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
Thursday, April 19,2018 4/19/2018 4:30:25 PM

Symbol Security Name Market Category Trigger Time
ONTX Onconova Therapeutics Inc R 4/18/2018 9:30:00 AM
AGLE Aeglea BioTherapeutics, Inc CM Q 4/18/2018 9:30:00 AM
HCSG Healthcare Services Group Inc Q 4/18/2018 9:30:00 AM
ONSIW Oncobiologics, Inc. Ser A Wt R 4/18/2018 9:30:00 AM
LTXB LegacyTexas Fnl Gp Cmn Q 4/18/2018 9:30:00 AM
BECN Beacon Roofing Supply, Inc. Q 4/18/2018 9:30:01 AM
MLAB Mesa Laboratories Inc Q 4/18/2018 9:30:14 AM
CHNR China Natural Resources, Inc. R 4/18/2018 9:30:20 AM
VLRX Valeritas Holdings, Inc. CS R 4/18/2018 9:35:49 AM
MYND MYnd Analytics, Inc. Cm St R 4/18/2018 9:39:51 AM
ADTN ADTRAN Inc Q 4/18/2018 9:40:46 AM
BLNKW Blink Charging Co. Wt R 4/18/2018 9:42:19 AM
JSYNW Jensyn Acquistion Corp. WT R 4/18/2018 10:00:45 AM
BLNK Blink Charging Co.CS R 4/18/2018 10:14:11 AM
CHEK Check-Cap Ltd. Ord R 4/18/2018 10:15:28 AM
EYEG Eyegate Pharmaceuticals Cm R 4/18/2018 10:16:54 AM
CETXW Cemtrex Inc. WTS R 4/18/2018 10:27:31 AM
INNT Innovate Biopharma Cmn R 4/18/2018 10:34:19 AM
CGIX Cancer Genetics, Inc. R 4/18/2018 11:07:26 AM
ARDM Aradigm Corporation Cmn Stk R 4/18/2018 11:12:36 AM
MBVX MabVax Therapeutics CS R 4/18/2018 11:15:38 AM
CYTR CytRx Corporation R 4/18/2018 11:48:35 AM
JSYNR Jensyn Acquistion Corp. RT R 4/18/2018 12:06:09 PM
CYTXW Cytori Therapeutics Inc WT R 4/18/2018 12:07:03 PM
ROKU Roku, Inc. Class A Common Stk Q 4/18/2018 12:54:00 PM
WAFDW Washington Federal Inc Warrant Q 4/18/2018 1:16:19 PM
SVA Sinovac Biotech, Ltd Ord Shrs Q 4/18/2018 1:45:20 PM
NHLDW National Holdings Corp Wts R 4/18/2018 2:35:41 PM
MKGI Monaker Group CM R 4/18/2018 3:30:53 PM
NAUH National American Univrsty Hld Q 4/18/2018 3:58:15 PM
ARDX Ardelyx, Inc. Cmn Stk Q 4/18/2018 3:58:49 PM
SNBR Sleep Number Corp Q 4/19/2018 9:30:00 AM
BLNKW Blink Charging Co. Wt R 4/19/2018 9:30:00 AM
ARGS Argos Therapeutics, Inc. R 4/19/2018 9:30:00 AM
CPSS Consumer Portfolio Services Q 4/19/2018 9:30:00 AM
PRTK Paratek Pharmaceuticals, Inc. Q 4/19/2018 9:30:00 AM
TRCH Torchlight Energy Rsrc Cmn R 4/19/2018 9:30:00 AM
ACET Aceto Corporation Q 4/19/2018 9:30:00 AM
SHOS Sears Hometown & Outlet Stores R 4/19/2018 9:30:00 AM
HMNY Helios and Matheson Analytics R 4/19/2018 9:30:00 AM
SSLJ SSLJ.com Limited Cl A Ord Sh R 4/19/2018 9:30:01 AM
AGFSW AgroFresh Solu Warrants Q 4/19/2018 9:31:43 AM
VTVT vTv Therapeutics Inc Cl A Cm Q 4/19/2018 9:33:48 AM
APLS Apellis Pharma Inc Cmn Stk Q 4/19/2018 9:38:21 AM
AGLE Aeglea BioTherapeutics, Inc CM Q 4/19/2018 9:49:34 AM
PULM Pulmatrix, Inc. Cmn Stk Q 4/19/2018 9:50:58 AM
INNT Innovate Biopharma Cmn R 4/19/2018 9:51:03 AM
CYHHZ Community Health Systems, Inc. Q 4/19/2018 10:08:30 AM
VLRX Valeritas Holdings, Inc. CS R 4/19/2018 10:26:56 AM
MOGO Mogo Finance Technology CS R 4/19/2018 10:27:36 AM
IZEA IZEA Inc Common Stock R 4/19/2018 10:31:04 AM
TUSK Mammoth Energy Services Cm St Q 4/19/2018 10:40:57 AM
DRRX DURECT Corporation Q 4/19/2018 10:43:56 AM
WHLRW Wheeler REIT Warrants R 4/19/2018 10:45:15 AM
LLIT Lianluo Smart Limited R 4/19/2018 10:47:55 AM
ONSIW Oncobiologics, Inc. Ser A Wt R 4/19/2018 10:50:14 AM
CNET ChinaNet Online Holdings, Inc. R 4/19/2018 11:01:55 AM
GNPX Genprex, Inc. CM R 4/19/2018 11:04:13 AM
ICHR Ichor Holdings CM Q 4/19/2018 11:15:53 AM
PEIX PACIFIC ETHANOL INC R 4/19/2018 11:20:10 AM
SHIPW Seanergy Maritime Holdings Cor R 4/19/2018 11:25:11 AM
JSYNW Jensyn Acquistion Corp. WT R 4/19/2018 11:26:25 AM
BCACW Bison Cap Acquistion Corp Wt R 4/19/2018 11:39:21 AM
LYL Dragon Victory Inter Ord Sh R 4/19/2018 11:41:50 AM
ARDM Aradigm Corporation Cmn Stk R 4/19/2018 12:03:50 PM
UPL Ultra Petroleum Corp. Cmn Stk Q 4/19/2018 12:59:53 PM
CYTXW Cytori Therapeutics Inc WT R 4/19/2018 1:01:08 PM
CLDX Celldex Therapeutics, Inc. Q 4/19/2018 1:12:11 PM
CHEK Check-Cap Ltd. Ord R 4/19/2018 2:08:31 PM
CELGZ Celgene Cp Cntgnt Value Rts Q 4/19/2018 2:08:34 PM
CHEKW Check-Cap Ltd. Srs A Wt R 4/19/2018 2:09:14 PM
CLIRW ClearSign Combustion Cp Wrt R 4/19/2018 2:27:10 PM
NURO NeuroMetrix, Inc. Cmn R 4/19/2018 2:31:47 PM
ALRN Aileron Therapeutics, Inc. CS Q 4/19/2018 2:40:04 PM
INPX Inpixon Common Stock R 4/19/2018 2:41:00 PM
EDGE Edge Therapeutics, Inc. Cm St Q 4/19/2018 3:02:09 PM
TIBRW Tiberius Acquisition Corp Wt R 4/19/2018 3:11:08 PM
OMEX Odyssey Marine Exploriation R 4/19/2018 3:28:07 PM
LACQW Leisure Acquisition Corp. Wt R 4/19/2018 3:29:47 PM
ABIO ARCA BIOPHARMA, INC. R 4/19/2018 3:44:13 PM
KOOL Cesca Therapeutics Inc. R 4/19/2018 3:48:59 PM
VTGN VistaGen Therapeutics, Com R 4/19/2018 3:55:41 PM