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, June 22,2018 6/22/2018 4:30:21 PM

Symbol Security Name Market Category Trigger Time
NVIV InVivo Theraptcs Hldg Cmn R 6/21/2018 9:30:00 AM
CLPS CLPS Incorporation CM R 6/21/2018 9:30:00 AM
VERI Veritone, Inc. CM Q 6/21/2018 9:30:00 AM
SHIPW Seanergy Maritime Holdings Cor R 6/21/2018 9:30:00 AM
MBRX Moleculin Biotech, Inc. COM R 6/21/2018 9:30:00 AM
RIBTW RiceBran Technologies Warrant R 6/21/2018 9:30:00 AM
FORD Forward Industries Inc R 6/21/2018 9:30:00 AM
GEVO Gevo, Inc. Common Stock R 6/21/2018 9:30:00 AM
NAKD Naked Brand Group Limited Ord R 6/21/2018 9:30:01 AM
LMNR Limoneira Company Cmn Stk Q 6/21/2018 9:30:02 AM
NEPT Neptune Tech & Bioresrc R 6/21/2018 9:30:12 AM
VVPR VivoPower International Ord Sh R 6/21/2018 9:30:18 AM
YTRA Yatra Online, Inc. R 6/21/2018 9:30:20 AM
FCEL FuelCell Energy, Inc. Q 6/21/2018 9:30:29 AM
AOBC American Outdoor Brands Cmn Q 6/21/2018 9:30:54 AM
RGCO RGC Resources Inc Q 6/21/2018 9:30:57 AM
PCRX Pacira Phamaceuticals, Inc. Q 6/21/2018 9:32:08 AM
ADOM ADOMANI, Inc. CM R 6/21/2018 9:32:34 AM
ALKS Alkermes plc Q 6/21/2018 9:33:34 AM
YOGA YogaWorks, Inc. CM Q 6/21/2018 9:34:23 AM
ATLC Atlanticus Holdings Corp Q 6/21/2018 9:34:45 AM
LIVX LiveXLive Media, Inc. Cm St R 6/21/2018 9:43:05 AM
RSLS ReShape Lifesciences Inc. R 6/21/2018 9:43:52 AM
SNGX Soligenix, Inc. R 6/21/2018 9:49:38 AM
AETI American Electric Technologies R 6/21/2018 9:50:03 AM
DRIOW DarioHealth Corp. Wts R 6/21/2018 9:50:59 AM
OESX Orion Energy Systems, Inc Cmn R 6/21/2018 9:52:02 AM
ASTC Astrotech Corporation R 6/21/2018 10:00:01 AM
TRUP Trupanion, Inc. Cmn Stk Q 6/21/2018 10:03:17 AM
ARDM Aradigm Corporation Cmn Stk R 6/21/2018 10:03:42 AM
TPIV TapImmune Inc. Cm St R 6/21/2018 10:06:36 AM
BILI Bilibili Inc. ADS Q 6/21/2018 10:07:07 AM
LEDS SemiLEDs Corporation R 6/21/2018 10:09:19 AM
IQ iQIYI, Inc. ADS Q 6/21/2018 10:09:34 AM
CKPT Checkpoint Therapeutics, CS R 6/21/2018 10:14:19 AM
NBEV New Age Beverages Cmn R 6/21/2018 10:15:01 AM
DNJR Golden Bull Limited Ord Shs R 6/21/2018 10:19:21 AM
SURF Surface Oncology, Inc. Q 6/21/2018 10:21:47 AM
DOGZ Dogness (International) Corpor Q 6/21/2018 10:24:35 AM
SITO SITO Mobile, Ltd. Cmn Stk R 6/21/2018 10:26:14 AM
EIDX Eidos Therapeutics, Inc. Cmn Q 6/21/2018 10:26:27 AM
MGTX MeiraGTx Holdings plc Ord Shs Q 6/21/2018 10:28:04 AM
OCUL Ocular Therapeutix, Inc. Cmn Q 6/21/2018 10:43:20 AM
LIFE aTyr Pharma, Inc. Cm Q 6/21/2018 10:44:33 AM
IIN IntriCon Corporation Q 6/21/2018 10:49:57 AM
NNDM Nano Dimension Ltd ADS R 6/21/2018 10:55:43 AM
KBLMW KBL Merger Corp. IV WTS R 6/21/2018 11:07:50 AM
GTYHW GTY Technology Hlds Wts R 6/21/2018 11:08:43 AM
CLBS Caladrius Biosciences, Inc. R 6/21/2018 11:10:36 AM
LMFA LM Funding America Cmn Stk R 6/21/2018 11:26:23 AM
NEBUW Nebula Acquisition Corp WTS R 6/21/2018 11:47:53 AM
VSTM Verastem, Inc. Q 6/21/2018 12:02:28 PM
INPX Inpixon Common Stock R 6/21/2018 12:18:08 PM
STMP Stamps.com Inc Q 6/21/2018 12:29:31 PM
VKTX Viking Therapeutics Inc Cmn R 6/21/2018 12:35:19 PM
UMRX Unum Therapeutics Inc. CM Q 6/21/2018 12:38:16 PM
CLRB Cellectar Biosciences Cmn St R 6/21/2018 12:42:22 PM
MMDMW Modern Media Acquisition WRT R 6/21/2018 12:50:11 PM
FUV Arcimoto, Inc. CM R 6/21/2018 12:54:16 PM
ABUS Arbutus Biopharma Cp Cmn Stk Q 6/21/2018 12:57:25 PM
SYRS Syros Pharmaceuticals CM Q 6/21/2018 1:10:01 PM
BLFS BioLife Solutions Inc Cmn Stk R 6/21/2018 1:13:13 PM
CDTI CDTI Advanced Materials R 6/21/2018 1:15:03 PM
SVRA Savara Inc. Common Stock Q 6/21/2018 1:21:39 PM
STAF Staffing 360 Solutions Cmn R 6/21/2018 1:41:06 PM
GEMP Gemphire Therapeutics CM Q 6/21/2018 1:41:10 PM
ACMR ACM Research, Inc. Cl A Cmn Q 6/21/2018 1:57:46 PM
VLRX Valeritas Holdings, Inc. CS R 6/21/2018 2:03:03 PM
AGFSW AgroFresh Solu Warrants Q 6/21/2018 2:20:05 PM
ESTRW Estre Ambiental, Inc. Q 6/21/2018 2:20:42 PM
COCP Cocrystal Pharma, Inc. CM R 6/21/2018 2:24:25 PM
LGCYP Legacy Reserves Cum Pfd Sr A Q 6/21/2018 2:28:24 PM
MBIO Mustang Bio, Inc. CM Q 6/21/2018 2:36:31 PM
DEST Destination Maternity Cp Q 6/21/2018 2:39:59 PM
CFRX Contrafect Corp Common R 6/21/2018 2:42:44 PM
AVDL Avadel Pharmaceuticals plc Q 6/21/2018 2:43:06 PM
IMNP Immune Pharma Cmn Stk R 6/21/2018 2:44:17 PM
SBPH Spring Bank Pharmaceuticals CS R 6/21/2018 2:45:14 PM
ATAI ATA Inc. Q 6/21/2018 2:56:58 PM
VIVE Viveve Medical, Inc. Cm St R 6/21/2018 2:59:21 PM
SGMO Sangamo Therapeutics, Inc. Q 6/21/2018 3:22:05 PM
AGEN Agenus Inc. R 6/21/2018 3:24:20 PM
CMTA Clementia Pharmaceutical Cm St Q 6/21/2018 3:26:31 PM
RXIIW RXi Pharmaceuticals Corp R 6/21/2018 3:31:33 PM
NBRV Nabriva Therapeutics plc Ord Q 6/21/2018 3:33:13 PM
ELGX Endologix, Inc. Q 6/21/2018 3:38:53 PM
BRPAR Big Rock Partners Acq RT R 6/21/2018 3:49:36 PM
ONSIW Oncobiologics, Inc. Ser A Wt R 6/21/2018 3:51:57 PM
RARX Ra Pharmaceuticals CM Q 6/21/2018 3:53:55 PM
SGLB Sigma Labs, Inc. Cm St R 6/21/2018 3:56:51 PM
CHKE Cherokee Inc Q 6/21/2018 3:56:59 PM
KRYS Krystal Biotech, Inc. Cm St R 6/21/2018 3:57:22 PM
ZFGN Zafgen Inc Common Stock Q 6/21/2018 3:57:47 PM
SPRO Spero Therapeutics, Inc. CM Q 6/21/2018 3:59:30 PM
CMSSR CM Seven Star Acquisition RTS R 6/21/2018 3:59:52 PM
DTEA DAVIDsTEA Inc. Cm St Q 6/21/2018 4:00:00 PM
SGLB Sigma Labs, Inc. Cm St R 6/22/2018 9:30:00 AM
GRBK Green Brick Partners, Inc. R 6/22/2018 9:30:00 AM
PTIE Pain Therapeutics Inc Q 6/22/2018 9:30:00 AM
XBIO Xenetic Biosciences Cmn R 6/22/2018 9:30:00 AM
WWR Westwater Resources, Inc. R 6/22/2018 9:30:00 AM
CDNA CareDx, Inc. Cmn Q 6/22/2018 9:30:01 AM
CUR Neuralstem, Inc. R 6/22/2018 9:31:13 AM
BIOL Biolase, Inc. Common Stock R 6/22/2018 9:31:14 AM
NDRA ENDRA Life Sciences Inc. CM R 6/22/2018 9:32:47 AM
PRKR ParkerVision Inc R 6/22/2018 9:34:33 AM
SNES SenesTech, Inc. Common Stk R 6/22/2018 9:35:11 AM
SGH SMART Global Holdings Ord Shr Q 6/22/2018 9:38:43 AM
COCP Cocrystal Pharma, Inc. CM R 6/22/2018 9:38:58 AM
SBOT Stellar Biotech Common Shares R 6/22/2018 9:40:03 AM
XERS Xeris Pharmaceuticals CM Q 6/22/2018 9:41:13 AM
FCSC Fibrocell Science Inc. R 6/22/2018 9:43:05 AM
RTTR Ritter Pharmaceuticals, CM R 6/22/2018 9:44:12 AM
TMSR TMSR Holding Co Ltd Cmn R 6/22/2018 9:44:51 AM
CERCW Cerecor Inc. Cl A Wt R 6/22/2018 9:45:16 AM
IDSY I.D. Systems Inc Q 6/22/2018 9:53:18 AM
INPX Inpixon Common Stock R 6/22/2018 9:54:05 AM
THST Truett Hurst Class A Commmon R 6/22/2018 10:00:18 AM
YTRA Yatra Online, Inc. R 6/22/2018 10:02:15 AM
NAKD Naked Brand Group Limited Ord R 6/22/2018 10:04:29 AM
AVRO AVROBIO, Inc. Cmn Stk Q 6/22/2018 10:05:13 AM
CTIB CTI Industries Corp R 6/22/2018 10:06:29 AM
TNTR Tintri, Inc. CM Q 6/22/2018 10:09:49 AM
OBLN Obalon Therapeutics Cmn Q 6/22/2018 10:10:44 AM
MYNDW MYnd Analytics, Inc. Wt R 6/22/2018 10:21:32 AM
CWBR CohBar, Inc. Cm St R 6/22/2018 10:27:46 AM
FNTEW FinTech Acquisition Cp II Wt R 6/22/2018 10:29:04 AM
RGSE Real Goods Solar, Inc. R 6/22/2018 11:01:08 AM
DMPI DelMar Pharma Common Stock R 6/22/2018 11:06:51 AM
WRLSR Pensare Acquisition Corp Right R 6/22/2018 11:09:10 AM
CCRC China Customer Relations ORDS R 6/22/2018 11:12:16 AM
GEMP Gemphire Therapeutics CM Q 6/22/2018 11:13:40 AM
DCPH Deciphera Pharmaceuticals CM Q 6/22/2018 11:22:53 AM
CELGZ Celgene Cp Cntgnt Value Rts Q 6/22/2018 11:33:40 AM
EACQW Easterly Acquisition Corp. WT R 6/22/2018 11:35:52 AM
JAGX Jaguar Health, Inc. Cmn R 6/22/2018 11:50:39 AM
JSYNR Jensyn Acquistion Corp. RT R 6/22/2018 11:57:16 AM
CYTX Cytori Therapeutics Inc. R 6/22/2018 12:07:20 PM
CRVS Corvus Pharma Cmn Q 6/22/2018 12:10:51 PM
ABIL Ability Inc. R 6/22/2018 12:13:48 PM
CYHHZ Community Health Systems, Inc. Q 6/22/2018 12:45:32 PM
EVOK Evoke Pharma, Inc. Cmn R 6/22/2018 12:54:16 PM
IMRNW Immuron Limited R 6/22/2018 1:22:08 PM
TORC resTORbio, Inc. CM Q 6/22/2018 1:43:14 PM
LIVX LiveXLive Media, Inc. Cm St R 6/22/2018 1:45:05 PM
VIVE Viveve Medical, Inc. Cm St R 6/22/2018 1:55:37 PM
ATRA Atara Biotherapeutics Cmn Q 6/22/2018 2:32:33 PM
BHACR Barington/Hilco Acq Cp Rights R 6/22/2018 2:43:35 PM
FTFT Future FinTech Group Inc. Q 6/22/2018 2:58:07 PM
SHLDW Sears Holdings Corporation Wrt Q 6/22/2018 3:01:46 PM
CBAK CBAK Energy Technology, Inc. Q 6/22/2018 3:04:21 PM
EVOL Evolving Systems Inc R 6/22/2018 3:13:07 PM
BLUE bluebird bio, Inc. Common Stk Q 6/22/2018 3:26:11 PM
AXON Axovant Sciences Ltd Cmn Stk Q 6/22/2018 3:33:39 PM
BHACW Barington/Hilco Acq Cp Wts R 6/22/2018 3:39:49 PM
STLRW Stellar Acquisition III WRT R 6/22/2018 3:47:09 PM
TPIV TapImmune Inc. Cm St R 6/22/2018 3:49:32 PM
NAUH National American Univrsty Hld Q 6/22/2018 4:00:00 PM
VRML Vermillion, Inc. R 6/22/2018 4:00:00 PM
REFR Research Frontiers Inc R 6/22/2018 4:00:00 PM