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, October 19,2018 10/19/2018 4:30:22 PM

Symbol Security Name Market Category Trigger Time
KALU Kaiser Aluminum Corporation Q 10/18/2018 9:30:00 AM
TCBI Texas Capital Bancshares, Inc. Q 10/18/2018 9:30:00 AM
OMED OncoMed Pharmaceuticals, Inc. Q 10/18/2018 9:30:00 AM
DCAR DropCar, Inc. Cmn Stk R 10/18/2018 9:30:00 AM
EARS Auris Medical Holding AG Cmn R 10/18/2018 9:30:00 AM
HMNY Helios and Matheson Analytics R 10/18/2018 9:30:00 AM
OPGN OpGen, Inc. Common Stock R 10/18/2018 9:30:00 AM
IIIN Insteel Industries Inc Q 10/18/2018 9:30:01 AM
ENTX Entera Bio Ltd. Ord Shs R 10/18/2018 9:30:07 AM
MPVD Mountain Province Diamd Cmn Q 10/18/2018 9:30:16 AM
SHLD Sears Holdings Corporation Q 10/18/2018 9:30:16 AM
DMPI DelMar Pharma Common Stock R 10/18/2018 9:31:17 AM
MOSY MoSys, Inc. R 10/18/2018 9:31:52 AM
SLS SELLAS Life Sciences Gp Cmn R 10/18/2018 9:33:03 AM
LMFA LM Funding America Cmn Stk R 10/18/2018 9:34:42 AM
VTVT vTv Therapeutics Inc Cl A Cm Q 10/18/2018 9:35:30 AM
SEII Sharing Economy Int'l R 10/18/2018 9:36:45 AM
RLM Realm Therapeutics plc ADS R 10/18/2018 9:37:46 AM
NFEC NF Energy Saving Corporation R 10/18/2018 9:38:33 AM
APLS Apellis Pharma Inc Cmn Stk Q 10/18/2018 9:38:47 AM
ABUS Arbutus Biopharma Cp Cmn Stk Q 10/18/2018 9:39:07 AM
AGRX Agile Therapeutics, Inc. Cmn Q 10/18/2018 9:42:42 AM
BLNK Blink Charging Co.CS R 10/18/2018 9:44:42 AM
UPL Ultra Petroleum Corp. Cmn Stk Q 10/18/2018 9:44:59 AM
NAUH National American Univrsty Hld Q 10/18/2018 9:51:10 AM
CMCTP CIM Commercial Tr Srs L Pfd Q 10/18/2018 9:53:32 AM
CDTI CDTI Advanced Materials R 10/18/2018 9:54:24 AM
CBAK CBAK Energy Technology, Inc. Q 10/18/2018 9:58:13 AM
FRTA Forterra Inc CM Q 10/18/2018 9:59:46 AM
NXTDW Nxt-ID, Inc. Warrant R 10/18/2018 9:59:51 AM
BOXL Boxlight Corp Class A Cmn R 10/18/2018 10:03:44 AM
PTE PolarityTE, Inc. Cmn Stk R 10/18/2018 10:07:21 AM
BLIN Bridgeline Digital, Inc. R 10/18/2018 10:09:18 AM
SHLDW Sears Holdings Corporation Wrt Q 10/18/2018 10:11:49 AM
XSPA XpresSpa Group, Inc. R 10/18/2018 10:12:19 AM
LENS Presbia PLC Ordinary Shs R 10/18/2018 10:13:22 AM
RMNI Rimini Street, Inc. Q 10/18/2018 10:18:46 AM
FLKS Flex Pharma, Inc. Cmn Q 10/18/2018 10:22:15 AM
AMDA Amedica Corporation R 10/18/2018 10:31:58 AM
UROV Urovant Sciences Ltd. CM Q 10/18/2018 10:36:40 AM
TMSR TMSR Holding Co Ltd Cmn R 10/18/2018 10:38:17 AM
CIFS China Internet Nationwid Or Sh Q 10/18/2018 10:40:33 AM
TKKSW TKK Symphony Acquisition WT R 10/18/2018 10:56:02 AM
ICON Iconix Brand Group, Inc. Q 10/18/2018 10:57:44 AM
YGYI Youngevity International Cm St R 10/18/2018 11:04:11 AM
CADC China Advd Cnstrctn Mtrls Grp R 10/18/2018 11:10:29 AM
CYCCP Cyclacel Pharmaceuticals Prefe R 10/18/2018 11:20:43 AM
AXON Axovant Sciences Ltd Cmn Stk Q 10/18/2018 11:22:12 AM
HEES H&E Equipment Serices Inc Q 10/18/2018 11:28:27 AM
SKYS Sky Solar Holdings ADS R 10/18/2018 11:30:17 AM
YECO Yulong Eco-Materials Ltd Ord R 10/18/2018 11:32:42 AM
CWBR CohBar, Inc. Cm St R 10/18/2018 11:42:04 AM
MBRX Moleculin Biotech, Inc. COM R 10/18/2018 11:42:09 AM
CRIS Curis Inc. Q 10/18/2018 11:43:22 AM
HDSN Hudson Technologies R 10/18/2018 11:44:47 AM
VXRT Vaxart, Inc. R 10/18/2018 11:47:16 AM
APRI Apricus Biosciences, Inc. R 10/18/2018 12:13:32 PM
OXBR Oxbridge Re Hldgs Ord Shares R 10/18/2018 12:20:51 PM
EPIX ESSA Pharma Inc. Common R 10/18/2018 12:27:51 PM
FBIO Fortress Biotech, Inc. R 10/18/2018 12:29:06 PM
MBNAB Mercantil Bank Hldg Cmn B Q 10/18/2018 12:30:38 PM
HAIR Restoration Robotics, Inc. CM Q 10/18/2018 12:34:46 PM
ASCMA Ascent Capital Group A Q 10/18/2018 12:41:01 PM
OXBRW Oxbridge Re Hldgs Ltd Warrants R 10/18/2018 12:43:45 PM
SES Synthesis Energy Sytems Inc R 10/18/2018 12:50:19 PM
AKTS Akoustis Tecnologies Cmn Stk R 10/18/2018 12:52:35 PM
KTOVW Kitov Pharma Ltd. Wts R 10/18/2018 12:55:25 PM
CYTXZ Cytori Therapeutics Srs S Wts R 10/18/2018 12:57:19 PM
PLXP PLx Pharma Inc. R 10/18/2018 1:02:34 PM
MGEN Miragen Therapeutics Inc R 10/18/2018 1:07:01 PM
SHIP Seanergy Maritime Hld Corp R 10/18/2018 1:07:18 PM
VICR Vicor Corp Q 10/18/2018 1:08:34 PM
YNDX Yandex N.V. Q 10/18/2018 1:11:18 PM
ETTX Entasis Therapeutics Hlds Cmn Q 10/18/2018 1:11:37 PM
BLRX BioLineRx Ltd. R 10/18/2018 1:13:04 PM
QRHC Quest Resource Holding Cp Cmn R 10/18/2018 1:14:37 PM
NH NantHealth, Inc. CM ST Q 10/18/2018 1:21:31 PM
PDVW pdvWireless, Inc. Cmn Stk R 10/18/2018 1:26:20 PM
GDS GDS Holdings Limited CM Q 10/18/2018 1:26:21 PM
OBLN Obalon Therapeutics Cmn Q 10/18/2018 1:26:43 PM
VLRX Valeritas Holdings, Inc. CS R 10/18/2018 1:32:10 PM
ANIX Anixa Biosciences, Inc Cm Stk R 10/18/2018 1:41:49 PM
IGLD Internet Gold-Gold Lines Ltd Q 10/18/2018 1:44:14 PM
CONN Conns Inc Q 10/18/2018 1:44:28 PM
CELGZ Celgene Cp Cntgnt Value Rts Q 10/18/2018 1:47:12 PM
MARK Remark Hldgs Inc. Cmn Stk R 10/18/2018 1:51:15 PM
OVID Ovid Therapeutics Inc. CM Q 10/18/2018 2:01:10 PM
AEZS Aeterna Zentaris Inc. R 10/18/2018 2:05:19 PM
RCKT Rocket Pharmaceuticals Cmn Stk Q 10/18/2018 2:20:16 PM
VRML Vermillion, Inc. R 10/18/2018 2:31:17 PM
XOMA XOMA Corporation Q 10/18/2018 2:37:01 PM
TRPX Therapix Biosciences Ltd. ADS R 10/18/2018 2:39:40 PM
OHAI OHA Investment Corp Cmn Stk Q 10/18/2018 2:40:15 PM
DNJR Golden Bull Limited Ord Shs R 10/18/2018 2:58:54 PM
CNAT Conatus Pharmaceuticals Inc Q 10/18/2018 3:01:09 PM
IAMXW I-AM Capital Acquisition Wt R 10/18/2018 3:06:24 PM
REPL Replimune Group, Inc. CM Q 10/18/2018 3:15:13 PM
RWLK ReWalk Robotics Ltd Ord Shares R 10/18/2018 3:27:05 PM
PME Pingtan Marine Enterprise R 10/18/2018 3:32:49 PM
ULH Universal Logistics Hldgs Q 10/18/2018 3:44:36 PM
ESES Eco-Stim Energy Sltns Cmn R 10/18/2018 3:55:50 PM
ADIL Adial Pharmaceuticals, Inc. Cm R 10/18/2018 3:58:28 PM
SECO Secoo Holding Limited ADR Q 10/18/2018 3:59:19 PM
CIDM CINEDIGM CORP Q 10/18/2018 4:00:00 PM
CPSH CPS Technologies Cp Cmn R 10/18/2018 4:00:00 PM
BLRX BioLineRx Ltd. R 10/19/2018 9:30:00 AM
OZK Bank OZK Common Stock Q 10/19/2018 9:30:00 AM
CNXN PC Connection Inc Q 10/19/2018 9:30:00 AM
SREV ServiceSource Intl, Inc. Q 10/19/2018 9:30:00 AM
YECO Yulong Eco-Materials Ltd Ord R 10/19/2018 9:30:00 AM
INAP Internap Corp Cmn Stk Q 10/19/2018 9:30:00 AM
PTVCB Protective Insurance Cl B Q 10/19/2018 9:30:00 AM
IAMXR I-AM Capital Acquisition Co Rt R 10/19/2018 9:30:00 AM
LLNW Limelight Networks, Inc. Q 10/19/2018 9:30:00 AM
YVR Liquid Media Group Cmn R 10/19/2018 9:30:00 AM
PTI Proteostasis Therapeutic Cm Q 10/19/2018 9:30:00 AM
HSGX Histogenics Corp Cmn Stk R 10/19/2018 9:30:00 AM
MACK Merrimack Pharmactl Cmn Q 10/19/2018 9:30:00 AM
AKTS Akoustis Tecnologies Cmn Stk R 10/19/2018 9:30:00 AM
XOG Extraction Oil & Gas CM Q 10/19/2018 9:30:00 AM
AMMA Alliance MMA, Inc. Cmn R 10/19/2018 9:30:00 AM
ATXI Avenue Therapeutics, Inc. CM R 10/19/2018 9:30:03 AM
MBNAB Mercantil Bank Hldg Cmn B Q 10/19/2018 9:30:03 AM
MBNAA Mercantil Bank Hldg Cl A Q 10/19/2018 9:30:09 AM
CCCL China Ceramics Co Cmn Stk R 10/19/2018 9:30:12 AM
OMEX Odyssey Marine Exploriation R 10/19/2018 9:30:37 AM
SRCE 1st Source Corporation Q 10/19/2018 9:31:12 AM
DCPH Deciphera Pharmaceuticals CM Q 10/19/2018 9:32:02 AM
CADC China Advd Cnstrctn Mtrls Grp R 10/19/2018 9:32:37 AM
SNOAW Sonoma Pharma Wts R 10/19/2018 9:34:30 AM
ORPN Bioblast Pharma Ltd. R 10/19/2018 9:35:12 AM
IFMK iFresh Inc. Cm St R 10/19/2018 9:35:31 AM
DNJR Golden Bull Limited Ord Shs R 10/19/2018 9:35:49 AM
AMDA Amedica Corporation R 10/19/2018 9:38:41 AM
JMU JMU Limited ADS Q 10/19/2018 9:40:48 AM
DCAR DropCar, Inc. Cmn Stk R 10/19/2018 9:41:37 AM
HALL Hallmark Financial Services Q 10/19/2018 9:43:00 AM
RIBTW RiceBran Technologies Warrant R 10/19/2018 9:43:50 AM
CYTX Cytori Therapeutics Inc. R 10/19/2018 9:47:05 AM
FLKS Flex Pharma, Inc. Cmn Q 10/19/2018 9:47:22 AM
IMTE Integrated Media Tech ORDS R 10/19/2018 9:49:19 AM
SHLD Sears Holdings Corporation Q 10/19/2018 9:51:52 AM
NAUH National American Univrsty Hld Q 10/19/2018 9:53:19 AM
IAMXW I-AM Capital Acquisition Wt R 10/19/2018 9:55:43 AM
SAMG Silvercrest Asset Mgt Cl A Cmn Q 10/19/2018 9:55:53 AM
WRLSR Pensare Acquisition Corp Right R 10/19/2018 9:56:00 AM
CLRBZ Cellectar Biosciences Sr A WT R 10/19/2018 9:57:56 AM
CIFS China Internet Nationwid Or Sh Q 10/19/2018 9:59:29 AM
SBOT Stellar Biotech Common Shares R 10/19/2018 9:59:49 AM
KTOV Kitov Pharma Ltd. ADS R 10/19/2018 10:01:41 AM
DSKEW Daseke, Inc. Warrant R 10/19/2018 10:02:51 AM
CELC Celcuity Inc. Cm St R 10/19/2018 10:03:51 AM
SRTS Sensus Healthcare, Inc. CS R 10/19/2018 10:08:20 AM
NUVA NuVasive Inc Q 10/19/2018 10:11:35 AM
LMFAW LM Funding America WT R 10/19/2018 10:19:55 AM
SRTSW Sensus Healthcare WT R 10/19/2018 10:26:15 AM
IDRA Idera Pharma Cmn Stk R 10/19/2018 10:26:32 AM
FLMNW Falcon Minerals Cp Wt R 10/19/2018 10:30:15 AM
OHRP Ohr Pharmaceutical Inc Cmn Stk R 10/19/2018 10:30:50 AM
EYPT EyePoint Pharma Inc Q 10/19/2018 10:35:49 AM
YNDX Yandex N.V. Q 10/19/2018 10:36:25 AM
SHLDW Sears Holdings Corporation Wrt Q 10/19/2018 10:39:44 AM
ATIS Attis Industries Inc. Cmn Stk R 10/19/2018 10:41:22 AM
SNES SenesTech, Inc. Common Stk R 10/19/2018 10:45:22 AM
CYRXW CryoPort, Inc. Warrants R 10/19/2018 11:22:33 AM
NXTD Nxt-ID, Inc. Common Stock R 10/19/2018 11:24:37 AM
LENS Presbia PLC Ordinary Shs R 10/19/2018 11:26:29 AM
CRBP Corbus Pharma Hlds Cmn Q 10/19/2018 11:32:50 AM
SLS SELLAS Life Sciences Gp Cmn R 10/19/2018 11:36:30 AM
ATAI ATA Inc. Q 10/19/2018 11:36:36 AM
MOXC Moxian, Inc. Cmn Stk R 10/19/2018 11:43:25 AM
NXTDW Nxt-ID, Inc. Warrant R 10/19/2018 11:55:32 AM
EYEG Eyegate Pharmaceuticals Cm R 10/19/2018 11:59:16 AM
MNLO Menlo Therapeutics Inc Cmn Stk Q 10/19/2018 12:13:28 PM
TTOO T2 Biosystems, Inc. CS Q 10/19/2018 12:18:35 PM
TEAM Atlassian Crp Class A Ord Shrs Q 10/19/2018 12:18:41 PM
DOCU DocuSign, Inc. Common Stock Q 10/19/2018 12:23:30 PM
YI 111, Inc. American Dep Shs Q 10/19/2018 12:38:15 PM
ECOR electroCore, Inc. Common Stk Q 10/19/2018 12:38:50 PM
NBEV New Age Beverages Cmn R 10/19/2018 12:39:16 PM
EBAY eBay Inc. Q 10/19/2018 12:40:35 PM
ARAV Aravive, Inc. Cmn Stk Q 10/19/2018 12:40:56 PM
CELGZ Celgene Cp Cntgnt Value Rts Q 10/19/2018 12:48:22 PM
ARPO Aerpio Pharmaceuticals Cmn Stk R 10/19/2018 12:55:05 PM
HLG Hailiang Education Group ADS Q 10/19/2018 1:05:19 PM
PEIX PACIFIC ETHANOL INC R 10/19/2018 1:11:11 PM
CLVS Clovis Oncology, Inc. Q 10/19/2018 1:16:51 PM
GLBS Globus Maritime Limited R 10/19/2018 1:19:59 PM
SELB Selecta Biosciences Common S Q 10/19/2018 1:41:45 PM
TBIO Translate Bio, Inc. Cmn Stk Q 10/19/2018 1:46:32 PM
CUR Neuralstem, Inc. R 10/19/2018 1:53:31 PM
LPTX Leap Therapeutics Inc Cmn Stk Q 10/19/2018 2:02:03 PM
BVXVW BiondVax Pharmaceuticals Wts R 10/19/2018 2:04:46 PM
SCPH scPharmaceuticals Inc. Cmn Stk Q 10/19/2018 2:18:20 PM
ACRX AcelRx Pharmaceuticals, Inc. Q 10/19/2018 2:18:58 PM
PLSE Pulse Biosciences, Inc CS R 10/19/2018 2:21:58 PM
AHPAW Avista Healthcare Pub Acq Wrnt R 10/19/2018 2:22:55 PM
MYND MYnd Analytics, Inc. Cm St R 10/19/2018 2:23:53 PM
FRAN Francescas Holdings Corp Q 10/19/2018 2:35:31 PM
CLDC China Lending Corp Ord Shs R 10/19/2018 2:38:20 PM
VBIV VBI Vaccines, Inc. Cm Stk R 10/19/2018 2:45:50 PM
TZACW Tenzing Acquisition Corp. Wts R 10/19/2018 2:59:05 PM
BRPAW Big Rock Partners Acq WT R 10/19/2018 3:10:42 PM
AQB AquaBounty Technologies CS R 10/19/2018 3:18:46 PM
AMD Advanced Micro Devices Cmn Stk Q 10/19/2018 3:26:50 PM
EVOL Evolving Systems Inc R 10/19/2018 3:29:21 PM
GH Guardant Health, Inc. CS Q 10/19/2018 3:32:42 PM
DRNA Dicerna Pharmaceuticals Inc Q 10/19/2018 3:34:08 PM
CRON Cronos Group Inc.CS Q 10/19/2018 3:39:44 PM
VTNR Vertex Energy, Inc Cmn Stk R 10/19/2018 3:41:26 PM
ACST Acasti Pharma, Inc. Cl A Cmn R 10/19/2018 3:47:33 PM