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, August 16,2019 8/16/2019 4:30:27 PM

Symbol Security Name Market Category Trigger Time
APDNW Applied DNA Scien Warrant R 8/15/2019 9:30:00 AM
LMB Limbach Holdings, Inc.CS R 8/15/2019 9:30:00 AM
JASN Jason Industries, Inc Cmn Stk R 8/15/2019 9:30:00 AM
VERB Verb Technology Company Cmn R 8/15/2019 9:30:00 AM
DGLY Digital Ally, Inc. Cmn R 8/15/2019 9:30:00 AM
AMRWW Alta Mesa Resources, Inc. Wts R 8/15/2019 9:30:00 AM
BURG Chanticleer Holdings, Inc. Cmn R 8/15/2019 9:30:00 AM
TTNP Titan Pharma Common Stock R 8/15/2019 9:30:00 AM
TBLT ToughBuilt Ind Common Stock R 8/15/2019 9:30:00 AM
CYCC Cyclacel Pharmaceuticals, Inc. R 8/15/2019 9:30:00 AM
AKTX Akari Therapeutics Plc ADR R 8/15/2019 9:30:00 AM
NAKD Naked Brand Group Limited Ord R 8/15/2019 9:30:00 AM
ADOM ADOMANI, Inc. CM R 8/15/2019 9:30:00 AM
SMRT Stein Mart Inc Q 8/15/2019 9:30:04 AM
IEAWW Infrastructure & Enrgy Alt Wt R 8/15/2019 9:30:13 AM
GENE Genetic Technologies Ltd ADS R 8/15/2019 9:30:31 AM
YRIV Yangtze Riv Pt & Log Ltd Q 8/15/2019 9:30:32 AM
NVFY Nova Lifestyle, Inc. Cmn Stk R 8/15/2019 9:30:43 AM
CTSO Cytosorbents Corp Cmn Stk R 8/15/2019 9:33:08 AM
STAF Staffing 360 Solutions Cmn R 8/15/2019 9:33:27 AM
TOPS TOP Ships Inc R 8/15/2019 9:33:44 AM
YI 111, Inc. American Dep Shs Q 8/15/2019 9:33:49 AM
IPWR Ideal Power Inc. R 8/15/2019 9:33:53 AM
VERBW Verb Technology Company WTS R 8/15/2019 9:34:03 AM
PLIN China Xiangtai Food Co., Ltd. R 8/15/2019 9:34:07 AM
PNTR Pointer Telocation Ltd R 8/15/2019 9:35:51 AM
DNJR Golden Bull Limited Ord Shs R 8/15/2019 9:36:59 AM
JAGX Jaguar Health, Inc. Cmn R 8/15/2019 9:36:59 AM
HAIR Restoration Robotics, Inc. CM Q 8/15/2019 9:38:42 AM
AEYE AudioEye, Inc. CM ST R 8/15/2019 9:41:00 AM
TWMC Trans World Entertainment Cm R 8/15/2019 9:41:20 AM
HROW Harrow Health, Inc. Cmn Stk R 8/15/2019 9:41:21 AM
ALEC Alector, Inc. Common Stock Q 8/15/2019 9:42:48 AM
ZSAN Zosano Pharma Corporation Cmn R 8/15/2019 9:43:50 AM
PECK The Peck Co Hldgs Cmn R 8/15/2019 9:43:51 AM
ADIL Adial Pharmaceuticals, Inc. Cm R 8/15/2019 9:44:13 AM
EPIX ESSA Pharma Inc. Common R 8/15/2019 9:44:57 AM
CHEKZ Check-Cap Ltd. Sr C Wt R 8/15/2019 9:45:00 AM
BNGO Bionano Genomics, Inc. Cm St R 8/15/2019 9:45:16 AM
NXTDW Nxt-ID, Inc. Warrant R 8/15/2019 9:45:27 AM
NSYS Nortech Systems Inc R 8/15/2019 9:48:20 AM
IEA Infrastructure & Enrgy Alt Cm R 8/15/2019 9:49:18 AM
HDSN Hudson Technologies R 8/15/2019 9:52:56 AM
SOLOW Electrameccanica Vehicles Wts R 8/15/2019 9:53:47 AM
HGSH China HGS Real Estate Cmn Stk R 8/15/2019 9:54:31 AM
CMBM Cambium Networks Corp Ord Shs Q 8/15/2019 9:57:02 AM
AEMD Aethlon Medical Common R 8/15/2019 9:58:23 AM
HOLI Hollysys Automation Tech, Ltd Q 8/15/2019 9:58:33 AM
YVR Liquid Media Group Cmn R 8/15/2019 9:58:41 AM
AREC American Resources Cp Cm A R 8/15/2019 10:01:26 AM
AREX Approach Resources Inc. Q 8/15/2019 10:02:34 AM
SCOR comScore, Inc. Common Stock Q 8/15/2019 10:03:53 AM
CNAT Conatus Pharmaceuticals Inc Q 8/15/2019 10:04:53 AM
INPX Inpixon Common Stock R 8/15/2019 10:05:49 AM
PSTI Pluristem Therapeutics Inc. R 8/15/2019 10:08:03 AM
FVE Five Star Senior Living Inc Cm R 8/15/2019 10:13:10 AM
ACTTW Act II Global Acquisition Wt R 8/15/2019 10:15:41 AM
FTEO FRONTEO, Inc. ADS Q 8/15/2019 10:17:38 AM
AKRX Akorn Inc Q 8/15/2019 10:18:03 AM
EDTXW EdtechX Holdings Acq Wt R 8/15/2019 10:25:31 AM
USEG U S Energy Corp R 8/15/2019 10:27:39 AM
OTLKW Outlook Therapeutics Ser A Wt R 8/15/2019 10:38:11 AM
REXN Rexahn Pharmaceuticals Cmn R 8/15/2019 10:46:25 AM
BYND Beyond Meat, Inc. Cmn Stk Q 8/15/2019 10:48:00 AM
PMTS CPI Card Group Inc. R 8/15/2019 10:49:21 AM
MIND Mitcham Industries Q 8/15/2019 10:49:46 AM
AXAS Abraxas Petroleum Corporation R 8/15/2019 10:56:57 AM
HEBT Hebron Technology Co Cl A Cmn R 8/15/2019 11:02:30 AM
PHUN Phunware, Inc. Common Stock R 8/15/2019 11:06:12 AM
CHEKW Check-Cap Ltd. Srs A Wt R 8/15/2019 11:10:49 AM
YRCW YRC Worldwide Inc Q 8/15/2019 11:15:54 AM
NTEC Intec Pharma Ltd Ord Shrs R 8/15/2019 11:16:06 AM
NVLN Novelion Therapeutics Inc Q 8/15/2019 11:20:02 AM
NCSM NCS Multistage Holdings CM Q 8/15/2019 11:20:07 AM
TLRY Tilray, Inc. Class 2 Q 8/15/2019 11:20:09 AM
CREG China Recycling Energy Corp R 8/15/2019 11:20:58 AM
RETO ReTo Eco-Solutions, Inc. Cm St R 8/15/2019 11:21:51 AM
AGTC Applied Genetic Technologies C Q 8/15/2019 11:22:08 AM
SCON SUPERCONDUCTOR TECH R 8/15/2019 11:25:24 AM
ANY Sphere 3D Corp. R 8/15/2019 11:31:02 AM
SNDL Sundial Growers Inc. Cm Sh Q 8/15/2019 11:37:04 AM
FRSX Foresight Autonomous Holdings R 8/15/2019 11:37:57 AM
MYGN Myriad Genetics, Inc. Q 8/15/2019 11:38:21 AM
WWR Westwater Resources, Inc. R 8/15/2019 11:38:45 AM
BHAT Blue Hat Interactive Enter ORD R 8/15/2019 11:42:43 AM
DDMXW DD3 Acquisition Corp Warrants R 8/15/2019 11:46:47 AM
JFKKR 8i Enterprises Acquisition RT R 8/15/2019 11:47:41 AM
CUR Neuralstem, Inc. Common Stock R 8/15/2019 11:50:35 AM
AIRTW Air T Inc Warrants Q 8/15/2019 11:59:44 AM
RIBT RiceBran Technologies Cmn Stk R 8/15/2019 12:00:35 PM
GVP GSE Systems, Inc. Common Stk R 8/15/2019 12:11:13 PM
AXSM Axsome Therapeutics, Inc. CS Q 8/15/2019 12:13:23 PM
SALM Salem Media Group, Inc. Cl A Q 8/15/2019 12:13:48 PM
DSKE Daseke, Inc. Common Stock R 8/15/2019 12:13:59 PM
PLXP PLx Pharma Inc. R 8/15/2019 12:14:50 PM
SXTC China SXT Pharmaceuticals Ords R 8/15/2019 12:17:04 PM
LPTH LightPath Technologies Cl A R 8/15/2019 12:21:52 PM
XBIO Xenetic Biosciences Cmn R 8/15/2019 12:24:02 PM
PRPL Purple Innovation, Inc. R 8/15/2019 12:28:06 PM
AMAG AMAG Pharmaceuticals, Inc. Q 8/15/2019 12:29:53 PM
USWSW U.S. Well Services, Inc. Wts R 8/15/2019 12:33:34 PM
IZEA IZEA Worldwide, Inc. Cmn Stk R 8/15/2019 12:43:46 PM
SAUC Diversified Restaurant Hldgs R 8/15/2019 12:45:48 PM
CATS Catasys, Inc. Common Stock R 8/15/2019 12:50:31 PM
GSUM Gridsum Holding Inc. ADS Q 8/15/2019 12:55:30 PM
CPAH CounterPath Corporation R 8/15/2019 12:56:57 PM
HHHHW Wealthbridge Acquisitn Ltd Wts R 8/15/2019 12:58:17 PM
NDRAW ENDRA Life Sciences Inc. WT R 8/15/2019 1:01:11 PM
APEX Apex Global Brands Inc. R 8/15/2019 1:02:07 PM
BHTG BioHiTech Global, Inc. CS R 8/15/2019 1:05:57 PM
AESEW Allied Esports Warrant R 8/15/2019 1:07:10 PM
ROSE Rosehill Resources Inc Cl A Cm R 8/15/2019 1:08:30 PM
HTGM HTG Molecular Diagnostics Cmn R 8/15/2019 1:09:56 PM
TH Target Hospitality Cp Cmn R 8/15/2019 1:19:38 PM
NAOV NanoVibronix, Inc. Cmn Stk R 8/15/2019 1:21:17 PM
LMFA LM Funding America Cmn Stk R 8/15/2019 1:25:07 PM
CGIX Cancer Genetics, Inc. R 8/15/2019 1:26:53 PM
TRNX Taronis Technologies Cmn Stk R 8/15/2019 1:33:47 PM
THWWW Target Hospit Cp Wts R 8/15/2019 1:35:57 PM
MOGO Mogo Inc. Common Shares R 8/15/2019 1:36:49 PM
GEMP Gemphire Therapeutics CM R 8/15/2019 1:39:15 PM
MGI MoneyGram Intl Common Stock Q 8/15/2019 1:39:17 PM
TTS Tile Shop Hldgs, Inc. Cmn Stk Q 8/15/2019 1:48:18 PM
SGRY Surgery Partners, Inc. CS Q 8/15/2019 1:52:52 PM
MAGS Magal Security Systems Ltd Q 8/15/2019 1:53:36 PM
ALBO Albireo Pharma, Inc. R 8/15/2019 1:54:38 PM
LXRX Lexicon Pharmaceuticals, Inc. Q 8/15/2019 1:56:10 PM
VFF Village Farms Int Cm Sh R 8/15/2019 2:04:13 PM
PSTV PLUS THERAPEUTICS, Inc. R 8/15/2019 2:10:51 PM
ICON Iconix Brand Group, Inc. Q 8/15/2019 2:13:50 PM
STNE StoneCo Ltd. Cl A Cmn Shs Q 8/15/2019 2:14:13 PM
ABEO Abeona Therapeutics Inc. R 8/15/2019 2:16:06 PM
SCPH scPharmaceuticals Inc. Cmn Stk Q 8/15/2019 2:20:25 PM
VISL Vislink Tech Inc Common Stk R 8/15/2019 2:21:34 PM
ANCN Anchiano Therapeutics Ltd. ADS R 8/15/2019 2:25:22 PM
KNSA Kiniksa Pharma Ltd. Cl A Cmn Q 8/15/2019 2:26:22 PM
INAP Internap Corp Cmn Stk Q 8/15/2019 2:30:56 PM
ACST Acasti Pharma, Inc. Cl A Cmn R 8/15/2019 2:32:29 PM
TRVI Trevi Therapeutics, Inc. Cm St Q 8/15/2019 2:39:01 PM
GSM Ferroglobe PLC OS Q 8/15/2019 2:40:42 PM
PT Pintec Technology Hldg Ltd ADS Q 8/15/2019 2:44:24 PM
INNT Innovate Biopharma Cmn R 8/15/2019 2:47:33 PM
CORV Correvio Pharma Corp. R 8/15/2019 2:48:17 PM
TMCXW Trinity Merger Corp. WTS R 8/15/2019 2:52:52 PM
ACER Acer Therapeutics Inc. R 8/15/2019 2:53:10 PM
BIOC Biocept Inc. R 8/15/2019 2:55:41 PM
IDSA Industrial Services of America R 8/15/2019 2:58:08 PM
CHNR China Natural Resources, Inc. R 8/15/2019 2:59:06 PM
FAMI Farmmi, Inc. Ordinary Shs R 8/15/2019 3:16:03 PM
AKER Akers Biosciences Inc. R 8/15/2019 3:20:16 PM
PUYI Puyi Inc. ADS Q 8/15/2019 3:20:22 PM
IGLD Internet Gold-Golden Lns Ord Q 8/15/2019 3:23:48 PM
RMBL RumbleOn, Inc. Class B Cmn Stk R 8/15/2019 3:32:39 PM
ONCT Oncternal Therapeutics R 8/15/2019 3:39:26 PM
KERNW Akerna Corp WT R 8/15/2019 3:42:47 PM
CLFD Clearfield, Inc Q 8/15/2019 3:50:40 PM
TACOW Del Taco Restnts Warrants R 8/15/2019 3:59:30 PM
BNSO Bonso Electronics Int'l R 8/15/2019 4:00:00 PM
NETE Net Element, Inc. Cmn Stk R 8/15/2019 4:00:00 PM
ARAY Accuray Incorporated Q 8/16/2019 9:30:00 AM
SAEX SAExploration Hldgs R 8/16/2019 9:30:00 AM
YRIV Yangtze Riv Pt & Log Ltd Q 8/16/2019 9:30:00 AM
APEX Apex Global Brands Inc. R 8/16/2019 9:30:00 AM
SINT SiNtx Technologies, Inc. R 8/16/2019 9:30:06 AM
ENTX Entera Bio Ltd. Ord Shs R 8/16/2019 9:30:14 AM
APYX Apyx Medical Corp Cmn Q 8/16/2019 9:30:16 AM
MOGO Mogo Inc. Common Shares R 8/16/2019 9:30:21 AM
ESTRW Estre Ambiental, Inc. Q 8/16/2019 9:31:11 AM
NHLD National Holdings Corp Cmn Stk R 8/16/2019 9:31:25 AM
YVR Liquid Media Group Cmn R 8/16/2019 9:32:17 AM
MDJH MDJM LTD ORD R 8/16/2019 9:34:32 AM
SLNG Stabilis Energy, Inc. R 8/16/2019 9:34:37 AM
ANY Sphere 3D Corp. R 8/16/2019 9:35:35 AM
MOXC Moxian, Inc. Cmn Stk R 8/16/2019 9:37:31 AM
TBLTU ToughBuilt Indtrs Cl A Unit R 8/16/2019 9:40:09 AM
CETX Cemtrex Inc. R 8/16/2019 9:41:09 AM
BCEL Atreca, Inc. Class A Cmn Stk Q 8/16/2019 9:41:40 AM
DXYN The Dixie Group Inc Q 8/16/2019 9:44:12 AM
FTEK Fuel Tech, Inc. Q 8/16/2019 9:44:33 AM
AESEW Allied Esports Warrant R 8/16/2019 9:45:48 AM
NAKD Naked Brand Group Limited Ord R 8/16/2019 9:46:00 AM
SGBX SG Blocks, Inc. Common Stock R 8/16/2019 9:46:09 AM
AMR Alta Mesa Res Cl A R 8/16/2019 9:46:23 AM
IPDN Professional Diversity Network R 8/16/2019 9:47:04 AM
JAGX Jaguar Health, Inc. Cmn R 8/16/2019 9:50:28 AM
NXTD Nxt-ID, Inc. Common Stock R 8/16/2019 9:58:45 AM
TBLTW ToughBuilt Ind Warrant R 8/16/2019 10:00:21 AM
DLPN Dolphin Entertainment, CS R 8/16/2019 10:00:44 AM
ADXS Advaxis, Inc. Common Stock Q 8/16/2019 10:06:11 AM
IEAWW Infrastructure & Enrgy Alt Wt R 8/16/2019 10:06:23 AM
ASLN ASLAN Pharmaceuticals ADS Q 8/16/2019 10:08:02 AM
JAKK JAKKS Pacific Inc Q 8/16/2019 10:09:00 AM
INMB INmune Bio Inc. CS R 8/16/2019 10:15:28 AM
DDMXW DD3 Acquisition Corp Warrants R 8/16/2019 10:18:28 AM
APEN Apollo Endosurgery, Inc. Cmn Q 8/16/2019 10:23:25 AM
ATIS Attis Industries Inc. R 8/16/2019 10:25:24 AM
OBLN Obalon Therapeutics Cmn Q 8/16/2019 10:27:37 AM
RETO ReTo Eco-Solutions, Inc. Cm St R 8/16/2019 10:33:16 AM
BLIN Bridgeline Digital, Inc. R 8/16/2019 10:34:53 AM
CNTF China TechFaith Wireless Commu Q 8/16/2019 10:36:35 AM
BRPAR Big Rock Partners Acq RT R 8/16/2019 10:53:27 AM
TRIB Trinity Biotech PLC ADR Q 8/16/2019 11:00:05 AM
WTRH Waitr Holdings Inc. Cmn Stk Q 8/16/2019 11:08:08 AM
AUTO AutoWeb, Inc. R 8/16/2019 11:17:40 AM
PAACR Proficient Alpha Acq Rights R 8/16/2019 11:21:27 AM
ALACW Alberton Acquisition Corp WT R 8/16/2019 11:38:14 AM
DHXM DHX Media Ltd. Q 8/16/2019 11:39:49 AM
FULC Fulcrum Therapeutics, Inc. Q 8/16/2019 11:44:09 AM
USIO Usio, Inc. Common Stock R 8/16/2019 11:48:35 AM
ONCS OncoSec Medical Inc Cmn R 8/16/2019 11:58:14 AM
EDTXW EdtechX Holdings Acq Wt R 8/16/2019 11:59:18 AM
CAAS China Automotive Systems, Inc. R 8/16/2019 12:05:48 PM
RKDA Arcadia Biosciences, Inc. R 8/16/2019 12:06:23 PM
BHAT Blue Hat Interactive Enter ORD R 8/16/2019 12:11:42 PM
PHIOW Phio Pharmaceuticals Corp. R 8/16/2019 12:19:27 PM
ACTTW Act II Global Acquisition Wt R 8/16/2019 12:21:19 PM
FAMI Farmmi, Inc. Ordinary Shs R 8/16/2019 12:21:37 PM
TRUP Trupanion, Inc. Cmn Stk Q 8/16/2019 12:23:27 PM
STNLW Sentinel Energy Services WT R 8/16/2019 12:24:52 PM
KTOVW Kitov Pharma Ltd. Wts R 8/16/2019 12:42:38 PM
LMFAW LM Funding America WT R 8/16/2019 12:51:57 PM
SPI SPI Energy Ord Shs Q 8/16/2019 1:04:30 PM
MAMS MAM Software Group Cmn Stk R 8/16/2019 1:48:17 PM
AGFSW AgroFresh Solu Warrants Q 8/16/2019 1:50:32 PM
ALIM Alimera Sciences Inc Q 8/16/2019 2:14:52 PM
ALGRW Allegro Merger Corp. Wt R 8/16/2019 2:21:42 PM
OPGN OpGen, Inc. Common Stock R 8/16/2019 2:37:12 PM
NCNA NuCana plc ADS Q 8/16/2019 2:42:38 PM
OPGNW OpGen, Inc. Warrant R 8/16/2019 2:54:18 PM
TLRY Tilray, Inc. Class 2 Q 8/16/2019 2:54:26 PM
DVCR Diversicare Healthcare R 8/16/2019 2:59:54 PM
TVIX VelocityShares Daily 2X VIX Q 8/16/2019 3:03:23 PM
LIVX LiveXLive Media, Inc. Cm St R 8/16/2019 3:19:51 PM
GNUS Genius Brands Intl Inc R 8/16/2019 3:20:29 PM
YTEN Yield10 Bioscience, Inc. R 8/16/2019 3:35:30 PM
AMRHW Ameri Holdings, Inc. Wt R 8/16/2019 3:46:04 PM
NHLDW National Holdings Corp Wts R 8/16/2019 3:52:51 PM
PHCF Puhui Wealth Inv Mgmt Ord R 8/16/2019 3:55:41 PM
CIH China Index Hldgs Ltd ADS Q 8/16/2019 3:56:37 PM
TC TuanChe Limited ADS R 8/16/2019 3:59:40 PM
HWCC Houston Wire and Cable Company Q 8/16/2019 3:59:47 PM
OPHC OPTIMUMBANK HLDGS R 8/16/2019 3:59:53 PM
SCON SUPERCONDUCTOR TECH R 8/16/2019 3:59:54 PM
PPHI Positive Physicians Hldg Cmn R 8/16/2019 4:00:00 PM