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 23,2018 2/23/2018 4:15:20 AM

Symbol Security Name Market Category Trigger Time
CONE CyrusOne Inc Common Stock Q 2/22/2018 9:30:00 AM
BLNKW Blink Charging Co. Wt R 2/22/2018 9:30:00 AM
ADXS Advaxis, Inc. Common Stock Q 2/22/2018 9:30:00 AM
ONTXW Onconova Therapeutics, Inc. WT R 2/22/2018 9:30:00 AM
AAOI Applied Optoelectronics Cmn Q 2/22/2018 9:30:00 AM
ROKU Roku, Inc. Class A Common Stk Q 2/22/2018 9:30:00 AM
EASTW Eastside Distilling, Inc. WT R 2/22/2018 9:30:00 AM
SPTN SpartanNash Company Q 2/22/2018 9:30:00 AM
ELGX Endologix, Inc. Q 2/22/2018 9:30:00 AM
ACERW Acer Therapeutics Warrant R 2/22/2018 9:30:00 AM
LMFAW LM Funding America WT R 2/22/2018 9:30:00 AM
KVHI KVH Industries Inc Q 2/22/2018 9:30:00 AM
LGCY Legacy Reserves LP Q 2/22/2018 9:30:06 AM
SRCL Stericycle, Inc. Q 2/22/2018 9:30:06 AM
SRCLP Stericycle, Inc. DepSh Q 2/22/2018 9:30:11 AM
VXRT Vaxart, Inc. R 2/22/2018 9:30:57 AM
VDSI VASCO Data Security Intl Inc R 2/22/2018 9:31:13 AM
MRDN Meridian Waste Solutions CM R 2/22/2018 9:31:28 AM
IPAS iPass Inc Q 2/22/2018 9:32:14 AM
ACHN Achillion Pharmaceuticals Q 2/22/2018 9:32:31 AM
ODT Odonate Therapeutics Inc Cmn Q 2/22/2018 9:33:05 AM
TOPS TOP Ships Inc R 2/22/2018 9:34:34 AM
RPXC RPX Corporation Q 2/22/2018 9:34:41 AM
TSEM Tower Semiconductor Ltd. Q 2/22/2018 9:35:50 AM
MRDNW Meridian Waste Solutions WTS R 2/22/2018 9:35:51 AM
SYNH Syneos Health, Inc. Cl A Cmn Q 2/22/2018 9:36:17 AM
STLRW Stellar Acquisition III WRT R 2/22/2018 9:37:47 AM
INPX Inpixon Common Stock R 2/22/2018 9:38:46 AM
AXTI AXT Inc Q 2/22/2018 9:38:56 AM
UCTT Ultra Clean Holdings Inc Q 2/22/2018 9:48:18 AM
JAKK JAKKS Pacific Inc Q 2/22/2018 9:49:24 AM
ADXSW Advaxis, Inc. Warrants R 2/22/2018 9:49:49 AM
OXBRW Oxbridge Re Hldgs Ltd Warrants R 2/22/2018 9:52:57 AM
GENE Genetic Technologies Ltd ADS R 2/22/2018 9:56:26 AM
IPDN Professional Diversity Network R 2/22/2018 9:56:48 AM
MITL Mitel Networks Corporation Q 2/22/2018 9:58:33 AM
CYTXW Cytori Therapeutics Inc WT R 2/22/2018 10:03:18 AM
ESTRW Estre Ambiental, Inc. Q 2/22/2018 10:04:53 AM
AMRWW Alta Mesa Resources, Inc. Wts R 2/22/2018 10:06:04 AM
GOGO Gogo Inc. Common Stock Q 2/22/2018 10:07:13 AM
VEON VEON Ltd. ADS Q 2/22/2018 10:10:32 AM
SP SP Plus Corporation Q 2/22/2018 10:15:31 AM
TREE LendingTree, Inc. Cmn Stk Q 2/22/2018 10:16:17 AM
DMRC Digimarc Corporation Q 2/22/2018 10:16:57 AM
AMMA Alliance MMA, Inc. Cmn R 2/22/2018 10:22:02 AM
RUN Sunrun Inc. Common Stock Q 2/22/2018 10:22:04 AM
NVCN Neovasc Inc. Cmn Shs R 2/22/2018 10:43:01 AM
OMER Omeros Corporation Q 2/22/2018 10:58:01 AM
ONSIW Oncobiologics, Inc. Ser A Wt R 2/22/2018 10:58:41 AM
IAMXW I-AM Capital Acquisition Wt R 2/22/2018 10:59:31 AM
CYRXW CryoPort, Inc. Warrants R 2/22/2018 11:01:11 AM
ROSG Rosetta Genomics Ltd R 2/22/2018 11:05:18 AM
CELGZ Celgene Cp Cntgnt Value Rts Q 2/22/2018 11:44:34 AM
XGTIW xG Technology, Inc R 2/22/2018 11:49:26 AM
EFOI Energy Focus, Inc. Common Stk R 2/22/2018 11:51:41 AM
APOPW Cellect Biotechnology Ltd. WT R 2/22/2018 11:57:07 AM
APRI Apricus Biosciences, Inc. R 2/22/2018 12:14:05 PM
BOXL Boxlight Corp Class A Cmn R 2/22/2018 12:39:00 PM
ALKS Alkermes plc Q 2/22/2018 12:46:15 PM
CNACR Constellation Alpha Capital Rt R 2/22/2018 12:54:48 PM
MMLP MARTIN MIDSTRAM PARTNERS LP Q 2/22/2018 1:17:03 PM
WIN WINDSTREAM HLDGS INC Q 2/22/2018 1:19:38 PM
SRTSW Sensus Healthcare WT R 2/22/2018 1:51:47 PM
ADMP Adamis Pharmaceuticals Inc R 2/22/2018 1:57:38 PM
KMPH KemPharm, Inc. Cmn Q 2/22/2018 2:13:30 PM
SGBX SG Blocks, Inc. Common Stock R 2/22/2018 2:21:48 PM
BSQR BSQUARE Corporation Q 2/22/2018 2:25:32 PM
GWPH GW Pharmaceuticals ADR Q 2/22/2018 2:42:58 PM
RIOT Riot Blockchain, Inc. R 2/22/2018 2:43:30 PM
AYTU Aytu BioScience, Inc. Cm St R 2/22/2018 3:10:53 PM
USAU U.S. Gold Corp. R 2/22/2018 3:14:20 PM
MIIIW M III Acquisition Corp. Wt R 2/22/2018 3:16:47 PM
TTS Tile Shop Hldgs, Inc. Cmn Stk Q 2/22/2018 3:17:41 PM
WWR Westwater Resources, Inc. R 2/22/2018 3:19:43 PM
HQY HealthEquity, Inc. Cmn Stk Q 2/22/2018 3:29:00 PM
ONTX Onconova Therapeutics Inc R 2/22/2018 3:42:00 PM
MNGA MagneGas Corporation Cmn Stk R 2/22/2018 3:51:01 PM