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, November 22,2019 11/22/2019 4:15:27 AM

Symbol Security Name Market Category Trigger Time
OPTN OptiNose, Inc. Cm St Q 11/21/2019 9:30:00 AM
MGNX MacroGenics, Inc. Cmn Stk Q 11/21/2019 9:30:00 AM
NVIV InVivo Theraptcs Hldg Cmn R 11/21/2019 9:30:00 AM
IMRNW Immuron Limited R 11/21/2019 9:30:00 AM
JG Aurora Mobile Limited ADS Q 11/21/2019 9:30:00 AM
BZUN Baozun Inc. ADS Q 11/21/2019 9:30:00 AM
GNUS Genius Brands Intl Inc R 11/21/2019 9:30:00 AM
GLYC GlycoMimetics, Inc. Q 11/21/2019 9:30:00 AM
CGIX Cancer Genetics, Inc. R 11/21/2019 9:30:01 AM
CPIX Cumberland Pharmaceuticals Inc Q 11/21/2019 9:30:26 AM
KRTX Karuna Therapeutics Inc Common Q 11/21/2019 9:31:05 AM
RYTM Rhythm Pharmaceuticals CM Q 11/21/2019 9:31:36 AM
NAKD Naked Brand Group Limited Ord R 11/21/2019 9:32:59 AM
TOCA Tocagen Inc. Common Stock Q 11/21/2019 9:33:07 AM
TNXP Tonix Pharma Hldg Cmn Stk Q 11/21/2019 9:33:20 AM
IPAR Inter Parfums Inc Q 11/21/2019 9:34:29 AM
FAMI Farmmi, Inc. Ordinary Shs R 11/21/2019 9:35:46 AM
DSKEW Daseke, Inc. Warrant R 11/21/2019 9:36:02 AM
REXN Rexahn Pharmaceuticals Cmn R 11/21/2019 9:37:44 AM
NESRW National Energy SV Reunited WT R 11/21/2019 9:38:45 AM
GNPX Genprex, Inc. CM R 11/21/2019 9:39:56 AM
NURO NeuroMetrix, Inc. Cmn R 11/21/2019 9:41:27 AM
IEAWW Infrastructure & Enrgy Alt Wt R 11/21/2019 9:45:05 AM
JCS Communications Systems Inc Q 11/21/2019 9:46:27 AM
YTEN Yield10 Bioscience, Inc. R 11/21/2019 9:47:10 AM
CIFS China Internet Nationwid Or Sh Q 11/21/2019 9:48:37 AM
APRE Aprea Therapeutics, Inc. CS Q 11/21/2019 9:55:50 AM
MHLD Maiden Holdings, Ltd. R 11/21/2019 9:56:04 AM
AAME Atlantic American Corporation Q 11/21/2019 9:57:57 AM
NMRD Nemaura Medical Inc. Cmn Stk R 11/21/2019 9:58:00 AM
CLRO CLEARONE INC. R 11/21/2019 10:03:55 AM
SMRT Stein Mart Inc Q 11/21/2019 10:07:46 AM
DFFN Diffusion Pharmaceuticals Inc. R 11/21/2019 10:11:00 AM
ORGO Organogenesis R 11/21/2019 10:11:01 AM
THMO ThermoGenesis Holdings, Inc. R 11/21/2019 10:18:04 AM
XSPA XpresSpa Group, Inc. R 11/21/2019 10:20:09 AM
ELOX Eloxx Pharma Cmn Stk Q 11/21/2019 10:22:30 AM
SNOAW Sonoma Pharma Wts R 11/21/2019 10:22:38 AM
PAVMZ PAVmed Inc. Wt Series Z R 11/21/2019 10:23:43 AM
SINT SiNtx Technologies, Inc. R 11/21/2019 10:23:49 AM
SLS SELLAS Life Sciences Gp Cmn R 11/21/2019 10:24:28 AM
PAVM PAVmed Inc. Common Stock R 11/21/2019 10:27:54 AM
EVOK Evoke Pharma, Inc. Cmn R 11/21/2019 10:32:54 AM
PNRL Paringa Resources LTD ADS R 11/21/2019 10:38:35 AM
IGMS IGM Biosciences, Inc. Cmn Stk Q 11/21/2019 10:41:27 AM
SUNW Sunworks, Inc. COM R 11/21/2019 10:46:30 AM
BTAI BioXcel Therapeutics, Inc. Cmn R 11/21/2019 10:48:27 AM
XGN Exagen Inc. Common Stk Q 11/21/2019 10:48:59 AM
AIHS Senmiao Technology Limited CM R 11/21/2019 10:49:24 AM
SLGG Super League Gaming Cmn Stk R 11/21/2019 10:56:35 AM
ETFC E*TRADE Financial Corp Q 11/21/2019 10:58:19 AM
KERNW Akerna Corp WT R 11/21/2019 10:59:19 AM
VIVE Viveve Medical, Inc. Cm St R 11/21/2019 11:19:37 AM
ONTX Onconova Therapeutics Inc R 11/21/2019 11:23:45 AM
ENTX Entera Bio Ltd. Ord Shs R 11/21/2019 11:24:00 AM
EVLO Evelo Biosciences, Inc. CS Q 11/21/2019 11:28:37 AM
DLPNW Dolphin Entertainment, WTS R 11/21/2019 11:29:20 AM
VERBW Verb Technology Company WTS R 11/21/2019 11:34:45 AM
BPTH Bio-Path Holdings, Inc. R 11/21/2019 11:35:29 AM
IDRA Idera Pharma Cmn Stk R 11/21/2019 11:38:51 AM
CLRBZ Cellectar Biosciences Sr A WT R 11/21/2019 11:47:03 AM
GRTX Galera Therapeutics, Inc Cm St Q 11/21/2019 11:52:23 AM
TRVN Trevena, Inc. Q 11/21/2019 11:55:19 AM
TBLTW ToughBuilt Ind Warrant R 11/21/2019 11:57:12 AM
ESTR Estre Ambiental, Inc. Q 11/21/2019 11:59:56 AM
ICON Iconix Brand Group, Inc. Q 11/21/2019 12:01:50 PM
AEMD Aethlon Medical, Inc. R 11/21/2019 12:08:49 PM
CRSP CRISPR Therapeutics AG CM Q 11/21/2019 12:08:58 PM
INMD InMode Ltd. ORD Q 11/21/2019 12:14:50 PM
LINC Lincoln Educational Services C Q 11/21/2019 12:18:40 PM
CIDM CINEDIGM CORP Q 11/21/2019 12:25:05 PM
ACRS Aclaris Therapeutics, Inc. Cmn Q 11/21/2019 12:27:53 PM
AXAS Abraxas Petroleum Corporation R 11/21/2019 12:34:36 PM
CBLI Cleveland BioLabs Inc R 11/21/2019 12:38:55 PM
ROSEW Rosehill Resources Inc. Wts R 11/21/2019 12:39:22 PM
CABA Cabaletta Bio, Inc. Cmn Stk Q 11/21/2019 12:43:18 PM
SSPKW Silver Spike Acquisition Wts R 11/21/2019 12:55:32 PM
VRNA Verona Pharma plc ADS Q 11/21/2019 1:12:27 PM
KBLMR KBL Merger Corp. IV Rights R 11/21/2019 1:39:39 PM
TTOO T2 Biosystems, Inc. CS Q 11/21/2019 1:44:23 PM
SOLOW Electrameccanica Vehicles Wts R 11/21/2019 1:52:48 PM
FTR Frontier Communications Corp Q 11/21/2019 2:04:50 PM
LOACW Longevity Acquisition Warrant R 11/21/2019 2:06:04 PM
ZSAN Zosano Pharma Corporation Cmn R 11/21/2019 2:07:58 PM
TACOW Del Taco Restnts Warrants R 11/21/2019 2:12:23 PM
XELA Exela Tech Inc R 11/21/2019 2:19:10 PM
ONVO Organovo Hldgs Inc Cmn Stk Q 11/21/2019 2:53:26 PM
MIST Milestone Pharma Inc. Cmn Shs Q 11/21/2019 2:58:51 PM
SGLB Sigma Labs, Inc. Cm St R 11/21/2019 3:02:36 PM
BXRX Baudax Bio, Inc. Cmn Stk R 11/21/2019 3:05:27 PM
TKKSW TKK Symphony Acquisition WT R 11/21/2019 3:07:36 PM
TZACW Tenzing Acquisition Corp. Wts R 11/21/2019 3:10:06 PM
KBLMW KBL Merger Corp. IV WTS R 11/21/2019 3:11:53 PM
CTRM Castor Maritime Inc. CS R 11/21/2019 3:14:17 PM
ALIM Alimera Sciences Inc. Q 11/21/2019 3:16:48 PM
IOVA Iovance Biotherapeutics, Inc. Q 11/21/2019 3:22:41 PM
DLPN Dolphin Entertainment, CS R 11/21/2019 3:34:37 PM
ITRM Iterum Therapeutics plc ORD Q 11/21/2019 3:35:27 PM
KOD Kodiak Sciences Inc CS Q 11/21/2019 3:37:43 PM
RMBL RumbleOn, Inc. Class B Cmn Stk R 11/21/2019 3:47:43 PM
TCON TRACON Pharmaceutical Cmn Stk Q 11/21/2019 3:55:01 PM
SXTC China SXT Pharmaceuticals Ords R 11/21/2019 3:55:37 PM
GLBS Globus Maritime Limited R 11/21/2019 3:55:46 PM