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
Thursday, July 19,2018 7/19/2018 4:15:21 AM

Symbol Security Name Market Category Trigger Time
HCSG Healthcare Services Group Inc Q 7/18/2018 9:30:00 AM
AMRH Ameri Holdings, Inc. Cm St R 7/18/2018 9:30:00 AM
CYHHZ Community Health Systems, Inc. Q 7/18/2018 9:30:00 AM
WIN WINDSTREAM HLDGS INC Q 7/18/2018 9:30:00 AM
CTIC CTI BioPharma Corp. R 7/18/2018 9:30:00 AM
JMU JMU Limited ADS Q 7/18/2018 9:30:00 AM
OHGI One Horizon Group Common Stk R 7/18/2018 9:30:01 AM
MKGI Monaker Group CM R 7/18/2018 9:32:11 AM
PULM Pulmatrix, Inc. Cmn Stk Q 7/18/2018 9:33:58 AM
ABEOW Abeona Therapeutics Wts R 7/18/2018 9:34:42 AM
SRAX Social Reality Cl A Cmn Stk R 7/18/2018 9:35:59 AM
GCBC Greene County Bancorp Inc R 7/18/2018 9:46:21 AM
CLRB Cellectar Biosciences, Inc. R 7/18/2018 9:47:25 AM
CLRBZ Cellectar Biosciences Sr A WT R 7/18/2018 9:49:28 AM
MDGS Medigus Ltd ADS R 7/18/2018 9:52:24 AM
ACIU Ac Immune SA CM Q 7/18/2018 9:53:07 AM
UNIT Uniti Group Inc. Q 7/18/2018 9:54:03 AM
IPCI Intellipharmaceutics Int Inc R 7/18/2018 10:00:01 AM
ENTXW Entera Bio Ltd.WT R 7/18/2018 10:00:30 AM
IDRA Idera Pharmaceuticals, Inc. R 7/18/2018 10:07:02 AM
EYEGW Eyegate Pharmaceuticals Wts R 7/18/2018 10:09:28 AM
HUNTW Hunter Maritime Acquisition W R 7/18/2018 10:09:45 AM
CARA Cara Therapeutics, Inc. Q 7/18/2018 10:10:54 AM
BLIN Bridgeline Digital, Inc. R 7/18/2018 10:11:30 AM
COOL PolarityTE, Inc. Cmn Stk R 7/18/2018 10:21:28 AM
JAGX Jaguar Health, Inc. Cmn R 7/18/2018 10:30:32 AM
PIXY ShiftPixy, Inc. CS R 7/18/2018 10:34:42 AM
BLNKW Blink Charging Co. Wt R 7/18/2018 10:48:52 AM
ARLZ Aralez Pharmaceuticals Inc. Q 7/18/2018 10:52:22 AM
IPIC iPic Entertainment Inc.CS Q 7/18/2018 11:02:24 AM
GTYHW GTY Technology Hlds Wts R 7/18/2018 11:03:53 AM
MARK Remark Hldgs Inc. Cmn Stk R 7/18/2018 11:09:55 AM
XBIO Xenetic Biosciences Cmn R 7/18/2018 11:19:16 AM
CCRC China Customer Relations ORDS R 7/18/2018 11:24:35 AM
INNT Innovate Biopharma Cmn R 7/18/2018 11:25:01 AM
CODA Coda Octopus Group, Inc. CS R 7/18/2018 11:26:53 AM
CHFS CHF Solutions, Inc. R 7/18/2018 11:59:05 AM
ZSAN Zosano Pharma Corporation Cmn R 7/18/2018 12:04:28 PM
VTGN VistaGen Therapeutics, Com R 7/18/2018 12:28:21 PM
SSLJ SSLJ.com Limited Cl A Ord Sh R 7/18/2018 12:30:10 PM
CYTXW Cytori Therapeutics Inc WT R 7/18/2018 12:34:47 PM
WHLR Wheeler Real Estate Investment R 7/18/2018 1:29:58 PM
KMPH KemPharm, Inc. Cmn Q 7/18/2018 1:45:20 PM
AVEO AVEO Pharmaceuticals, Inc. R 7/18/2018 1:47:11 PM
RARX Ra Pharmaceuticals CM Q 7/18/2018 1:59:39 PM
SHLDW Sears Holdings Corporation Wrt Q 7/18/2018 2:25:17 PM
ACER Acer Therapeutics Inc. R 7/18/2018 2:30:02 PM
BRACW Black Ridge Acq. Corp. WRNT R 7/18/2018 2:31:38 PM
DFBHW DFB Healthcare Acquisitions WT R 7/18/2018 2:32:56 PM
CYTXZ Cytori Therapeutics Srs S Wts R 7/18/2018 2:36:53 PM
PETZ TDH Holdings, Inc. Cmn Shrs R 7/18/2018 2:41:36 PM
BHACR Barington/Hilco Acq Cp Rights R 7/18/2018 2:51:26 PM
MARA Marathon Patent Grp Inc R 7/18/2018 3:04:37 PM
DLPNW Dolphin Entertainment, WTS R 7/18/2018 3:12:42 PM
FAMI Farmmi, Inc. Ordinary Shs R 7/18/2018 3:14:39 PM
RIOT Riot Blockchain, Inc. R 7/18/2018 3:41:43 PM
APDNW Applied DNA Scien Warrant R 7/18/2018 3:51:15 PM
SLS SELLAS Life Sciences Gp Cmn R 7/18/2018 3:56:45 PM