R 9/25/2018 9:48:03 AM
ONTXW Onconova Therapeutics, Inc. WT R 9/25/2018 9:52:00 AM
MOXC Moxian, Inc. Cmn Stk R 9/25/2018 9:53:45 AM
VSTM Verastem, Inc. Q 9/25/2018 9:56:17 AM
CYTXW Cytori Therapeutics Inc WT R 9/25/2018 10:01:43 AM
CLRBW Cellectar Biosciences Wts R 9/25/2018 10:01:53 AM
TMSR TMSR Holding Co Ltd Cmn R 9/25/2018 10:04:30 AM
IMXIW Int'l Money Express Wt R 9/25/2018 10:06:01 AM
VCNX Vaccinex, Inc. Common Stk Q 9/25/2018 10:10:54 AM
RETA Reata Pharmaceuticals CLA CM Q 9/25/2018 10:11:32 AM
SKYS Sky Solar Holdings ADS R 9/25/2018 10:17:14 AM
CKPT Checkpoint Therapeutics, CS R 9/25/2018 10:18:01 AM
NXTDW Nxt-ID, Inc. Warrant R 9/25/2018 10:19:58 AM
KTOVW Kitov Pharma Ltd. Wts R 9/25/2018 10:23:05 AM
DCPH Deciphera Pharmaceuticals CM Q 9/25/2018 10:31:48 AM
ABIL Ability Inc. R 9/25/2018 10:34:11 AM
LGCY Legacy Reserves Inc. Cmn Stk Q 9/25/2018 10:38:55 AM
MDGS Medigus Ltd ADS R 9/25/2018 10:46:15 AM
NVCN Neovasc Inc. Cmn Shs R 9/25/2018 10:59:07 AM
COCP Cocrystal Pharma, Inc. CM R 9/25/2018 10:59:22 AM
CRAI CRA International, Inc Q 9/25/2018 10:59:53 AM
ASTC Astrotech Corporation R 9/25/2018 11:01:27 AM
VLRX Valeritas Holdings, Inc. CS R 9/25/2018 11:07:17 AM
NESRW National Energy SV Reunited WT R 9/25/2018 11:12:47 AM
SCACW Saban Capital Acquisition WT R 9/25/2018 11:13:06 AM
KAACW Kayne Anderson Acquisition WRT R 9/25/2018 11:13:25 AM
MDGSW Medigus Ltd. Ser C Wts R 9/25/2018 11:19:42 AM
AWSM Cool Holdings Inc. Common Stk R 9/25/2018 11:22:50 AM
DFFN Diffusion Pharmaceuticals Inc. R 9/25/2018 11:26:06 AM
CCIH ChinaCache Holdings Ltd ADR Q 9/25/2018 11:55:31 AM
WHLRW Wheeler REIT Warrants R 9/25/2018 12:01:41 PM
WINS Wins Finance Hldgs Ord Shs R 9/25/2018 12:12:23 PM
RCON Recon Technology, Ltd. R 9/25/2018 12:40:56 PM
NTRP Neurotrope, Inc. Cmn Stk R 9/25/2018 12:41:56 PM
CNTF China TechFaith Wireless Commu Q 9/25/2018 12:43:49 PM
DRIOW DarioHealth Corp. Wts R 9/25/2018 1:20:29 PM
SLNO Soleno Therapeutics, Inc. R 9/25/2018 1:23:56 PM
BNGO Bionano Genomics, Inc. Cm St R 9/25/2018 1:29:46 PM
RYTM Rhythm Pharmaceuticals CM Q 9/25/2018 1:32:46 PM
ADXSW Advaxis, Inc. Warrants R 9/25/2018 1:33:44 PM
NHLDW National Holdings Corp Wts R 9/25/2018 1:35:29 PM
STLRW Stellar Acquisition III WRT R 9/25/2018 2:05:59 PM
CDTI CDTI Advanced Materials R 9/25/2018 2:06:50 PM
GTXI GTx, Inc R 9/25/2018 2:14:20 PM
XON Intrexon Corporation Q 9/25/2018 2:16:24 PM
ZN Zion Oil & Gas Common Stock Q 9/25/2018 2:22:32 PM
SBPH Spring Bank Pharmaceuticals CS R 9/25/2018 2:26:30 PM
LFACW LF Capital Acquistion Corp.WT R 9/25/2018 2:45:31 PM
SOLOW Electrameccanica Vehicles Wts R 9/25/2018 2:53:27 PM
BCACW Bison Cap Acquistion Corp Wt R 9/25/2018 3:10:16 PM
IAMXW I-AM Capital Acquisition Wt R 9/25/2018 3:19:19 PM
DGLY Digital Ally, Inc. Cmn R 9/25/2018 3:25:47 PM
ACST Acasti Pharma, Inc. Cl A Cmn R 9/25/2018 3:33:40 PM
KBLMW KBL Merger Corp. IV WTS R 9/25/2018 3:34:42 PM
SLS SELLAS Life Sciences Gp Cmn R 9/25/2018 3:38:08 PM
PMTS CPI Card Group Inc. R 9/25/2018 3:54:20 PM
SGLB Sigma Labs, Inc. Cm St R 9/25/2018 3:56:35 PM
TPNL 3PEA International, Inc. Cmn R 9/25/2018 3:56:35 PM
USEG U S Energy Corp R 9/25/2018 4:00:00 PM