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, December 6,2019 12/6/2019 4:30:01 PM

Symbol Security Name Market Category Trigger Time
KOD Kodiak Sciences Inc CS Q 12/5/2019 9:30:00 AM
OMER Omeros Corporation Q 12/5/2019 9:30:00 AM
CAPR Capricor Therapeutics, Inc. R 12/5/2019 9:30:00 AM
SAGE Sage Therapeutics Common Q 12/5/2019 9:30:00 AM
SONGW Akazoo S.A. WTS R 12/5/2019 9:30:00 AM
CETXW Cemtrex Inc. WTS R 12/5/2019 9:30:00 AM
KLXE KLX Energy Servcs Hldgs Cmn Q 12/5/2019 9:30:00 AM
AKER Akers Biosciences Inc. R 12/5/2019 9:30:00 AM
CLRBZ Cellectar Biosciences Sr A WT R 12/5/2019 9:30:00 AM
OTLKW Outlook Therapeutics Ser A Wt R 12/5/2019 9:30:00 AM
PT Pintec Technology Hldg Ltd ADS Q 12/5/2019 9:30:00 AM
MLND Millendo Thera Cmn stk R 12/5/2019 9:30:00 AM
MIK The Michaels Companies Cmn Q 12/5/2019 9:30:00 AM
SNSS Sunesis Pharmaceuticals Inc R 12/5/2019 9:30:00 AM
AXSM Axsome Therapeutics, Inc. CS Q 12/5/2019 9:30:01 AM
ONTXW Onconova Therapeutics, Inc. WT R 12/5/2019 9:30:54 AM
DLPN Dolphin Entertainment, CS R 12/5/2019 9:31:02 AM
ONTX Onconova Therapeutics Inc R 12/5/2019 9:31:15 AM
SCON SUPERCONDUCTOR TECH R 12/5/2019 9:32:11 AM
DLPNW Dolphin Entertainment, WTS R 12/5/2019 9:32:37 AM
SHIPW Seanergy Maritime Holdings Cor R 12/5/2019 9:33:05 AM
KIRK KIRKLANDSINC Q 12/5/2019 9:33:16 AM
SNDE Sundance Energy Inc. Cmn Stk Q 12/5/2019 9:34:17 AM
XENE Xenon Pharmaceuticals Cm Sh Q 12/5/2019 9:34:23 AM
AFH Atlas Financial Holdings, Inc. R 12/5/2019 9:34:32 AM
OCGN Ocugen, Inc. Common Stock R 12/5/2019 9:35:38 AM
LLIT Lianluo Smart Limited R 12/5/2019 9:35:42 AM
BLRX BioLineRx Ltd. ADS R 12/5/2019 9:36:42 AM
OTLK Outlook Therapeutics Cm St R 12/5/2019 9:36:59 AM
CLVS Clovis Oncology, Inc. Q 12/5/2019 9:38:45 AM
SNOAW Sonoma Pharma Wts R 12/5/2019 9:38:58 AM
JNCE Jounce Therapeutics, Inc. CM Q 12/5/2019 9:40:05 AM
PTGX Protagonist Therapeutics CM Q 12/5/2019 9:40:08 AM
YAYO YayYo, Inc. Common Stock R 12/5/2019 9:40:10 AM
SAMAW Schultze Special Prps Acq Wt R 12/5/2019 9:41:20 AM
CBLI Cleveland BioLabs Inc R 12/5/2019 9:42:04 AM
BIOC Biocept Inc. R 12/5/2019 9:42:47 AM
KERN Akerna Cp Common Stock R 12/5/2019 9:44:01 AM
KERNW Akerna Corp WT R 12/5/2019 9:44:07 AM
MTFBW Motif Bio plc Wts ADRs R 12/5/2019 9:44:08 AM
ASLN ASLAN Pharmaceuticals ADS Q 12/5/2019 9:44:25 AM
SRRA Sierra Oncology, Inc. Cmn Q 12/5/2019 9:49:15 AM
PNRL Paringa Resources LTD ADS R 12/5/2019 9:49:36 AM
WTRH Waitr Holdings Inc. Cmn Stk Q 12/5/2019 9:50:30 AM
BELFA Bel Fuse Inc Cl A Q 12/5/2019 9:50:42 AM
ALLK Allakos Inc. Q 12/5/2019 9:51:38 AM
EPIX ESSA Pharma Inc. Common R 12/5/2019 9:51:39 AM
WHLM Wilhelmina Intl Cmn Stk R 12/5/2019 9:53:37 AM
APLS Apellis Pharma Inc Cmn Stk Q 12/5/2019 9:54:08 AM
MGEN Miragen Therapeutics Inc R 12/5/2019 9:54:27 AM
MTP Midatech Pharma PLC ADS R 12/5/2019 9:57:33 AM
DHXM DHX Media Ltd. Q 12/5/2019 9:58:57 AM
ALGRW Allegro Merger Corp. Wt R 12/5/2019 10:02:33 AM
RLMD Relmada Therapeutics, Inc.CS R 12/5/2019 10:02:45 AM
TBLT ToughBuilt Ind Common Stock R 12/5/2019 10:06:20 AM
MTFB Motif Bio plc ADR R 12/5/2019 10:07:35 AM
NVIV InVivo Theraptcs Hldg Cmn R 12/5/2019 10:08:31 AM
CGIX Cancer Genetics, Inc. R 12/5/2019 10:09:35 AM
EDNT Edison Nation, Inc. Cm St R 12/5/2019 10:09:43 AM
NMRD Nemaura Medical Inc. Cmn Stk R 12/5/2019 10:11:53 AM
APLT Applied Therapeutics, Inc. Cmn Q 12/5/2019 10:17:50 AM
ABIL Ability Inc. R 12/5/2019 10:21:32 AM
ONCY Oncolytics Biotech Inc. Cmn R 12/5/2019 10:23:12 AM
TOTAR Tottenham Acquisition I Ltd RT R 12/5/2019 10:23:44 AM
HCCHR HL Acquisitions Corp. Right R 12/5/2019 10:24:18 AM
HCCHW HL Acquisitions Corp. WT R 12/5/2019 10:25:09 AM
OBSV ObsEva SA Ordinary Shrs Q 12/5/2019 10:30:48 AM
TTNP Titan Pharma Common Stock R 12/5/2019 10:32:46 AM
KTOVW Kitov Pharma Ltd. Wts R 12/5/2019 10:34:04 AM
APVO Aptevo Therapeutics CS R 12/5/2019 10:34:33 AM
JASN Jason Industries, Inc Cmn Stk R 12/5/2019 10:41:47 AM
CLRO CLEARONE INC. R 12/5/2019 10:46:42 AM
IEAWW Infrastructure & Enrgy Alt Wt R 12/5/2019 10:52:44 AM
TYHT Shineco Inc Common Stock R 12/5/2019 10:58:06 AM
ALNA Allena Pharmaceuticals, Inc CM Q 12/5/2019 11:01:55 AM
NEWA Newater Technology, Inc. Cm St R 12/5/2019 11:11:04 AM
PIRS Pieris Pharma Cmn Stk R 12/5/2019 11:18:03 AM
PBYI Puma Biotechnology Cmn Q 12/5/2019 11:22:06 AM
BRP BRP Group, Inc. Cl A Cmn Q 12/5/2019 11:25:36 AM
ALT Altimmune, Inc. Q 12/5/2019 11:26:16 AM
AGFSW AgroFresh Solu Warrants Q 12/5/2019 11:35:48 AM
ADAP Adaptimmune Theraptcs plc ADS Q 12/5/2019 11:37:39 AM
JFKKW 8i Enterprises Acquisition WT R 12/5/2019 11:37:42 AM
MJCO Majesco Common Stock Q 12/5/2019 11:41:11 AM
CTIB CTI Industries Corp R 12/5/2019 11:57:52 AM
CFMS Conformis, Inc. CS Q 12/5/2019 12:01:00 PM
SRNE Sorrento Therapeutics Cmn R 12/5/2019 12:08:35 PM
SPCB SuperCom, Ltd. R 12/5/2019 12:12:10 PM
ALACW Alberton Acquisition Corp WT R 12/5/2019 12:26:09 PM
RWLK ReWalk Robotics Ltd. Ltd. R 12/5/2019 12:47:23 PM
GRTX Galera Therapeutics, Inc Cm St Q 12/5/2019 12:48:38 PM
ENDP Endo International plc Q 12/5/2019 12:56:12 PM
MTEM Molecular Templates, Inc. R 12/5/2019 12:58:54 PM
BROGW Twelve Seas Investment WT R 12/5/2019 12:59:57 PM
QK Q&K International Group ADS Q 12/5/2019 1:00:29 PM
CNTG Centogene N.V. Cmn Shs Q 12/5/2019 1:02:13 PM
DISHR DISH Network Corp Right Q 12/5/2019 1:02:38 PM
TELA TELA Bio, Inc. Common Stock Q 12/5/2019 1:11:23 PM
HYRE HyreCar Inc. Cm St R 12/5/2019 1:26:28 PM
AQMS Aqua Metals, Inc. Cm St R 12/5/2019 1:27:32 PM
LJPC La Jolla Pharmctl Co Common R 12/5/2019 1:47:34 PM
CUE Cue Biopharma, Inc. CM R 12/5/2019 2:06:26 PM
OVID Ovid Therapeutics Inc. CM Q 12/5/2019 2:07:25 PM
NTGN Neon Therapeutics, Inc. Cmn Q 12/5/2019 2:13:39 PM
TMDI Titan Medical Inc. Ord Shs R 12/5/2019 2:15:34 PM
CTRC Centric Brands Inc. R 12/5/2019 2:41:49 PM
STRO Sutro Biopharma, Inc. Cmn Stk Q 12/5/2019 2:44:04 PM
DMPI DelMar Pharmaceuticals R 12/5/2019 2:44:24 PM
DRIOW DarioHealth Corp. Wts R 12/5/2019 2:44:27 PM
NDRA ENDRA Life Sciences Inc. CM R 12/5/2019 2:46:23 PM
AVXL Anavex Life Sciences Cmn R 12/5/2019 2:48:43 PM
BROGR Twelve Seas Investment RT R 12/5/2019 2:57:30 PM
SNDL Sundial Growers Inc. Cm Sh Q 12/5/2019 3:00:27 PM
WHLR Wheeler Real Estate Investment R 12/5/2019 3:08:59 PM
CETX Cemtrex Inc. R 12/5/2019 3:15:44 PM
PTE PolarityTE, Inc. Cmn Stk R 12/5/2019 3:18:55 PM
SUNW Sunworks, Inc. COM R 12/5/2019 3:21:59 PM
PHUNW Phunware, Inc. Warrants R 12/5/2019 3:25:48 PM
XCUR Exicure, Inc. Common Stock R 12/5/2019 3:37:19 PM
SBPH Spring Bank Pharmaceuticals CS R 12/5/2019 3:39:56 PM
SITO SITO Mobile, Ltd. Cmn Stk R 12/5/2019 3:43:46 PM
KLDO Kaleido Biosciences, Inc. Cmn Q 12/5/2019 3:46:09 PM
HHHHW Wealthbridge Acquisitn Ltd Wts R 12/5/2019 3:53:49 PM
NHLDW National Holdings Corp Wts R 12/5/2019 3:54:04 PM
XAIR Beyond Air, Inc. R 12/5/2019 3:55:17 PM
CABA Cabaletta Bio, Inc. Cmn Stk Q 12/5/2019 3:59:44 PM
CORV Correvio Pharma Corp. R 12/6/2019 9:30:00 AM
TRNX Taronis Technologies Cmn Stk R 12/6/2019 9:30:00 AM
SONGW Akazoo S.A. WTS R 12/6/2019 9:30:00 AM
ICON Iconix Brand Group, Inc. Q 12/6/2019 9:30:00 AM
DISHR DISH Network Corp Right Q 12/6/2019 9:30:00 AM
SNSS Sunesis Pharmaceuticals Inc R 12/6/2019 9:30:00 AM
PIXY ShiftPixy, Inc. CS R 12/6/2019 9:30:00 AM
MTFBW Motif Bio plc Wts ADRs R 12/6/2019 9:30:00 AM
IMAC IMAC Holdings, Inc. Cmn Stk R 12/6/2019 9:30:00 AM
TYHT Shineco Inc Common Stock R 12/6/2019 9:30:00 AM
HOFT Hooker Furniture Corp Q 12/6/2019 9:30:02 AM
FRSX Foresight Autonomous Holdings R 12/6/2019 9:30:02 AM
ONTXW Onconova Therapeutics, Inc. WT R 12/6/2019 9:30:03 AM
JASN Jason Industries, Inc Cmn Stk R 12/6/2019 9:30:14 AM
NTRP Neurotrope, Inc. Cmn Stk R 12/6/2019 9:30:18 AM
CHFS CHF Solutions, Inc. R 12/6/2019 9:31:14 AM
ICPT Intercept Pharmaceuticals Inc Q 12/6/2019 9:31:59 AM
ZN Zion Oil & Gas Common Stock R 12/6/2019 9:32:13 AM
BKYI BIO-key International Cm St R 12/6/2019 9:34:24 AM
SFET Safe-T Group Ltd ADS R 12/6/2019 9:35:15 AM
ECOR electroCore, Inc. Common Stk Q 12/6/2019 9:36:44 AM
DRIO DarioHealth Corp. R 12/6/2019 9:37:25 AM
ZM Zoom Video Communications Cl A Q 12/6/2019 9:37:58 AM
AKER Akers Biosciences Inc. R 12/6/2019 9:38:37 AM
BHAT Blue Hat Interactive Enter ORD R 12/6/2019 9:41:57 AM
DLPN Dolphin Entertainment, CS R 12/6/2019 9:45:39 AM
RTTR Ritter Pharmaceuticals, CM R 12/6/2019 9:50:15 AM
ALJJ ALJ Regional Holdings, Inc. CM Q 12/6/2019 9:53:10 AM
CAPR Capricor Therapeutics, Inc. R 12/6/2019 9:59:50 AM
DFFN Diffusion Pharmaceuticals Inc. R 12/6/2019 10:08:30 AM
EVSIW Envision Solar Int WTS R 12/6/2019 10:12:39 AM
CRIS Curis Inc. Q 12/6/2019 10:17:46 AM
GLMD Galmed Pharmaceuticals Ltd R 12/6/2019 10:19:44 AM
PHIOW Phio Pharmaceuticals Corp. R 12/6/2019 10:24:37 AM
YVR Liquid Media Group Cmn R 12/6/2019 10:29:43 AM
CABA Cabaletta Bio, Inc. Cmn Stk Q 12/6/2019 10:36:10 AM
ASLN ASLAN Pharmaceuticals ADS Q 12/6/2019 10:37:19 AM
AXLA Axcella Health Inc.CS Q 12/6/2019 10:38:04 AM
OTLKW Outlook Therapeutics Ser A Wt R 12/6/2019 10:41:38 AM
IEAWW Infrastructure & Enrgy Alt Wt R 12/6/2019 10:42:42 AM
GEMP Gemphire Therapeutics CM R 12/6/2019 10:51:13 AM
USWSW U.S. Well Services, Inc. Wts R 12/6/2019 10:53:23 AM
AQMS Aqua Metals, Inc. Cm St R 12/6/2019 11:01:06 AM
ROSEW Rosehill Resources Inc. Wts R 12/6/2019 11:06:14 AM
ELOX Eloxx Pharma Cmn Stk Q 12/6/2019 11:12:40 AM
CAAS China Automotive Systems, Inc. R 12/6/2019 11:13:09 AM
NDRAW ENDRA Life Sciences Inc. WT R 12/6/2019 11:19:34 AM
THCAW Tuscan Holdings Corp. II Wt R 12/6/2019 11:19:40 AM
OYST Oyster Point Pharma, Inc. Q 12/6/2019 11:26:26 AM
GNMX Aevi Genomic Medicine Cmn R 12/6/2019 11:26:41 AM
DLPNW Dolphin Entertainment, WTS R 12/6/2019 11:30:22 AM
GRNQ Greenpro Capital Corp. Cmn Stk R 12/6/2019 11:35:33 AM
PTI Proteostasis Therapeutic Cm Q 12/6/2019 11:35:45 AM
SNDL Sundial Growers Inc. Cm Sh Q 12/6/2019 11:42:51 AM
CRTX Cortexyme, Inc. Common Stock Q 12/6/2019 11:50:19 AM
HSDT Helius Medical Tech Cl A Cmn R 12/6/2019 12:14:08 PM
ARAV Aravive, Inc. Cmn Stk Q 12/6/2019 12:14:55 PM
APLT Applied Therapeutics, Inc. Cmn Q 12/6/2019 12:17:26 PM
SSPKW Silver Spike Acquisition Wts R 12/6/2019 12:24:07 PM
DRIOW DarioHealth Corp. Wts R 12/6/2019 12:26:23 PM
BROGW Twelve Seas Investment WT R 12/6/2019 12:26:25 PM
GRSHW Gores Holdings III, Inc. Wts R 12/6/2019 12:31:06 PM
GNLN Greenlane Holdings Cmn Cl A Q 12/6/2019 12:33:07 PM
ANTE AirNet Technology Inc. R 12/6/2019 12:51:42 PM
KLDO Kaleido Biosciences, Inc. Cmn Q 12/6/2019 12:53:06 PM
CHEKW Check-Cap Ltd. Srs A Wt R 12/6/2019 12:59:03 PM
BLNKW Blink Charging Co. Wt R 12/6/2019 1:04:27 PM
ODT Odonate Therapeutics Inc Cmn Q 12/6/2019 1:06:21 PM
ENTXW Entera Bio Ltd.WT R 12/6/2019 1:09:17 PM
ENTX Entera Bio Ltd. Ord Shs R 12/6/2019 1:13:09 PM
ALYA Alithya Group inc. A Sub Vt Sh R 12/6/2019 1:20:44 PM
DRADP Digirad Srs A Cum Perp Pref St Q 12/6/2019 1:42:50 PM
HOOK HOOKIPA Pharma Inc. Common Stk Q 12/6/2019 1:46:00 PM
RMBL RumbleOn, Inc. Class B Cmn Stk R 12/6/2019 1:51:28 PM
TBLTW ToughBuilt Ind Warrant R 12/6/2019 2:04:26 PM
SYPR Sypris Solutions Inc Q 12/6/2019 2:04:35 PM
NESRW National Energy SV Reunited WT R 12/6/2019 2:13:02 PM
KPTI Karyopharm Therapeutics Inc. Q 12/6/2019 2:16:51 PM
MDJH MDJM LTD ORD R 12/6/2019 2:20:50 PM
ABEOW Abeona Therapeutics Wts R 12/6/2019 2:24:34 PM
DDMXW DD3 Acquisition Corp Warrants R 12/6/2019 2:27:52 PM
EVK Ever-Glory IntLGrp Cmn Stk Q 12/6/2019 2:32:39 PM
ITRM Iterum Therapeutics plc ORD Q 12/6/2019 2:40:52 PM
MARA Marathon Patent Grp Inc R 12/6/2019 2:44:03 PM
PHAT Phathom Pharmaceuticals, Cmn Q 12/6/2019 2:44:21 PM
LACQW Leisure Acquisition Corp. Wt R 12/6/2019 2:54:12 PM
CMBM Cambium Networks Corp Ord Shs Q 12/6/2019 3:11:20 PM
OTLK Outlook Therapeutics Cm St R 12/6/2019 3:29:17 PM
AEMD Aethlon Medical, Inc. R 12/6/2019 3:32:59 PM
CUI CUI Global, Inc. Common Stock R 12/6/2019 3:38:03 PM
TKKSU TKK Symphony Acquisition UT R 12/6/2019 3:40:17 PM
KGJI Kingold Jewelry Inc. Cmn R 12/6/2019 3:59:20 PM