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, October 17,2019 10/17/2019 4:15:27 AM

Symbol Security Name Market Category Trigger Time
HOTH Hoth Therapeutics, Inc. Cmn R 10/16/2019 9:30:00 AM
BIMI NF Energy Saving Corporation R 10/16/2019 9:30:00 AM
WWR Westwater Resources, Inc. R 10/16/2019 9:30:00 AM
PETZ TDH Holdings, Inc. Cmn Shrs R 10/16/2019 9:30:00 AM
KERNW Akerna Corp WT R 10/16/2019 9:30:00 AM
TTNP Titan Pharma Common Stock R 10/16/2019 9:30:00 AM
CREG China Recycling Energy Corp R 10/16/2019 9:30:00 AM
DNJR Golden Bull Limited Ord Shs R 10/16/2019 9:30:00 AM
SES Synthesis Energy Sytems Inc R 10/16/2019 9:30:00 AM
TMDI Titan Medical Inc. Ord Shs R 10/16/2019 9:30:00 AM
PRQR ProQR Therapeutics N.V. Ord Q 10/16/2019 9:30:00 AM
KIN Kindred Biosciences, Inc. R 10/16/2019 9:30:03 AM
UONEK Urban One, Inc. Cl D R 10/16/2019 9:30:03 AM
OPESW Opes Acquisition WT R 10/16/2019 9:30:41 AM
MTFB Motif Bio plc ADR R 10/16/2019 9:30:42 AM
GLG Bat Group, Inc. R 10/16/2019 9:30:47 AM
DTSS Datasea Inc. CS R 10/16/2019 9:31:09 AM
CCCL China Ceramics Co Cmn Stk R 10/16/2019 9:31:18 AM
WDAY Workday Inc Cl A Q 10/16/2019 9:31:24 AM
JMU JMU Limited ADS Q 10/16/2019 9:32:06 AM
REXN Rexahn Pharmaceuticals Cmn R 10/16/2019 9:32:54 AM
MORF Morphic Holding Inc Common Stk Q 10/16/2019 9:33:00 AM
ATNX Athenex, Inc. CM Q 10/16/2019 9:33:51 AM
GLAC Greenland Acquisition Ord Shs R 10/16/2019 9:34:54 AM
INPX Inpixon Common Stock R 10/16/2019 9:34:56 AM
BURG Chanticleer Holdings, Inc. Cmn R 10/16/2019 9:36:21 AM
PSTV PLUS THERAPEUTICS, Inc. R 10/16/2019 9:37:16 AM
DEST Destination Maternity Cp Q 10/16/2019 9:37:48 AM
IGLD Internet Gold-Golden Lns Ord Q 10/16/2019 9:41:36 AM
NTRA Natera Inc Common Stock Q 10/16/2019 9:44:09 AM
DSKEW Daseke, Inc. Warrant R 10/16/2019 9:54:10 AM
APEN Apollo Endosurgery, Inc. Cmn Q 10/16/2019 9:57:42 AM
TNXP Tonix Pharma Hldg Cmn Stk Q 10/16/2019 9:58:37 AM
TRIB Trinity Biotech PLC ADR Q 10/16/2019 10:02:19 AM
TEUM Pareteum Corporation Cmn Stk R 10/16/2019 10:02:24 AM
CIDM CINEDIGM CORP Q 10/16/2019 10:05:53 AM
GNMX Aevi Genomic Medicine Cmn R 10/16/2019 10:24:20 AM
VRAY ViewRay, Inc. Cm St Q 10/16/2019 10:31:32 AM
GRNQ Greenpro Capital Corp. Cmn Stk R 10/16/2019 10:32:27 AM
NVUS Novus Therapeutics, Inc. R 10/16/2019 10:39:06 AM
ESTR Estre Ambiental, Inc. Q 10/16/2019 10:42:03 AM
TDACW Trident Acquisitions Corp. WT R 10/16/2019 10:53:43 AM
TCCO Technical Communications Corp R 10/16/2019 11:00:37 AM
EVSIW Envision Solar Int WTS R 10/16/2019 11:02:57 AM
POAI Predictive Oncology Inc. R 10/16/2019 11:03:22 AM
WRLSR Pensare Acquisition Corp Right R 10/16/2019 11:07:43 AM
ALGRR Allegro Merger Corp. Right R 10/16/2019 11:15:55 AM
IMAC IMAC Holdings, Inc. Cmn Stk R 10/16/2019 11:21:20 AM
RLMD Relmada Therapeutics, Inc.CS R 10/16/2019 11:25:33 AM
MKGI Monaker Group CM R 10/16/2019 11:27:06 AM
IMRNW Immuron Limited R 10/16/2019 11:53:05 AM
CPST Capstone Turbine Corp R 10/16/2019 12:01:15 PM
AEYE AudioEye, Inc. CM ST R 10/16/2019 12:23:19 PM
ASNA Ascena Retail Group Cmn Stk Q 10/16/2019 12:24:30 PM
CHNR China Natural Resources, Inc. R 10/16/2019 12:49:27 PM
BELFB Bel Fuse Inc Cl B Q 10/16/2019 12:59:24 PM
COUP Coupa Software Inc Cmn Q 10/16/2019 1:21:34 PM
SMMCW South Mountain Merger Wts R 10/16/2019 1:24:06 PM
TBLTU ToughBuilt Indtrs Cl A Unit R 10/16/2019 1:29:22 PM
BROGR Twelve Seas Investment RT R 10/16/2019 1:31:27 PM
SPCB SuperCom, Ltd. R 10/16/2019 1:34:04 PM
CBLI Cleveland BioLabs Inc R 10/16/2019 1:44:03 PM
LLIT Lianluo Smart Limited R 10/16/2019 1:44:21 PM
OPHC OPTIMUMBANK HLDGS R 10/16/2019 1:51:03 PM
ZIOP ZIOPHARM Oncology Inc R 10/16/2019 1:51:09 PM
TBLTW ToughBuilt Ind Warrant R 10/16/2019 2:16:52 PM
THWWW Target Hospit Cp Wts R 10/16/2019 2:24:56 PM
GPAQW Gordon Pointe Acquisition WT R 10/16/2019 2:28:37 PM
SNNA Sienna Biopharmaceuticals Cmn Q 10/16/2019 2:34:12 PM
DEACW Diamond Eagle Acquisition WTS R 10/16/2019 2:41:22 PM
APPN Appian Corporation Cl A Cmn Q 10/16/2019 2:59:44 PM
PT Pintec Technology Hldg Ltd ADS Q 10/16/2019 3:15:27 PM
MOTS Motus GI Holdings, Inc. Cm St R 10/16/2019 3:26:46 PM
MDB MongoDB, Inc. Class A Cmn Stk Q 10/16/2019 3:45:15 PM
ABEO Abeona Therapeutics Inc. R 10/16/2019 3:52:11 PM
ALIM Alimera Sciences Inc Q 10/16/2019 3:55:50 PM
PPIH Perma-Pipe Intl Hldgs Q 10/16/2019 3:59:59 PM