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
Monday, August 20,2018 8/20/2018 4:15:20 AM

Symbol Security Name Market Category Trigger Time
ZN Zion Oil & Gas Common Stock Q 8/17/2018 9:30:00 AM
NAUH National American Univrsty Hld Q 8/17/2018 9:30:00 AM
AMRS Amyris, Inc. Q 8/17/2018 9:30:00 AM
JMU JMU Limited ADS Q 8/17/2018 9:30:00 AM
SNOAW Sonoma Pharma Wts R 8/17/2018 9:30:00 AM
MOSY MoSys, Inc. R 8/17/2018 9:30:00 AM
CBAK CBAK Energy Technology, Inc. Q 8/17/2018 9:30:00 AM
BNTCW Benitec Biopharma Warrant R 8/17/2018 9:30:00 AM
ADOM ADOMANI, Inc. CM R 8/17/2018 9:30:00 AM
CELGZ Celgene Cp Cntgnt Value Rts Q 8/17/2018 9:30:01 AM
SHBI Shore Bancshares Inc Q 8/17/2018 9:30:34 AM
AMMA Alliance MMA, Inc. Cmn R 8/17/2018 9:31:02 AM
SAEX SAExploration Hldgs R 8/17/2018 9:31:17 AM
JTPY JetPay Corporation R 8/17/2018 9:32:28 AM
ABAC Renmin Tianli Grp Inc R 8/17/2018 9:34:01 AM
LLIT Lianluo Smart Limited R 8/17/2018 9:34:19 AM
BOXL Boxlight Corp Class A Cmn R 8/17/2018 9:39:25 AM
AMAT Applied Materials Inc Q 8/17/2018 9:40:25 AM
ANY Sphere 3D Corp. R 8/17/2018 9:41:37 AM
ADILW Adial Pharmaceuticals Warrant R 8/17/2018 9:43:26 AM
BLNKW Blink Charging Co. Wt R 8/17/2018 9:45:25 AM
BLNK Blink Charging Co.CS R 8/17/2018 9:45:35 AM
VNET 21Vianet Group Inc Q 8/17/2018 9:46:08 AM
CCNI Command Center, Inc. Cmn Stk R 8/17/2018 9:49:15 AM
GSHTW Gores Holdings II, Inc. Wts R 8/17/2018 9:50:04 AM
ATAC Atlantic Acquisition Corp. CM R 8/17/2018 9:58:19 AM
VCEL Vericel Corporation R 8/17/2018 9:58:37 AM
ATAX America First Multifamily Inv Q 8/17/2018 9:59:36 AM
CLIRW ClearSign Combustion Cp Wrt R 8/17/2018 10:03:01 AM
CYRXW CryoPort, Inc. Warrants R 8/17/2018 10:04:40 AM
USEG U S Energy Corp R 8/17/2018 10:09:27 AM
SGRP SPAR Group Inc R 8/17/2018 10:10:54 AM
CDLX Cardlytics, Inc. Cm St Q 8/17/2018 10:12:21 AM
AMEH Apollo Medical Holdings Cmn R 8/17/2018 10:15:29 AM
BIOL Biolase, Inc. Common Stock R 8/17/2018 10:16:23 AM
HJLIW Hancock Jaffe Laboratories Wts R 8/17/2018 10:22:38 AM
MIND Mitcham Industries Q 8/17/2018 10:22:53 AM
YGYI Youngevity International Cm St R 8/17/2018 10:24:44 AM
PTIE Pain Therapeutics Inc R 8/17/2018 10:27:26 AM
PRPO Precipio, Inc. Cmn Stk R 8/17/2018 10:32:41 AM
MOGO Mogo Finance Technology CS R 8/17/2018 10:50:22 AM
SHLD Sears Holdings Corporation Q 8/17/2018 10:54:41 AM
RSLS ReShape Lifesciences Inc. R 8/17/2018 10:55:02 AM
CREG China Recycling Energy Corp R 8/17/2018 10:57:14 AM
XSPA XpresSpa Group, Inc. R 8/17/2018 10:58:02 AM
ATACU Atlantic Acquisition Corp. UT R 8/17/2018 11:05:20 AM
IPWR Ideal Power Inc. R 8/17/2018 11:20:47 AM
ARLZ Aralez Pharmaceuticals Inc. Q 8/17/2018 11:22:01 AM
IAMXR I-AM Capital Acquisition Co Rt R 8/17/2018 11:28:36 AM
IAMXW I-AM Capital Acquisition Wt R 8/17/2018 11:52:42 AM
ADIL Adial Pharmaceuticals, Inc. Cm R 8/17/2018 12:00:50 PM
ELOX Eloxx Pharma Cmn Stk Q 8/17/2018 12:11:12 PM
BHACR Barington/Hilco Acq Cp Rights R 8/17/2018 12:13:50 PM
ATACR Atlantic Acquisition Corp. RT R 8/17/2018 12:22:37 PM
CODX Co-Diagnostics, Inc. CM R 8/17/2018 12:37:06 PM
BIOC Biocept Inc. R 8/17/2018 12:54:05 PM
NVMM Novume Solutions, Inc. Cm St R 8/17/2018 1:01:30 PM
EASTW Eastside Distilling, Inc. WT R 8/17/2018 1:11:17 PM
IPAS iPass Inc. Cmn Stk R 8/17/2018 1:27:56 PM
RMNI Rimini Street, Inc. Q 8/17/2018 1:29:16 PM
GRNQ Greenpro Capital Corp. Cmn Stk R 8/17/2018 1:36:31 PM
CTXRW Citius Pharmaceuticals Wt R 8/17/2018 1:54:03 PM
ALPN Alpine Immune Sciences Cmn Q 8/17/2018 1:57:54 PM
EAGLW Platinum Eagle Acquisition WT R 8/17/2018 2:01:39 PM
LGCY Legacy Reserves LP Q 8/17/2018 2:15:33 PM
SNOA Sonoma Pharmaceuticals R 8/17/2018 2:21:54 PM
ADMP Adamis Pharmaceuticals Inc R 8/17/2018 2:57:19 PM
DXYN The Dixie Group Inc Q 8/17/2018 3:12:59 PM
AMDA Amedica Corporation R 8/17/2018 3:13:10 PM
DFBHW DFB Healthcare Acquisitions WT R 8/17/2018 3:14:41 PM
IFMK iFresh Inc. Cm St R 8/17/2018 3:20:49 PM
VTVT vTv Therapeutics Inc Cl A Cm Q 8/17/2018 3:27:01 PM
XOMA XOMA Corporation Q 8/17/2018 3:44:11 PM
DCAR DropCar, Inc. Cmn Stk R 8/17/2018 3:47:37 PM
ALT Altimmune, Inc. Common Stock Q 8/17/2018 3:50:59 PM
CJJD China Jo-Jo Drugstores, Inc. R 8/17/2018 3:51:05 PM