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, February 15,2019 2/15/2019 4:30:25 PM

Symbol Security Name Market Category Trigger Time
PTX Pernix Therapeutics Hldgs Cm Q 2/14/2019 9:30:00 AM
BCOR Blucora, Inc. Common Stock Q 2/14/2019 9:30:00 AM
FOSL Fossil Group, Inc. Common Stk Q 2/14/2019 9:30:00 AM
MTFB Motif Bio plc ADR R 2/14/2019 9:30:00 AM
ADOM ADOMANI, Inc. CM R 2/14/2019 9:30:00 AM
SVMK SVMK Inc. Common Stock Q 2/14/2019 9:30:00 AM
INO Inovio Pharmaceuticals Cmn Q 2/14/2019 9:30:00 AM
MNOV Medicinova Inc Q 2/14/2019 9:30:00 AM
CLBS Caladrius Biosciences, Inc. R 2/14/2019 9:30:00 AM
SWIR Sierra Wireless Inc Q 2/14/2019 9:30:00 AM
CLIR ClearSign Combustion Corporati R 2/14/2019 9:30:00 AM
MTFBW Motif Bio plc Wts ADRs R 2/14/2019 9:30:00 AM
VVPR VivoPower International Ord Sh R 2/14/2019 9:30:12 AM
GURE Gulf Resources, Inc. Q 2/14/2019 9:30:26 AM
PHUNW Phunware, Inc. Warrants R 2/14/2019 9:30:35 AM
XERS Xeris Pharmaceuticals CM Q 2/14/2019 9:30:38 AM
QUIK QuickLogic Corporation Q 2/14/2019 9:31:01 AM
CIDM CINEDIGM CORP Q 2/14/2019 9:32:13 AM
MMLP MARTIN MIDSTRAM PARTNERS LP Q 2/14/2019 9:33:01 AM
REPL Replimune Group, Inc. CM Q 2/14/2019 9:35:58 AM
ALRN Aileron Therapeutics, Inc. CS Q 2/14/2019 9:40:06 AM
CLPS CLPS Incorporation CM Q 2/14/2019 9:40:57 AM
WORX SCWorx Corp. R 2/14/2019 9:43:19 AM
PHCF Puhui Wealth Inv Mgmt Ord R 2/14/2019 9:45:46 AM
PHUN Phunware, Inc. Common Stock R 2/14/2019 9:48:59 AM
SOLOW Electrameccanica Vehicles Wts R 2/14/2019 10:00:53 AM
NDRAW ENDRA Life Sciences Inc. WT R 2/14/2019 10:01:42 AM
VEACW Vantage Energy Acquisition WT R 2/14/2019 10:02:33 AM
ESQ Esquire Financial Holdings CM R 2/14/2019 10:03:02 AM
NAKD Naked Brand Group Limited Ord R 2/14/2019 10:04:41 AM
TKKSW TKK Symphony Acquisition WT R 2/14/2019 10:04:54 AM
MOXC Moxian, Inc. Cmn Stk R 2/14/2019 10:12:49 AM
OTLKW Outlook Therapeutics Ser A Wt R 2/14/2019 10:12:52 AM
JASNW Jason Industries, Inc. Warrant R 2/14/2019 10:13:50 AM
ACET Aceto Corporation Q 2/14/2019 10:17:30 AM
CNST Constellation Pharmaceuticals, Q 2/14/2019 10:18:23 AM
CEY VctryShrs EM Hi Div Vol Wt ETF Q 2/14/2019 10:20:58 AM
TLSA Tiziana Life Sciences plc ADS Q 2/14/2019 10:32:07 AM
OXBRW Oxbridge Re Hldgs Ltd Warrants R 2/14/2019 10:32:50 AM
CNFR Conifer Holdings, Inc. Cmn Q 2/14/2019 10:39:45 AM
GSM Ferroglobe PLC OS Q 2/14/2019 10:57:26 AM
SCACW Saban Capital Acquisition WT R 2/14/2019 11:02:02 AM
AYTU Aytu BioScience, Inc. R 2/14/2019 11:05:11 AM
PIH 1347 Property Insurance Cmn Q 2/14/2019 11:13:16 AM
BIOL Biolase, Inc. Common Stock R 2/14/2019 11:23:03 AM
ARYAW ARYA Sciences Acquisiton WT R 2/14/2019 11:24:03 AM
CLRBZ Cellectar Biosciences Sr A WT R 2/14/2019 11:29:28 AM
TYME Tyme Technologies, Inc. Cmn R 2/14/2019 11:33:26 AM
DLPNW Dolphin Entertainment, WTS R 2/14/2019 11:48:10 AM
LKCO Luokung Technology Ord Shs R 2/14/2019 11:50:10 AM
SNOAW Sonoma Pharma Wts R 2/14/2019 11:53:04 AM
XTLB XTL Biopharmaceuticals Ltd ADS R 2/14/2019 12:04:06 PM
CLRBW Cellectar Biosciences Wts R 2/14/2019 12:11:14 PM
YRIV Yangtze Riv Pt & Log Ltd Q 2/14/2019 12:12:05 PM
ROSEW Rosehill Resources Inc. Wts R 2/14/2019 12:23:23 PM
PYDS Payment Data Systems Cmn R 2/14/2019 12:39:43 PM
LOACR Longevity Acquisition Right R 2/14/2019 12:44:17 PM
SYBX Synlogic, Inc. Cmn Stk Q 2/14/2019 12:45:56 PM
AKAO Achaogen, Inc. Common Stock Q 2/14/2019 12:57:38 PM
SEEL Seelos Therapeutics, Inc. R 2/14/2019 1:04:12 PM
ICCC ImmuCell Corp R 2/14/2019 1:13:34 PM
SHSP SharpSpring, Inc. Cmn Stk R 2/14/2019 1:30:53 PM
MTECW MTech Acquisition Corp. WT R 2/14/2019 2:09:37 PM
EQ Equillium, Inc. Common Stock Q 2/14/2019 2:28:40 PM
FAMI Farmmi, Inc. Ordinary Shs R 2/14/2019 2:52:16 PM
AGFSW AgroFresh Solu Warrants Q 2/14/2019 2:56:53 PM
EYEGW Eyegate Pharmaceuticals Wts R 2/14/2019 3:10:29 PM
CBLI Cleveland BioLabs Inc R 2/14/2019 3:16:42 PM
CETX Cemtrex Inc. Common Stock R 2/14/2019 3:16:52 PM
MLNT Melinta Therapeutics, Inc Q 2/14/2019 3:18:43 PM
TMSR TMSR Holding Co Ltd Cmn R 2/14/2019 3:20:10 PM
GMDA Gamida Cell Ltd. Ordinary Shs Q 2/14/2019 3:33:07 PM
JVA Coffee Holding Co Cmn R 2/14/2019 3:44:37 PM
RWLK ReWalk Robotics Ltd Ord Shares R 2/14/2019 3:49:11 PM
IPCI Intellipharmaceutics Int Inc R 2/14/2019 3:51:53 PM
CODA Coda Octopus Group, Inc. CS R 2/14/2019 3:57:19 PM
MRIN Marin Software Inc Common Stk Q 2/15/2019 9:30:00 AM
AKAO Achaogen, Inc. Common Stock Q 2/15/2019 9:30:00 AM
AREC American Resources Cp Cm A R 2/15/2019 9:30:00 AM
FUV Arcimoto, Inc. CM R 2/15/2019 9:30:00 AM
TRUE TrueCar, Inc. Common Stock Q 2/15/2019 9:30:00 AM
NWL Newell Brands Inc Cmn Q 2/15/2019 9:30:00 AM
PHUN Phunware, Inc. Common Stock R 2/15/2019 9:30:00 AM
LOGM LogMeIn, Inc. Q 2/15/2019 9:30:01 AM
CYTXZ Cytori Therapeutics Srs S Wts R 2/15/2019 9:30:01 AM
DRIO DarioHealth Corp. Cmn Stk R 2/15/2019 9:30:02 AM
IFMK iFresh Inc. Cm St R 2/15/2019 9:30:03 AM
SRRK Scholar Rock Holding Corp CM Q 2/15/2019 9:30:18 AM
ROSEW Rosehill Resources Inc. Wts R 2/15/2019 9:30:54 AM
GNUS Genius Brands Intl Inc R 2/15/2019 9:32:58 AM
AMRH Ameri Holdings, Inc. Cm St R 2/15/2019 9:34:51 AM
SOLOW Electrameccanica Vehicles Wts R 2/15/2019 9:35:30 AM
FTEO FRONTEO, Inc. ADS Q 2/15/2019 9:35:52 AM
MNGA Taronis Technologies Cmn Stk R 2/15/2019 9:36:55 AM
PLXP PLx Pharma Inc. R 2/15/2019 9:37:51 AM
CRNX Crinetics Pharmaceutical Cm St Q 2/15/2019 9:38:09 AM
LENS Presbia PLC Ordinary Shs R 2/15/2019 9:46:03 AM
PTX Pernix Therapeutics Hldgs Cm Q 2/15/2019 9:49:31 AM
REPL Replimune Group, Inc. CM Q 2/15/2019 9:49:34 AM
ACOR Acorda Therapeutics Q 2/15/2019 9:52:49 AM
SOLO Electrameccanica Vehicles Cmn R 2/15/2019 9:54:33 AM
YRIV Yangtze Riv Pt & Log Ltd Q 2/15/2019 9:57:50 AM
PLUG Plug Power Inc R 2/15/2019 9:59:20 AM
LKCO Luokung Technology Ord Shs R 2/15/2019 10:03:25 AM
CARV Carver Bancorp Inc R 2/15/2019 10:05:34 AM
BTAI BioXcel Therapeutics, Inc. Cmn R 2/15/2019 10:07:59 AM
CEY VctryShrs EM Hi Div Vol Wt ETF Q 2/15/2019 10:09:53 AM
PHUNW Phunware, Inc. Warrants R 2/15/2019 10:10:41 AM
BYFC Broadway Financial Corporation R 2/15/2019 10:12:34 AM
PNRL Paringa Resources LTD ADS R 2/15/2019 10:14:47 AM
CFFAW CF Finance Acquisition Wt R 2/15/2019 10:26:57 AM
OXBR Oxbridge Re Hldgs Ord Shares R 2/15/2019 10:29:11 AM
SPI SPI Energy Ord Shs Q 2/15/2019 10:30:09 AM
ENTXW Entera Bio Ltd.WT R 2/15/2019 10:31:21 AM
NAKD Naked Brand Group Limited Ord R 2/15/2019 10:34:03 AM
BIOL Biolase, Inc. Common Stock R 2/15/2019 10:36:57 AM
VTL Vital Therapies, Inc. Q 2/15/2019 10:39:05 AM
EYESW Second Sight Mdl Products Wt R 2/15/2019 10:44:05 AM
IDSA Industrial Services of America R 2/15/2019 10:52:40 AM
TWLVR Twelve Seas Investment RT R 2/15/2019 11:01:31 AM
BVSN BroadVision Inc R 2/15/2019 11:15:10 AM
SES Synthesis Energy Sytems Inc R 2/15/2019 11:16:36 AM
BRACR Black Ridge Acq Corp. RT R 2/15/2019 11:26:55 AM
NXTDW Nxt-ID, Inc. Warrant R 2/15/2019 11:44:59 AM
JASNW Jason Industries, Inc. Warrant R 2/15/2019 11:55:39 AM
CAAS China Automotive Systems, Inc. R 2/15/2019 12:19:22 PM
TMSR TMSR Holding Co Ltd Cmn R 2/15/2019 12:20:15 PM
ATIS Attis Industries Inc. Cmn Stk R 2/15/2019 12:57:01 PM
MDGSW Medigus Ltd. Ser C Wts R 2/15/2019 1:21:22 PM
VTGN VistaGen Therapeutics, Com R 2/15/2019 1:55:51 PM
RBZAW Reebonz Hldg Wt R 2/15/2019 1:59:17 PM
PRPO Precipio, Inc. Cmn Stk R 2/15/2019 2:42:07 PM
MAT Mattel, Inc. Q 2/15/2019 2:53:11 PM
CTRV ContraVir Pharm Inc. R 2/15/2019 3:35:28 PM
HOVNP Hovanian Enterprises Inc. Dep. Q 2/15/2019 3:52:57 PM
HMHC Houghton Mifflin Harcourt Comp Q 2/15/2019 3:56:25 PM
SAUC Diversified Restaurant Hldgs R 2/15/2019 3:59:11 PM