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
Tuesday, April 23,2019 4/23/2019 4:30:25 PM

Symbol Security Name Market Category Trigger Time
OXBR Oxbridge Re Hldgs Ord Shares R 4/22/2019 9:30:00 AM
PRTO Proteon Therapeutics Cm Stk Q 4/22/2019 9:30:00 AM
FSNN Fusion Connect, Inc. R 4/22/2019 9:30:00 AM
DMAC DiaMedica Therapeutics CS R 4/22/2019 9:30:00 AM
IPWR Ideal Power Inc. R 4/22/2019 9:30:00 AM
WRLSW Pensare Acquisition Corp WT R 4/22/2019 9:30:00 AM
SNGX Soligenix, Inc. R 4/22/2019 9:30:12 AM
RGNX REGENXBIO Inc. Cmn Stk Q 4/22/2019 9:31:33 AM
CETX Cemtrex Inc. Common Stock R 4/22/2019 9:32:42 AM
HAIR Restoration Robotics, Inc. CM Q 4/22/2019 9:32:58 AM
AVEO AVEO Pharmaceuticals, Inc. R 4/22/2019 9:35:51 AM
CREX Creative Realities Inc. Cmn R 4/22/2019 9:36:17 AM
ABIL Ability Inc. R 4/22/2019 9:36:41 AM
KONA Kona Grill Inc Q 4/22/2019 9:38:05 AM
MOXC Moxian, Inc. Cmn Stk R 4/22/2019 9:38:22 AM
GNLN Greenlane Holdings Cmn Cl A Q 4/22/2019 9:39:53 AM
FRED Fred's Inc Q 4/22/2019 9:40:50 AM
VRML Vermillion, Inc. R 4/22/2019 9:42:29 AM
IMUX Immunic Inc Cmn Stk R 4/22/2019 9:43:07 AM
QFIN 360 Finance, Inc. ADS Q 4/22/2019 9:44:46 AM
OTLKW Outlook Therapeutics Ser A Wt R 4/22/2019 9:45:20 AM
HARP Harpoon Therapeutics, Inc. CS Q 4/22/2019 9:46:14 AM
LEGH Legacy Housing Corp Cm St Q 4/22/2019 9:46:21 AM
MBIO Mustang Bio, Inc. CM Q 4/22/2019 9:46:44 AM
NVUS Novus Therapeutics, Inc. R 4/22/2019 9:48:22 AM
GHSI Guardion Health Sciences Cm St R 4/22/2019 9:49:49 AM
VIVE Viveve Medical, Inc. Cm St R 4/22/2019 9:53:14 AM
APDNW Applied DNA Scien Warrant R 4/22/2019 9:57:42 AM
BVXVW BiondVax Pharmaceuticals Wts R 4/22/2019 9:58:52 AM
RGLS Regulus Therapeutics Inc. R 4/22/2019 10:01:15 AM
DMPI DelMar Pharma Common Stock R 4/22/2019 10:05:23 AM
ASNA Ascena Retail Group Cmn Stk Q 4/22/2019 10:10:10 AM
JMU JMU Limited ADS Q 4/22/2019 10:14:17 AM
SESN Sesen Bio, Inc. Q 4/22/2019 10:16:52 AM
MDRR Medalist Diversified REIT Cm R 4/22/2019 10:20:12 AM
IEAWW Infrastructure & Enrgy Alt Wt R 4/22/2019 10:28:03 AM
OPRA Opera Limited ADS Q 4/22/2019 10:29:05 AM
NUROW NeuroMetrix, Inc. Wt R 4/22/2019 10:30:00 AM
HJLIW Hancock Jaffe Laboratories Wts R 4/22/2019 10:30:00 AM
JSYNR Jensyn Acquistion Corp. RT R 4/22/2019 10:30:00 AM
CFFAW CF Finance Acquisition Wt R 4/22/2019 10:30:00 AM
WRLSR Pensare Acquisition Corp Right R 4/22/2019 10:30:00 AM
BCACW Bison Cap Acquistion Corp Wt R 4/22/2019 10:30:00 AM
GLACR Greenland Acquisition Corp RT R 4/22/2019 10:30:00 AM
BOXL Boxlight Corp Class A Cmn R 4/22/2019 10:33:16 AM
SES Synthesis Energy Sytems Inc R 4/22/2019 10:33:37 AM
WHLRW Wheeler REIT Warrants R 4/22/2019 10:46:04 AM
PT Pintec Technology Hldg Ltd ADS Q 4/22/2019 10:47:42 AM
FTFT Future FinTech Group Inc. R 4/22/2019 10:54:43 AM
AKAO Achaogen, Inc. Common Stock Q 4/22/2019 11:00:47 AM
BIMI NF Energy Saving Corporation R 4/22/2019 11:16:58 AM
LQDA Liquidia Technologies, Inc Cmn R 4/22/2019 11:19:59 AM
ATAI ATA Inc. Q 4/22/2019 11:28:26 AM
STRO Sutro Biopharma, Inc. Cmn Stk Q 4/22/2019 11:42:26 AM
EYESW Second Sight Mdl Products Wt R 4/22/2019 11:49:22 AM
VKTXW Viking Therapeutics, Inc. WTS R 4/22/2019 11:58:46 AM
HMNF HMN Financial, Inc. Q 4/22/2019 12:19:30 PM
PMTS CPI Card Group Inc. R 4/22/2019 12:20:46 PM
HSDT Helius Medical Tech Cl A Cmn R 4/22/2019 12:23:23 PM
CFRX Contrafect Corp Common R 4/22/2019 12:23:38 PM
AMRHW Ameri Holdings, Inc. Wt R 4/22/2019 12:28:09 PM
BROGW Twelve Seas Investment WT R 4/22/2019 12:28:34 PM
CTACW ChaSerg Technology Acq Wt R 4/22/2019 12:30:50 PM
YRIV Yangtze Riv Pt & Log Ltd Q 4/22/2019 12:38:09 PM
FMCIW Forum Merger II Corporation WT R 4/22/2019 12:54:36 PM
EYEGW Eyegate Pharmaceuticals Wts R 4/22/2019 12:59:27 PM
NYMX Nymox Pharmaceutical Corp R 4/22/2019 1:03:07 PM
YMAB Y-mAbs Therapeutics, Inc. Cmn Q 4/22/2019 1:24:24 PM
DOGZ Dogness (International) Corpor Q 4/22/2019 1:44:06 PM
WWR Westwater Resources, Inc. R 4/22/2019 1:46:15 PM
UONE Urban One Inc Cl A R 4/22/2019 1:47:54 PM
ACMR ACM Research, Inc. Cl A Cmn Q 4/22/2019 1:49:44 PM
XBIO Xenetic Biosciences Cmn R 4/22/2019 1:58:08 PM
CJJD China Jo-Jo Drugstores, Inc. R 4/22/2019 2:02:53 PM
CTRV ContraVir Pharm Inc. R 4/22/2019 2:45:00 PM
PAVMW PAVmed Inc. Warrant R 4/22/2019 3:18:48 PM
CFMS Conformis, Inc. CS Q 4/22/2019 3:27:41 PM
TMSR TMSR Holding Co Ltd Cmn R 4/22/2019 3:27:54 PM
CMSS CM Seven Star Acquisition Ord R 4/22/2019 3:34:58 PM
CNAT Conatus Pharmaceuticals Inc Q 4/22/2019 3:36:44 PM
CETXW Cemtrex Inc. WTS R 4/22/2019 3:50:21 PM
VRCA Verrica Pharmaceuticals COM Q 4/22/2019 3:51:38 PM
MBRX Moleculin Biotech, Inc. COM R 4/23/2019 9:30:00 AM
LENS Presbia PLC Ordinary Shs R 4/23/2019 9:30:00 AM
ASTE Astec Industries Inc Q 4/23/2019 9:30:00 AM
ARCI Appliance Recycling Centers R 4/23/2019 9:30:01 AM
GRTS Gritstone Oncology, Inc. CM Q 4/23/2019 9:30:20 AM
VIOT Viomi Technology Co., Ltd ADS Q 4/23/2019 9:30:46 AM
EPIX ESSA Pharma Inc. Common R 4/23/2019 9:32:21 AM
JASN Jason Industries, Inc Cmn Stk R 4/23/2019 9:32:22 AM
WWR Westwater Resources, Inc. R 4/23/2019 9:33:09 AM
PRPO Precipio, Inc. Cmn Stk R 4/23/2019 9:35:23 AM
KONA Kona Grill Inc Q 4/23/2019 9:43:40 AM
EQBK Equity Bancshares Cl A Cmn Q 4/23/2019 9:47:55 AM
YRIV Yangtze Riv Pt & Log Ltd Q 4/23/2019 9:52:55 AM
SGBX SG Blocks, Inc. Common Stock R 4/23/2019 9:54:05 AM
EDTXW EdtechX Holdings Acq Wt R 4/23/2019 9:54:40 AM
TRCH Torchlight Energy Rsrc Cmn R 4/23/2019 9:57:00 AM
BLIN Bridgeline Digital, Inc. R 4/23/2019 9:57:53 AM
AKAO Achaogen, Inc. Common Stock Q 4/23/2019 10:13:43 AM
AVDL Avadel Pharmaceuticals plc Q 4/23/2019 10:16:16 AM
BROGR Twelve Seas Investment RT R 4/23/2019 10:24:25 AM
CMSS CM Seven Star Acquisition Ord R 4/23/2019 10:29:15 AM
CTXRW Citius Pharmaceuticals Wt R 4/23/2019 10:33:54 AM
SLNOW Soleno Therapeutics Wts A R 4/23/2019 10:41:07 AM
PHUNW Phunware, Inc. Warrants R 4/23/2019 10:44:51 AM
MOXC Moxian, Inc. Cmn Stk R 4/23/2019 10:58:18 AM
ALACW Alberton Acquisition Corp WT R 4/23/2019 11:19:18 AM
TCRR TCR2 Therapeutics Cmn Stk Q 4/23/2019 11:22:00 AM
SNOAW Sonoma Pharma Wts R 4/23/2019 11:22:24 AM
ICON Iconix Brand Group, Inc. Q 4/23/2019 11:37:56 AM
ATIS Attis Industries Inc. R 4/23/2019 11:46:14 AM
NDRAW ENDRA Life Sciences Inc. WT R 4/23/2019 11:47:23 AM
STRM Streamline Health Solutions R 4/23/2019 11:58:41 AM
GRNQ Greenpro Capital Corp. Cmn Stk R 4/23/2019 12:05:25 PM
APOPW Cellect Biotechnology Ltd. WT R 4/23/2019 12:05:57 PM
LOACW Longevity Acquisition Warrant R 4/23/2019 12:08:38 PM
AGFSW AgroFresh Solu Warrants Q 4/23/2019 12:22:08 PM
OBLN Obalon Therapeutics Cmn Q 4/23/2019 12:23:07 PM
HEBT Hebron Technology Co Cl A Cmn R 4/23/2019 12:24:39 PM
PXS Pyxis Tankers Inc Common Stk R 4/23/2019 12:41:52 PM
SYPR Sypris Solutions Inc Q 4/23/2019 12:49:02 PM
CBAT CBAK Energy Technology, Inc. Q 4/23/2019 1:03:25 PM
TNXP Tonix Pharma Hldg Cmn Stk Q 4/23/2019 1:51:16 PM
MYNDW MYnd Analytics, Inc. Wt R 4/23/2019 1:53:39 PM
AMRWW Alta Mesa Resources, Inc. Wts R 4/23/2019 1:57:25 PM
SSLJ SSLJ.com Limited Cl A Ord Sh R 4/23/2019 1:57:52 PM
EYEGW Eyegate Pharmaceuticals Wts R 4/23/2019 1:57:59 PM
FELE Franklin Electric Co., Inc. Q 4/23/2019 2:06:54 PM
NHLDW National Holdings Corp Wts R 4/23/2019 2:40:41 PM
WRTC Wrap Technologies, Inc. Cm St R 4/23/2019 3:25:48 PM
FPAYW FlexShopper, Inc. Wt R 4/23/2019 3:27:24 PM
ADILW Adial Pharmaceuticals Warrant R 4/23/2019 3:27:55 PM
WISA Summit Wireless Tech Cmn R 4/23/2019 3:41:31 PM
FTFT Future FinTech Group Inc. R 4/23/2019 4:00:00 PM