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
Monday, September 23,2019 9/23/2019 4:15:00 AM

Symbol Security Name Market Category Trigger Time
HTGM HTG Molecular Diagnostics Cmn R 9/20/2019 9:30:00 AM
HCACW Hennessy Capital Acquis WT R 9/20/2019 9:30:00 AM
SMTX SMTC Corporation Q 9/20/2019 9:30:00 AM
TEUM Pareteum Corporation Cmn Stk R 9/20/2019 9:30:00 AM
MHLD Maiden Holdings, Ltd. Q 9/20/2019 9:30:04 AM
AMRH Ameri Holdings, Inc. Cm St R 9/20/2019 9:30:07 AM
AGFSW AgroFresh Solu Warrants Q 9/20/2019 9:30:53 AM
SAUC Diversified Restaurant Hldgs R 9/20/2019 9:31:01 AM
ZN Zion Oil & Gas Common Stock R 9/20/2019 9:32:20 AM
FTR Frontier Communications Corp Q 9/20/2019 9:37:55 AM
VIVE Viveve Medical, Inc. Cm St R 9/20/2019 9:38:16 AM
NAKD Naked Brand Group Limited Ord R 9/20/2019 9:39:29 AM
CUI CUI Global, Inc. Common Stock R 9/20/2019 9:39:33 AM
TKKSR TKK Symphony Acquisition RT R 9/20/2019 9:41:07 AM
GLG Bat Group, Inc. R 9/20/2019 9:46:49 AM
DSKEW Daseke, Inc. Warrant R 9/20/2019 9:53:28 AM
FPAYW FlexShopper, Inc. Wt R 9/20/2019 9:54:08 AM
THCBW Tuscan Holdings Corp.WTS R 9/20/2019 9:58:20 AM
STNLW Sentinel Energy Services WT R 9/20/2019 9:59:33 AM
ROKU Roku, Inc. Class A Common Stk Q 9/20/2019 9:59:34 AM
CTIB CTI Industries Corp R 9/20/2019 10:05:00 AM
KERNW Akerna Corp WT R 9/20/2019 10:07:24 AM
SUMR Summer Infant Inc. Cmn Stk R 9/20/2019 10:07:34 AM
GLACW Greenland Acquisition Corp WT R 9/20/2019 10:08:23 AM
WHLR Wheeler Real Estate Investment R 9/20/2019 10:08:43 AM
IMTE Integrated Media Tech ORDS R 9/20/2019 10:16:21 AM
ROSEW Rosehill Resources Inc. Wts R 9/20/2019 10:16:37 AM
SALM Salem Media Group, Inc. Cl A Q 9/20/2019 10:19:04 AM
AEMD Aethlon Medical Common R 9/20/2019 10:20:49 AM
WWR Westwater Resources, Inc. R 9/20/2019 10:23:00 AM
PTNR Partner Communications Co Ltd Q 9/20/2019 10:23:48 AM
SNOA Sonoma Pharmaceuticals R 9/20/2019 10:28:58 AM
DCAR DropCar, Inc. R 9/20/2019 10:29:58 AM
ECOR electroCore, Inc. Common Stk Q 9/20/2019 10:35:12 AM
TLGT Teligent, Inc. Common Stock Q 9/20/2019 10:45:04 AM
WINS Wins Finance Hldgs Ord Shs R 9/20/2019 10:52:37 AM
AEZS Aeterna Zentaris Inc. R 9/20/2019 11:01:27 AM
PEIX PACIFIC ETHANOL INC R 9/20/2019 11:01:53 AM
SBPH Spring Bank Pharmaceuticals CS R 9/20/2019 11:03:31 AM
USEG U S Energy Corp R 9/20/2019 11:05:13 AM
INSE Inspired Entertainment Cmn R 9/20/2019 11:06:11 AM
YRCW YRC Worldwide Inc Q 9/20/2019 11:17:59 AM
FRAN Francescas Holdings Corp Q 9/20/2019 11:18:43 AM
CHNR China Natural Resources, Inc. R 9/20/2019 11:21:21 AM
DMTKW DermTech, Inc. Warrant R 9/20/2019 11:23:20 AM
ONTX Onconova Therapeutics Inc R 9/20/2019 11:30:24 AM
EDTXW EdtechX Holdings Acq Wt R 9/20/2019 11:35:52 AM
VISL Vislink Tech Inc Common Stk R 9/20/2019 11:43:19 AM
EDSA Edesa Biotech Cm Shs R 9/20/2019 11:49:00 AM
BCDAW BioCardia, Inc. Wt R 9/20/2019 12:08:17 PM
EVSIW Envision Solar Int WTS R 9/20/2019 12:20:46 PM
BOXL Boxlight Corp Class A Cmn R 9/20/2019 12:26:34 PM
INMD InMode Ltd. ORD Q 9/20/2019 12:37:45 PM
GNUS Genius Brands Intl Inc R 9/20/2019 12:45:21 PM
AIHS Senmiao Technology Limited CM R 9/20/2019 12:53:01 PM
EYEN Eyenovia, Inc. CM R 9/20/2019 1:05:39 PM
IDYA IDEAYA Biosciences, Inc. Cmn Q 9/20/2019 1:34:28 PM
SINT SiNtx Technologies, Inc. R 9/20/2019 1:49:02 PM
TBLTW ToughBuilt Ind Warrant R 9/20/2019 1:58:55 PM
IRIX IRIDEX Corporation Q 9/20/2019 2:06:13 PM
NVLN Novelion Therapeutics Inc Q 9/20/2019 2:16:11 PM
BCYC Bicycle Therapeutics plc ADS Q 9/20/2019 2:17:09 PM
SCPH scPharmaceuticals Inc. Cmn Stk Q 9/20/2019 2:19:27 PM
DRIO DarioHealth Corp. Cmn Stk R 9/20/2019 2:21:48 PM
NCSM NCS Multistage Holdings CM Q 9/20/2019 2:23:25 PM
USAT USA Technologies Cmn Stk Q 9/20/2019 2:24:53 PM
HTBX Heat Biologics, Inc. Cmn Stk R 9/20/2019 2:28:17 PM
PT Pintec Technology Hldg Ltd ADS Q 9/20/2019 2:43:21 PM
TACOW Del Taco Restnts Warrants R 9/20/2019 2:50:14 PM
HBP Huttig Building Products, Inc. R 9/20/2019 3:13:30 PM
ASTC Astrotech Corporation R 9/20/2019 3:17:13 PM
WSTL Westell Technologies, Inc. R 9/20/2019 3:34:49 PM
APDN Applied DNA Sciences Cmn R 9/20/2019 3:39:21 PM
USATP USA Technologies, Inc. Q 9/20/2019 3:39:41 PM
VKTXW Viking Therapeutics, Inc. WTS R 9/20/2019 3:44:32 PM
BTAI BioXcel Therapeutics, Inc. Cmn R 9/20/2019 3:44:41 PM
REED Reeds, Inc. Common Stock R 9/20/2019 3:45:30 PM
ASNA Ascena Retail Group Cmn Stk Q 9/20/2019 3:47:19 PM
MICT MICT, Inc. Common Stock R 9/20/2019 3:47:48 PM
AREX Approach Resources Inc. Q 9/20/2019 3:49:52 PM
BRPAR Big Rock Partners Acq RT R 9/20/2019 3:52:43 PM
OPESW Opes Acquisition WT R 9/20/2019 3:54:38 PM
POLA Polar Power, Inc.CS R 9/20/2019 3:55:19 PM
BFC Bank First Corporation R 9/20/2019 3:55:22 PM
PRTH Priority Tech Hldgs Cmn R 9/20/2019 3:55:33 PM
NEPH Nephros, Inc. Common Stock R 9/20/2019 3:58:53 PM
FVE Five Star Senior Living Inc Cm R 9/20/2019 4:00:00 PM
WORX SCWorx Corp. R 9/20/2019 4:00:01 PM