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, July 19,2019 7/19/2019 4:15:26 AM

Symbol Security Name Market Category Trigger Time
APDN Applied DNA Sciences Cmn R 7/18/2019 9:30:00 AM
AETI American Electric Technologies R 7/18/2019 9:30:00 AM
XELB Xcel Brands, Inc. Cmn Stk Q 7/18/2019 9:30:00 AM
TRNX Taronis Technologies Cmn Stk R 7/18/2019 9:30:00 AM
LLNW Limelight Networks, Inc. Q 7/18/2019 9:30:00 AM
NFLX Netflix, Inc. Q 7/18/2019 9:30:00 AM
EYESW Second Sight Mdl Products Wt R 7/18/2019 9:30:00 AM
KERNW Akerna Corp WT R 7/18/2019 9:30:00 AM
IIIN Insteel Industries Inc Q 7/18/2019 9:30:00 AM
SGBX SG Blocks, Inc. Common Stock R 7/18/2019 9:30:06 AM
GHSI Guardion Health Sciences Cm St R 7/18/2019 9:30:11 AM
REKR Rekor Systems, Inc. Cmn Stk R 7/18/2019 9:30:13 AM
USIO Usio, Inc. Common Stock R 7/18/2019 9:30:21 AM
KERN Akerna Cp Common Stock R 7/18/2019 9:30:32 AM
IMBI iMedia Brands, Inc. R 7/18/2019 9:31:01 AM
LKCO Luokung Technology Ord Shs R 7/18/2019 9:31:26 AM
AZRX AzurRx BioPharma, Inc. Cm St R 7/18/2019 9:32:50 AM
AMRN Amarin Corporation PLC ADS Q 7/18/2019 9:33:06 AM
SIEB Siebert Financial Corp R 7/18/2019 9:33:22 AM
VISL Vislink Tech Inc Common Stk R 7/18/2019 9:34:44 AM
PETZ TDH Holdings, Inc. Cmn Shrs R 7/18/2019 9:34:46 AM
NURO NeuroMetrix, Inc. Cmn R 7/18/2019 9:36:55 AM
EPIX ESSA Pharma Inc. Common R 7/18/2019 9:37:47 AM
EMMA Emmaus Life Sci Cmn R 7/18/2019 9:38:04 AM
MMDMW Modern Media Acquisition WRT R 7/18/2019 9:39:05 AM
TEDU Tarena International Inc ADR Q 7/18/2019 9:40:10 AM
CYTXZ Cytori Therapeutics Srs S Wts R 7/18/2019 9:40:16 AM
DLPN Dolphin Entertainment, CS R 7/18/2019 9:41:30 AM
CAPR Capricor Therapeutics, Inc. R 7/18/2019 9:41:54 AM
TACOW Del Taco Restnts Warrants R 7/18/2019 9:45:32 AM
TMSR TMSR Holding Co Ltd Cmn R 7/18/2019 9:47:35 AM
CNSL Consolidated Communications Ho Q 7/18/2019 9:49:01 AM
AGFSW AgroFresh Solu Warrants Q 7/18/2019 9:49:56 AM
EGBN Eagle Bancorp Inc R 7/18/2019 9:53:19 AM
FRAN Francescas Holdings Corp Q 7/18/2019 9:57:08 AM
SLS SELLAS Life Sciences Gp Cmn R 7/18/2019 10:02:25 AM
BIMI NF Energy Saving Corporation R 7/18/2019 10:02:26 AM
IDSA Industrial Services of America R 7/18/2019 10:05:04 AM
JAGX Jaguar Health, Inc. Cmn R 7/18/2019 10:05:28 AM
USWS U.S. Well Services Inc Cl A Cm R 7/18/2019 10:13:33 AM
BRACR Black Ridge Acq Corp. RT R 7/18/2019 10:18:17 AM
AIHS Senmiao Technology Limited CM R 7/18/2019 10:23:33 AM
MTC MMTec, Inc. Cm Sh R 7/18/2019 10:23:39 AM
RVLT Revolution Lighting Tech Cmn R 7/18/2019 10:25:27 AM
XBIO Xenetic Biosciences Cmn R 7/18/2019 10:34:53 AM
PHUNW Phunware, Inc. Warrants R 7/18/2019 10:35:06 AM
ADVM Adverum Biotechnologies Q 7/18/2019 10:37:34 AM
HAIR Restoration Robotics, Inc. CM Q 7/18/2019 10:39:20 AM
SFET Safe-T Group Ltd ADS R 7/18/2019 10:43:40 AM
IMRNW Immuron Limited R 7/18/2019 10:50:43 AM
ADTN ADTRAN Inc Q 7/18/2019 10:52:18 AM
VERU Veru Inc. R 7/18/2019 10:55:21 AM
AMCIW AMCI Acquisition Corp. Warrant R 7/18/2019 10:57:55 AM
FCEL FuelCell Energy, Inc. Q 7/18/2019 10:59:01 AM
MDJH MDJM LTD ORD R 7/18/2019 11:00:39 AM
ZBRA Zebra Technologies Corporation Q 7/18/2019 11:08:35 AM
OPTN OptiNose, Inc. Cm St Q 7/18/2019 11:20:00 AM
UMRX Unum Therapeutics Inc. CM Q 7/18/2019 11:21:20 AM
DRIOW DarioHealth Corp. Wts R 7/18/2019 11:26:54 AM
LLIT Lianluo Smart Limited R 7/18/2019 11:28:58 AM
EIDX Eidos Therapeutics, Inc. Cmn Q 7/18/2019 11:34:21 AM
DNJR Golden Bull Limited Ord Shs R 7/18/2019 11:38:48 AM
FAMI Farmmi, Inc. Ordinary Shs R 7/18/2019 11:42:06 AM
WRLSR Pensare Acquisition Corp Right R 7/18/2019 11:46:25 AM
UPL Ultra Petroleum Corp. Cmn Stk Q 7/18/2019 11:49:35 AM
DVAX Dynavax Technologies Corp R 7/18/2019 11:52:38 AM
CRIS Curis Inc. Q 7/18/2019 11:54:01 AM
BKEP Blueknight Energy Partners LP Q 7/18/2019 11:58:24 AM
ROSEW Rosehill Resources Inc. Wts R 7/18/2019 12:00:42 PM
CARA Cara Therapeutics, Inc. Q 7/18/2019 12:17:15 PM
TOUR Tuniu Corporation ADS Q 7/18/2019 12:39:04 PM
AVGR Avinger, Inc. R 7/18/2019 12:47:03 PM
KXIN Kaixin Auto Holdings R 7/18/2019 12:52:22 PM
DAVE Famous Dave's of America Inc Q 7/18/2019 1:01:53 PM
SCON SUPERCONDUCTOR TECH R 7/18/2019 1:06:01 PM
RPAYW Repay Holdings Corporation Wt R 7/18/2019 1:14:15 PM
NDRAW ENDRA Life Sciences Inc. WT R 7/18/2019 1:16:13 PM
SGLB Sigma Labs, Inc. Cm St R 7/18/2019 1:31:27 PM
BBCP Concrete Pumping Cm Stk R 7/18/2019 1:35:25 PM
NVLN Novelion Therapeutics Inc Q 7/18/2019 1:38:02 PM
GPAQW Gordon Pointe Acquisition WT R 7/18/2019 1:38:05 PM
SCOR comScore, Inc. Common Stock Q 7/18/2019 1:43:03 PM
NAKD Naked Brand Group Limited Ord R 7/18/2019 1:55:57 PM
LIFE aTyr Pharma, Inc. R 7/18/2019 2:14:05 PM
RNET RigNet, Inc. Q 7/18/2019 2:22:06 PM
RETO ReTo Eco-Solutions, Inc. Cm St R 7/18/2019 2:40:11 PM
DSKEW Daseke, Inc. Warrant R 7/18/2019 2:51:39 PM
NTRP Neurotrope, Inc. Cmn Stk R 7/18/2019 2:51:44 PM
MARK Remark Hldgs Inc. Cmn Stk R 7/18/2019 2:58:28 PM
EAST Eastside Distilling, Inc. CM R 7/18/2019 3:00:24 PM
NVTR Nuvectra Corp Cm Stk Q 7/18/2019 3:07:53 PM
OSN Ossen Innovation Co Ltd R 7/18/2019 3:08:55 PM
TCRR TCR2 Therapeutics Cmn Stk Q 7/18/2019 3:14:51 PM
LIVX LiveXLive Media, Inc. Cm St R 7/18/2019 3:15:18 PM
BRPAR Big Rock Partners Acq RT R 7/18/2019 3:15:25 PM
ADXS Advaxis, Inc. Common Stock Q 7/18/2019 3:17:15 PM
AVXL Anavex Life Sciences Cmn R 7/18/2019 3:20:14 PM
CFRX Contrafect Corp Common R 7/18/2019 3:35:40 PM
BRQS Borqs Tech Inc Ord Shs R 7/18/2019 3:35:42 PM
BNGOW Bionano Genomics, Inc.WT R 7/18/2019 3:36:03 PM
ENTX Entera Bio Ltd. Ord Shs R 7/18/2019 3:38:54 PM
AMBCW Ambac Financial Group, Inc. Q 7/18/2019 3:39:35 PM
KBLMW KBL Merger Corp. IV WTS R 7/18/2019 3:40:47 PM
DTSS Datasea Inc. CS R 7/18/2019 3:41:43 PM
MMDMR Modern Media Acquisition RT R 7/18/2019 3:44:16 PM
TRCH Torchlight Energy Rsrc Cmn R 7/18/2019 3:46:10 PM
KBLMR KBL Merger Corp. IV Rights R 7/18/2019 3:46:48 PM
KZR Kezar Life Sciences, Inc. Cm Q 7/18/2019 3:47:34 PM
FBIO Fortress Biotech, Inc. R 7/18/2019 3:47:53 PM
SQBG Sequential Brands Group Cmn R 7/18/2019 3:50:51 PM
IGLD Internet Gold-Gold Lines Ltd Q 7/18/2019 3:52:56 PM
EDSA Edesa Biotech Cm Shs R 7/18/2019 3:54:03 PM