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, March 21,2019 3/21/2019 4:30:24 PM

Symbol Security Name Market Category Trigger Time
OTLKW Outlook Therapeutics Ser A Wt R 3/20/2019 9:30:00 AM
SHIP Seanergy Maritime Hld Corp R 3/20/2019 9:30:00 AM
BCOM B Communications Ltd Q 3/20/2019 9:30:00 AM
PULM Pulmatrix, Inc. Cmn Stk R 3/20/2019 9:30:00 AM
JASNW Jason Industries, Inc. Warrant R 3/20/2019 9:30:00 AM
PHUN Phunware, Inc. Common Stock R 3/20/2019 9:30:00 AM
IGLD Internet Gold-Gold Lines Ltd Q 3/20/2019 9:30:00 AM
CNTY Century Casinos Inc R 3/20/2019 9:30:05 AM
MYOS MYOS RENS Tech Cmn R 3/20/2019 9:31:34 AM
HSGX Histogenics Corp Cmn Stk R 3/20/2019 9:31:59 AM
PHCF Puhui Wealth Inv Mgmt Ord R 3/20/2019 9:32:42 AM
GNPX Genprex, Inc. CM R 3/20/2019 9:33:50 AM
GLBS Globus Maritime Limited R 3/20/2019 9:33:53 AM
AKTX Akari Therapeutics Plc ADR R 3/20/2019 9:34:29 AM
CLRB Cellectar Biosciences, Inc. R 3/20/2019 9:35:25 AM
TENX Tenax Therapeutics, Inc. R 3/20/2019 9:35:42 AM
AYTU Aytu BioScience, Inc. R 3/20/2019 9:35:43 AM
IMACW IMAC Holdings, Inc. Warrant R 3/20/2019 9:39:05 AM
VXRT Vaxart, Inc. R 3/20/2019 9:40:15 AM
QFIN 360 Finance, Inc. ADS Q 3/20/2019 9:40:53 AM
DLPNW Dolphin Entertainment, WTS R 3/20/2019 9:41:04 AM
IMAC IMAC Holdings, Inc. Cmn Stk R 3/20/2019 9:41:19 AM
WPRT Westport Fuel Systems Inc Q 3/20/2019 9:41:57 AM
AMRS Amyris, Inc. Q 3/20/2019 9:44:13 AM
LMFAW LM Funding America WT R 3/20/2019 9:46:14 AM
GLACR Greenland Acquisition Corp RT R 3/20/2019 9:47:38 AM
FTACW FinTech Acquisition Corp. WT R 3/20/2019 9:50:26 AM
HAIR Restoration Robotics, Inc. CM Q 3/20/2019 9:58:30 AM
TRMD TORM plc CLACOM Q 3/20/2019 10:01:50 AM
ALT Altimmune, Inc. Q 3/20/2019 10:06:06 AM
BPTH Bio-Path Holdings, Inc. R 3/20/2019 10:07:30 AM
NXTDW Nxt-ID, Inc. Warrant R 3/20/2019 10:08:43 AM
FCEL FuelCell Energy, Inc. Q 3/20/2019 10:09:18 AM
OXBR Oxbridge Re Hldgs Ord Shares R 3/20/2019 10:10:22 AM
AVGR Avinger, Inc. R 3/20/2019 10:17:13 AM
SRNE Sorrento Therapeutics Cmn R 3/20/2019 10:17:56 AM
LPTX Leap Therapeutics Inc Cmn Stk Q 3/20/2019 10:27:07 AM
MARK Remark Hldgs Inc. Cmn Stk R 3/20/2019 10:27:53 AM
LIFE aTyr Pharma, Inc. Cm R 3/20/2019 10:31:34 AM
SHIPW Seanergy Maritime Holdings Cor R 3/20/2019 10:35:51 AM
SLNO Soleno Therapeutics, Inc. R 3/20/2019 10:38:02 AM
SMTX SMTC Corporation Q 3/20/2019 10:38:43 AM
HUNTW Hunter Maritime Acquisition W R 3/20/2019 10:43:41 AM
BWMCW Boxwood Merger Corp.WTS R 3/20/2019 10:46:30 AM
JSYNW Jensyn Acquistion Corp. WT R 3/20/2019 10:50:39 AM
ICON Iconix Brand Group, Inc. Q 3/20/2019 10:59:00 AM
BRACR Black Ridge Acq Corp. RT R 3/20/2019 11:00:04 AM
CTXRW Citius Pharmaceuticals Wt R 3/20/2019 11:02:00 AM
FRTA Forterra Inc CM Q 3/20/2019 11:05:14 AM
CLRBW Cellectar Biosciences Wts R 3/20/2019 11:15:49 AM
AMRHW Ameri Holdings, Inc. Wt R 3/20/2019 11:16:39 AM
BIOS BioScrip, Inc. Q 3/20/2019 11:21:36 AM
OTLK Outlook Therapeutics Cm St R 3/20/2019 12:00:28 PM
HIIQ Health Insurance Innovations, Q 3/20/2019 12:02:31 PM
ZIONW Zions Bancorporation Wts NA Q 3/20/2019 12:06:21 PM
MRSN Mersana Therapeutics CM Q 3/20/2019 12:18:21 PM
NCTY The9 Ltd ADS R 3/20/2019 12:20:26 PM
SURF Surface Oncology, Inc. Q 3/20/2019 12:34:39 PM
MGTA Magenta Therapeutics Cmn Q 3/20/2019 12:45:04 PM
SEEL Seelos Therapeutics, Inc. R 3/20/2019 12:52:21 PM
WTRH Waitr Holdings Inc. Cmn Stk Q 3/20/2019 12:58:05 PM
MESO Mesoblast Limited ADS Q 3/20/2019 1:41:21 PM
ARPO Aerpio Pharmaceuticals Cmn Stk R 3/20/2019 1:43:44 PM
VIOT Viomi Technology Co., Ltd ADS Q 3/20/2019 1:59:29 PM
JAGX Jaguar Health, Inc. Cmn R 3/20/2019 2:13:09 PM
LQDA Liquidia Technologies, Inc Cmn R 3/20/2019 2:21:04 PM
CLRBZ Cellectar Biosciences Sr A WT R 3/20/2019 2:42:52 PM
PAVMZ PAVmed Inc. Wt Series Z R 3/20/2019 2:54:00 PM
BBCP Concrete Pumping Cm Stk R 3/20/2019 2:54:10 PM
DFBHW DFB Healthcare Acquisitions WT R 3/20/2019 3:06:54 PM
OXBRW Oxbridge Re Hldgs Ltd Warrants R 3/20/2019 3:09:23 PM
TORC resTORbio, Inc. CM Q 3/20/2019 3:19:05 PM
AGFSW AgroFresh Solu Warrants Q 3/20/2019 3:30:57 PM
COOP Mr. Cooper Grp Inc Cmn Stk R 3/20/2019 3:32:32 PM
BNGOW Bionano Genomics, Inc.WT R 3/20/2019 3:51:01 PM
TDACW Trident Acquisitions Corp. WT R 3/20/2019 3:56:22 PM
SGBX SG Blocks, Inc. Common Stock R 3/20/2019 3:58:23 PM
NEXT NextDecade Corporation Cmn R 3/20/2019 3:59:30 PM
HJLIW Hancock Jaffe Laboratories Wts R 3/20/2019 3:59:38 PM
STAF Staffing 360 Solutions Cmn R 3/21/2019 9:30:00 AM
RAVN Raven Industries, Inc. Q 3/21/2019 9:30:00 AM
EYESW Second Sight Mdl Products Wt R 3/21/2019 9:30:00 AM
BIIB Biogen Inc. Common Stk Q 3/21/2019 9:30:00 AM
PXS Pyxis Tankers Inc Common Stk R 3/21/2019 9:30:00 AM
BPTH Bio-Path Holdings, Inc. R 3/21/2019 9:30:00 AM
CLRBW Cellectar Biosciences Wts R 3/21/2019 9:30:00 AM
AMRHW Ameri Holdings, Inc. Wt R 3/21/2019 9:30:00 AM
LQDA Liquidia Technologies, Inc Cmn R 3/21/2019 9:30:01 AM
CSIQ Canadian Solar Inc. Q 3/21/2019 9:30:01 AM
TRMD TORM plc CLACOM Q 3/21/2019 9:30:01 AM
TYHT Shineco Inc Common Stock R 3/21/2019 9:30:02 AM
AVGR Avinger, Inc. R 3/21/2019 9:30:02 AM
AQB AquaBounty Technologies CS R 3/21/2019 9:30:02 AM
ESTR Estre Ambiental, Inc. Q 3/21/2019 9:30:05 AM
OPGN OpGen, Inc. Common Stock R 3/21/2019 9:30:07 AM
XFOR X4 Pharmaceuticals R 3/21/2019 9:30:07 AM
JAGX Jaguar Health, Inc. Cmn R 3/21/2019 9:32:40 AM
DMPI DelMar Pharma Common Stock R 3/21/2019 9:33:12 AM
QADA QAD Inc. Q 3/21/2019 9:33:25 AM
AMRH Ameri Holdings, Inc. Cm St R 3/21/2019 9:35:31 AM
PHCF Puhui Wealth Inv Mgmt Ord R 3/21/2019 9:36:18 AM
HEBT Hebron Technology Co Cl A Cmn R 3/21/2019 9:37:53 AM
DFVS iPath US Treasury 5 Year Bear Q 3/21/2019 9:40:12 AM
MTFB Motif Bio plc ADR R 3/21/2019 9:41:09 AM
SHIP Seanergy Maritime Hld Corp R 3/21/2019 9:43:04 AM
OTLKW Outlook Therapeutics Ser A Wt R 3/21/2019 9:47:50 AM
EYEGW Eyegate Pharmaceuticals Wts R 3/21/2019 9:53:28 AM
TWMC Trans World Entertainment Cp Q 3/21/2019 9:54:17 AM
OXBRW Oxbridge Re Hldgs Ltd Warrants R 3/21/2019 10:01:06 AM
GLG China Bat Group, Inc. R 3/21/2019 10:05:59 AM
AREX Approach Resources Inc. Q 3/21/2019 10:07:15 AM
ADILW Adial Pharmaceuticals Warrant R 3/21/2019 10:11:37 AM
VISL Vislink Tech Inc Common Stk R 3/21/2019 10:11:44 AM
MTC MMTec, Inc. Cm Sh R 3/21/2019 10:15:35 AM
MARK Remark Hldgs Inc. Cmn Stk R 3/21/2019 10:24:43 AM
IMTE Integrated Media Tech ORDS R 3/21/2019 10:30:41 AM
HHHHR Wealthbridge Acquistn Ltd Rts R 3/21/2019 10:31:46 AM
JASNW Jason Industries, Inc. Warrant R 3/21/2019 10:36:18 AM
AMRS Amyris, Inc. Q 3/21/2019 10:42:42 AM
CMSSW CM Seven Star Acquisition WT R 3/21/2019 10:44:57 AM
YRIV Yangtze Riv Pt & Log Ltd Q 3/21/2019 10:52:16 AM
ZYNE Zynerba Pharmaceuticals CS Q 3/21/2019 10:54:00 AM
FCSC Fibrocell Science Inc. R 3/21/2019 10:54:52 AM
LYL Dragon Victory Inter Ord Sh R 3/21/2019 10:59:47 AM
LENS Presbia PLC Ordinary Shs R 3/21/2019 11:03:31 AM
ARYAW ARYA Sciences Acquisiton WT R 3/21/2019 11:13:11 AM
GLACR Greenland Acquisition Corp RT R 3/21/2019 11:25:41 AM
OSS One Stop Systems CM R 3/21/2019 11:29:22 AM
VEACW Vantage Energy Acquisition WT R 3/21/2019 11:32:02 AM
CNACW Constellation Alpha Capital Wt R 3/21/2019 11:35:32 AM
PULM Pulmatrix, Inc. Cmn Stk R 3/21/2019 11:39:10 AM
ALACW Alberton Acquisition Corp WT R 3/21/2019 11:48:34 AM
ALIM Alimera Sciences Inc Q 3/21/2019 11:51:37 AM
GPAQW Gordon Pointe Acquisition WT R 3/21/2019 11:52:08 AM
CHMA Chiasma, Inc. Common Stk Q 3/21/2019 11:57:06 AM
GRNQ Greenpro Capital Corp. Cmn Stk R 3/21/2019 12:00:57 PM
TDACW Trident Acquisitions Corp. WT R 3/21/2019 12:05:49 PM
OASM Oasmia Pharmaceutical AB ADS R 3/21/2019 12:07:07 PM
IEAWW Infrastructure & Enrgy Alt Wt R 3/21/2019 12:25:54 PM
EPIX ESSA Pharma Inc. Common R 3/21/2019 12:27:25 PM
PHII Petroleum Helicopters Inc Q 3/21/2019 12:33:03 PM
MLNT Melinta Therapeutics, Inc Q 3/21/2019 12:40:46 PM
AMRWW Alta Mesa Resources, Inc. Wts R 3/21/2019 12:46:54 PM
HUNTW Hunter Maritime Acquisition W R 3/21/2019 12:50:35 PM
WRLSW Pensare Acquisition Corp WT R 3/21/2019 1:15:16 PM
CFFAW CF Finance Acquisition Wt R 3/21/2019 1:15:29 PM
HARP Harpoon Therapeutics, Inc. CS Q 3/21/2019 1:18:04 PM
NH NantHealth, Inc. CM ST Q 3/21/2019 1:18:08 PM
TKKSW TKK Symphony Acquisition WT R 3/21/2019 1:20:14 PM
STNLW Sentinel Energy Services WT R 3/21/2019 1:22:12 PM
MMDMR Modern Media Acquisition RT R 3/21/2019 1:26:50 PM
BLCM Bellicum Pharmaceuticals Comm Q 3/21/2019 1:37:01 PM
ALACR Alberton Acq Corp Rights R 3/21/2019 1:40:22 PM
MKGI Monaker Group CM R 3/21/2019 1:58:06 PM
BSGM BioSig Technologies Cmn Stk R 3/21/2019 2:00:25 PM
SELB Selecta Biosciences Common S Q 3/21/2019 2:05:08 PM
SRTSW Sensus Healthcare WT R 3/21/2019 2:05:51 PM
SIC Select Interior Con Cl A R 3/21/2019 2:09:37 PM
DLPNW Dolphin Entertainment, WTS R 3/21/2019 2:12:33 PM
ALRN Aileron Therapeutics, Inc. CS Q 3/21/2019 2:23:50 PM
ALGRW Allegro Merger Corp. Wt R 3/21/2019 2:31:39 PM
CYTK CYTOKINETICS Q 3/21/2019 2:42:00 PM
ADMA ADMA Biologics Inc Com R 3/21/2019 2:44:41 PM
SCACW Saban Capital Acquisition WT R 3/21/2019 2:50:44 PM
FBIO Fortress Biotech, Inc. R 3/21/2019 2:53:18 PM
ANDAW Andina Acquisition Corp III Wt R 3/21/2019 2:54:57 PM
ASNA Ascena Retail Group Cmn Stk Q 3/21/2019 2:59:03 PM
RBZ Reebonz Hldg Ltd R 3/21/2019 3:02:56 PM
TZACW Tenzing Acquisition Corp. Wts R 3/21/2019 3:14:05 PM
UNAM Unico American Corporation Q 3/21/2019 3:16:22 PM
CYTX Cytori Therapeutics Inc. R 3/21/2019 3:18:02 PM
JSYNW Jensyn Acquistion Corp. WT R 3/21/2019 3:20:02 PM
SFET Safe-T Group Ltd ADS R 3/21/2019 3:26:12 PM
TRVN Trevena, Inc. Q 3/21/2019 3:30:06 PM
NAKD Naked Brand Group Limited Ord R 3/21/2019 3:34:04 PM
RIOT Riot Blockchain, Inc. R 3/21/2019 3:45:06 PM
CFMS Conformis, Inc. CS Q 3/21/2019 3:51:43 PM
SES Synthesis Energy Sytems Inc R 3/21/2019 3:52:06 PM
QADB QAD Inc Class B Q 3/21/2019 3:54:34 PM
TMCXW Trinity Merger Corp. WTS R 3/21/2019 3:54:40 PM
RVEN Reven Housing REIT, Inc. R 3/21/2019 3:59:29 PM
MDCA MDC Partners Inc Q 3/21/2019 3:59:44 PM