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
Friday, January 18,2019 1/18/2019 4:30:24 PM

Symbol Security Name Market Category Trigger Time
IPCI Intellipharmaceutics Int Inc R 1/17/2019 9:30:00 AM
TBLTW ToughBuilt Ind Warrant R 1/17/2019 9:30:00 AM
PHUNW Phunware, Inc. Warrants R 1/17/2019 9:30:00 AM
OXBR Oxbridge Re Hldgs Ord Shares R 1/17/2019 9:30:00 AM
BHTG BioHiTech Global, Inc. CS R 1/17/2019 9:30:00 AM
CLIRW ClearSign Combustion Cp Wrt R 1/17/2019 9:30:01 AM
AUTO AutoWeb, Inc. R 1/17/2019 9:30:02 AM
EGBN Eagle Bancorp Inc R 1/17/2019 9:30:02 AM
SRAX Social Reality Cl A Cmn Stk R 1/17/2019 9:30:04 AM
UFCS United Fire Group, Inc Q 1/17/2019 9:30:05 AM
CIFS China Internet Nationwid Or Sh Q 1/17/2019 9:30:29 AM
NFEC NF Energy Saving Corporation R 1/17/2019 9:31:26 AM
TRPX Therapix Biosciences Ltd. ADS R 1/17/2019 9:31:41 AM
TBLT ToughBuilt Ind Common Stock R 1/17/2019 9:31:41 AM
ALPN Alpine Immune Sciences Cmn Q 1/17/2019 9:32:35 AM
STAF Staffing 360 Solutions Cmn R 1/17/2019 9:33:21 AM
ALRN Aileron Therapeutics, Inc. CS Q 1/17/2019 9:33:29 AM
NDRAW ENDRA Life Sciences Inc. WT R 1/17/2019 9:35:26 AM
HAIR Restoration Robotics, Inc. CM Q 1/17/2019 9:37:10 AM
RBZAW Reebonz Hldg Wt R 1/17/2019 9:39:10 AM
SOLOW Electrameccanica Vehicles Wts R 1/17/2019 9:39:12 AM
APTX Aptinyx Inc. Common Stock Q 1/17/2019 9:40:14 AM
GLG China Bat Group, Inc. R 1/17/2019 9:40:49 AM
YOGA YogaWorks, Inc. CM Q 1/17/2019 9:41:01 AM
QTNA Quantenna Communications CM Q 1/17/2019 9:42:03 AM
BRPAR Big Rock Partners Acq RT R 1/17/2019 9:43:32 AM
HJLI Hancock Jaffe Laboratories Cmn R 1/17/2019 9:43:58 AM
FANH Fanhua Inc. Q 1/17/2019 9:44:25 AM
ROSEU Rosehill Resources Inc. Ut R 1/17/2019 9:45:36 AM
ROSEW Rosehill Resources Inc. Wts R 1/17/2019 9:46:03 AM
HJLIW Hancock Jaffe Laboratories Wts R 1/17/2019 9:48:32 AM
DJCO Daily Journal Corp R 1/17/2019 9:49:08 AM
BCACR Bison Cap Acquistion Cp Right R 1/17/2019 9:49:26 AM
CBAT CBAK Energy Technology, Inc. Q 1/17/2019 9:49:44 AM
MDJH MDJM LTD ORD R 1/17/2019 9:52:28 AM
KTOV Kitov Pharma Ltd. ADS R 1/17/2019 9:56:37 AM
ORGO Organogenesis R 1/17/2019 10:00:14 AM
AWSM Cool Holdings Inc. Common Stk R 1/17/2019 10:03:31 AM
WRLSW Pensare Acquisition Corp WT R 1/17/2019 10:03:47 AM
ADILW Adial Pharmaceuticals Warrant R 1/17/2019 10:05:39 AM
CHFS CHF Solutions, Inc. R 1/17/2019 10:08:12 AM
WINRW Simplicity Esp & Gam Wt R 1/17/2019 10:14:09 AM
DGLY Digital Ally, Inc. Cmn R 1/17/2019 10:14:39 AM
IIIN Insteel Industries Inc Q 1/17/2019 10:15:48 AM
CREX Creative Realities Inc. Cmn R 1/17/2019 10:17:10 AM
DNJR Golden Bull Limited Ord Shs R 1/17/2019 10:20:33 AM
APDNW Applied DNA Scien Warrant R 1/17/2019 10:24:38 AM
OHRP Ohr Pharmaceutical Inc Cmn Stk R 1/17/2019 10:25:27 AM
RKDA Arcadia Biosciences, Inc. R 1/17/2019 10:27:09 AM
OESX Orion Energy Systems, Inc Cmn R 1/17/2019 10:28:18 AM
WRLSR Pensare Acquisition Corp Right R 1/17/2019 10:32:20 AM
PLXS Plexus Corp Q 1/17/2019 10:33:51 AM
ELTK Eltek Ltd. R 1/17/2019 10:35:08 AM
TROV TrovaGene, Inc. Common Stock R 1/17/2019 10:40:37 AM
CNACR Constellation Alpha Capital Rt R 1/17/2019 10:44:25 AM
SNGXW Soligenix, Inc. Wt R 1/17/2019 10:48:41 AM
ADXS Advaxis, Inc. Common Stock Q 1/17/2019 10:49:06 AM
LGCY Legacy Reserves Inc. Cmn Stk Q 1/17/2019 10:53:18 AM
RLM Realm Therapeutics plc ADS R 1/17/2019 11:01:45 AM
BRACR Black Ridge Acq Corp. RT R 1/17/2019 11:19:17 AM
WVVIP Willamette Valley Vi Pref St A R 1/17/2019 11:19:53 AM
BVXVW BiondVax Pharmaceuticals Wts R 1/17/2019 11:20:47 AM
IGLD Internet Gold-Gold Lines Ltd Q 1/17/2019 11:42:34 AM
LQDA Liquidia Technologies, Inc Cmn R 1/17/2019 11:43:31 AM
OPESW Opes Acquisition WT R 1/17/2019 11:45:23 AM
BSET Bassett Furniture Inds Inc Q 1/17/2019 11:54:44 AM
WINR Simplicity Esports & Gaming Co R 1/17/2019 11:58:38 AM
ATIS Attis Industries Inc. Cmn Stk R 1/17/2019 11:58:58 AM
ARCW ARC Group Worldwide, Inc. R 1/17/2019 12:16:24 PM
ALACW Alberton Acquisition Corp WT R 1/17/2019 12:17:32 PM
SITO SITO Mobile, Ltd. Cmn Stk R 1/17/2019 12:41:10 PM
HOVNP Hovanian Enterprises Inc. Dep. Q 1/17/2019 12:41:19 PM
CERC Cerecor Inc. Cmn Stk R 1/17/2019 12:50:26 PM
MTC MMTec, Inc. Cm Sh R 1/17/2019 12:52:03 PM
LACQW Leisure Acquisition Corp. Wt R 1/17/2019 1:06:16 PM
OXBRW Oxbridge Re Hldgs Ltd Warrants R 1/17/2019 1:16:20 PM
TDACW Trident Acquisitions Corp. WT R 1/17/2019 1:28:29 PM
LINK Interlink Electronics, Inc. CM R 1/17/2019 1:58:59 PM
TZACW Tenzing Acquisition Corp. Wts R 1/17/2019 1:59:32 PM
DVCR Diversicare Healthcare R 1/17/2019 2:06:02 PM
JCTCF Jewett-Cameron Trading Company R 1/17/2019 2:07:24 PM
CFRX Contrafect Corp Common R 1/17/2019 2:08:03 PM
SNSS Sunesis Pharmaceuticals Inc R 1/17/2019 2:08:10 PM
AVRO AVROBIO, Inc. Cmn Stk Q 1/17/2019 2:11:51 PM
AHPI Allied Healthcare Products R 1/17/2019 2:15:26 PM
IEAWW Infrastructure & Enrgy Alt Wt R 1/17/2019 2:19:08 PM
SNOAW Sonoma Pharma Wts R 1/17/2019 2:19:08 PM
JSYNW Jensyn Acquistion Corp. WT R 1/17/2019 2:19:08 PM
OPGNW OpGen, Inc. Warrant R 1/17/2019 2:19:08 PM
CLPS CLPS Incorporation CM Q 1/17/2019 2:25:53 PM
BNGOW Bionano Genomics, Inc.WT R 1/17/2019 2:27:24 PM
AKER Akers Biosciences Inc. R 1/17/2019 2:38:32 PM
SPRO Spero Therapeutics, Inc. CM Q 1/17/2019 2:47:05 PM
OTLKW Outlook Therapeutics Ser A Wt R 1/17/2019 2:51:05 PM
CMSSR CM Seven Star Acquisition RTS R 1/17/2019 2:59:16 PM
AMCN AirMedia Group Inc ADS R 1/17/2019 3:08:56 PM
PHUN Phunware, Inc. Common Stock R 1/17/2019 3:31:41 PM
BCACW Bison Cap Acquistion Corp Wt R 1/17/2019 3:38:10 PM
ARCI Appliance Recycling Centers R 1/17/2019 3:54:06 PM
ONTX Onconova Therapeutics Inc R 1/17/2019 3:56:05 PM
EYESW Second Sight Mdl Products Wt R 1/17/2019 3:57:26 PM
IMMU Immunomedics, Inc. Q 1/18/2019 9:30:00 AM
CASA Casa Systems, Inc. Cm St Q 1/18/2019 9:30:00 AM
LXRX Lexicon Pharmaceuticals, Inc. Q 1/18/2019 9:30:00 AM
TYME Tyme Technologies, Inc. Cmn R 1/18/2019 9:30:00 AM
SNSS Sunesis Pharmaceuticals Inc R 1/18/2019 9:30:00 AM
PRGS Progress Software Corp Q 1/18/2019 9:30:00 AM
BIOC Biocept Inc. R 1/18/2019 9:30:00 AM
TBLT ToughBuilt Ind Common Stock R 1/18/2019 9:30:00 AM
MTC MMTec, Inc. Cm Sh R 1/18/2019 9:30:02 AM
CCCL China Ceramics Co Cmn Stk R 1/18/2019 9:30:14 AM
APDN Applied DNA Sciences Cmn R 1/18/2019 9:30:18 AM
KIN Kindred Biosciences, Inc. R 1/18/2019 9:31:11 AM
GVP GSE Systems, Inc. Common Stk R 1/18/2019 9:31:46 AM
LMFA LM Funding America Cmn Stk R 1/18/2019 9:31:48 AM
NCTY The9 Ltd ADS R 1/18/2019 9:32:13 AM
QTT Qutoutiao Inc. ADS Q 1/18/2019 9:32:48 AM
MBOT Microbot Medical Inc R 1/18/2019 9:33:45 AM
RVLT Revolution Lighting Tech Cmn R 1/18/2019 9:34:33 AM
BVSN BroadVision Inc R 1/18/2019 9:36:10 AM
ETTX Entasis Therapeutics Hlds Cmn Q 1/18/2019 9:36:14 AM
TRIB Trinity Biotech PLC ADR Q 1/18/2019 9:38:57 AM
LPCN Lipocine Inc. Common Stock R 1/18/2019 9:39:52 AM
PVBC Provident Bancorp, Inc. CS R 1/18/2019 9:43:32 AM
ADOM ADOMANI, Inc. CM R 1/18/2019 9:46:48 AM
SOLOW Electrameccanica Vehicles Wts R 1/18/2019 9:47:09 AM
HUNTW Hunter Maritime Acquisition W R 1/18/2019 9:48:07 AM
ORGO Organogenesis R 1/18/2019 9:48:25 AM
MICT MICT, Inc. Common Stock R 1/18/2019 9:51:16 AM
RBZ Reebonz Hldg Ltd R 1/18/2019 9:51:23 AM
ALGRW Allegro Merger Corp. Wt R 1/18/2019 9:54:00 AM
AWSM Cool Holdings Inc. Common Stk R 1/18/2019 9:58:21 AM
RUBY Rubius Therapeutics Cm St Q 1/18/2019 10:02:57 AM
KBLMW KBL Merger Corp. IV WTS R 1/18/2019 10:07:23 AM
AGMH AGM Group Holdings Cl A Ord R 1/18/2019 10:11:49 AM
SAMAW Schultze Special Prps Acq Wt R 1/18/2019 10:14:12 AM
NXTDW Nxt-ID, Inc. Warrant R 1/18/2019 10:14:13 AM
TBLTW ToughBuilt Ind Warrant R 1/18/2019 10:16:22 AM
TSLA Tesla, Inc. Q 1/18/2019 10:16:25 AM
TMDI Titan Medical Inc. Ord Shs R 1/18/2019 10:17:01 AM
CADC China Advd Cnstrctn Mtrls Grp R 1/18/2019 10:18:03 AM
HJLIW Hancock Jaffe Laboratories Wts R 1/18/2019 10:26:50 AM
YRIV Yangtze Riv Pt & Log Ltd Q 1/18/2019 10:33:26 AM
SGLB Sigma Labs, Inc. Cm St R 1/18/2019 10:35:01 AM
JNCE Jounce Therapeutics, Inc. CM Q 1/18/2019 10:39:40 AM
SNOAW Sonoma Pharma Wts R 1/18/2019 10:41:34 AM
TWST Twist Bioscience Corp Cmn Stk Q 1/18/2019 10:43:27 AM
RBZAW Reebonz Hldg Wt R 1/18/2019 10:47:52 AM
CNACW Constellation Alpha Capital Wt R 1/18/2019 11:01:09 AM
IEAWW Infrastructure & Enrgy Alt Wt R 1/18/2019 11:04:10 AM
EVLO Evelo Biosciences, Inc. CS Q 1/18/2019 11:12:02 AM
UBX Unity Biotechnology CM Q 1/18/2019 11:17:35 AM
EYEGW Eyegate Pharmaceuticals Wts R 1/18/2019 11:21:07 AM
HOVNP Hovanian Enterprises Inc. Dep. Q 1/18/2019 11:21:11 AM
CELGZ Celgene Cp Cntgnt Value Rts Q 1/18/2019 11:26:17 AM
DNJR Golden Bull Limited Ord Shs R 1/18/2019 11:30:29 AM
DLHC DLH Holdings Corp. R 1/18/2019 11:30:49 AM
ALRN Aileron Therapeutics, Inc. CS Q 1/18/2019 11:35:13 AM
GLG China Bat Group, Inc. R 1/18/2019 11:53:35 AM
OXBRW Oxbridge Re Hldgs Ltd Warrants R 1/18/2019 11:57:45 AM
TWLVR Twelve Seas Investment RT R 1/18/2019 12:05:22 PM
SHOS Sears Hometown & Outlet Stores R 1/18/2019 12:19:24 PM
SAEX SAExploration Hldgs R 1/18/2019 12:39:32 PM
USWSW U.S. Well Services, Inc. Wts R 1/18/2019 12:43:41 PM
BRPAW Big Rock Partners Acq WT R 1/18/2019 12:52:36 PM
WHLRW Wheeler REIT Warrants R 1/18/2019 1:05:19 PM
DTSS Datasea Inc. CS R 1/18/2019 1:08:48 PM
BPTH Bio-Path Holdings, Inc. R 1/18/2019 1:12:59 PM
AQST Aquestive Therapeutics Cmn Q 1/18/2019 1:13:00 PM
FTACW FinTech Acquisition Corp. WT R 1/18/2019 1:20:22 PM
LQDA Liquidia Technologies, Inc Cmn R 1/18/2019 1:25:11 PM
WINR Simplicity Esports & Gaming Co R 1/18/2019 1:34:42 PM
TCON TRACON Pharmaceutical Cmn Stk Q 1/18/2019 1:34:53 PM
APRI Apricus Biosciences, Inc. R 1/18/2019 1:35:48 PM
RIVE Riverview Financial Corp CS Q 1/18/2019 1:41:02 PM
ADILW Adial Pharmaceuticals Warrant R 1/18/2019 1:41:51 PM
TDACW Trident Acquisitions Corp. WT R 1/18/2019 1:44:49 PM
CNACR Constellation Alpha Capital Rt R 1/18/2019 2:02:31 PM
KALV KalVista Pharmaceuticals Q 1/18/2019 2:12:03 PM
TWLVW Twelve Seas Investment WT R 1/18/2019 2:18:28 PM
CWBR CohBar, Inc. Cm St R 1/18/2019 2:19:09 PM
VRNA Verona Pharma plc ADS Q 1/18/2019 2:19:35 PM
CLRB Cellectar Biosciences, Inc. R 1/18/2019 2:22:38 PM
XGTI xG Technology, Inc Common Stk R 1/18/2019 2:45:21 PM
IMRNW Immuron Limited R 1/18/2019 3:01:46 PM
TYHT Shineco Inc Common Stock R 1/18/2019 3:09:45 PM
OPGNW OpGen, Inc. Warrant R 1/18/2019 3:10:37 PM
SXTC China SXT Pharmaceuticals Ords R 1/18/2019 3:16:40 PM
NOVN Novan, Inc. CM Q 1/18/2019 3:17:13 PM
ADIL Adial Pharmaceuticals, Inc. Cm R 1/18/2019 3:26:26 PM
CXDC China XD Plastics Company Ltd Q 1/18/2019 3:27:16 PM
TLRY Tilray, Inc. Class 2 Q 1/18/2019 3:39:54 PM
DFVS iPath US Treasury 5 Year Bear Q 1/18/2019 3:51:17 PM
VCNX Vaccinex, Inc. Common Stk Q 1/18/2019 3:58:16 PM