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
Tuesday, July 17,2018 7/17/2018 4:15:22 AM

Symbol Security Name Market Category Trigger Time
IPCI Intellipharmaceutics Int Inc R 7/16/2018 9:30:00 AM
EYESW Second Sight Mdl Products Wt R 7/16/2018 9:30:00 AM
ABIL Ability Inc. R 7/16/2018 9:30:00 AM
BIOC Biocept Inc. R 7/16/2018 9:30:00 AM
INNT Innovate Biopharma Cmn R 7/16/2018 9:30:00 AM
BBOX Black Box Corporation Q 7/16/2018 9:30:00 AM
GSHTW Gores Holdings II, Inc. Wts R 7/16/2018 9:30:00 AM
PIXY ShiftPixy, Inc. CS R 7/16/2018 9:30:01 AM
IZEA IZEA Inc Common Stock R 7/16/2018 9:30:03 AM
ENTXW Entera Bio Ltd.WT R 7/16/2018 9:30:10 AM
IFMK iFresh Inc. Cm St R 7/16/2018 9:30:17 AM
OSUR OraSure Technologies Inc Q 7/16/2018 9:30:52 AM
BVSN BroadVision Inc R 7/16/2018 9:33:43 AM
LINK Interlink Electronics, Inc. CM R 7/16/2018 9:35:30 AM
LBIX Leading Brands Inc R 7/16/2018 9:35:35 AM
ONSIW Oncobiologics, Inc. Ser A Wt R 7/16/2018 9:36:24 AM
DISCB Discovery, Inc. Ser B Q 7/16/2018 9:36:50 AM
SSLJ SSLJ.com Limited Cl A Ord Sh R 7/16/2018 9:37:34 AM
JMU JMU Limited ADS Q 7/16/2018 9:47:26 AM
TTNP Titan Pharma Common Stock R 7/16/2018 9:49:36 AM
APEN Apollo Endosurgery, Inc. Cmn Q 7/16/2018 9:50:18 AM
BLIN Bridgeline Digital, Inc. R 7/16/2018 9:51:34 AM
ALT Altimmune, Inc. Common Stock Q 7/16/2018 9:53:43 AM
BLNKW Blink Charging Co. Wt R 7/16/2018 9:55:35 AM
ACIU Ac Immune SA CM Q 7/16/2018 9:57:28 AM
CTXR Citius Pharmaceuticals Cm St R 7/16/2018 9:57:48 AM
GOGO Gogo Inc. Common Stock Q 7/16/2018 10:01:36 AM
TMDI Titan Medical Inc. Ord Shs R 7/16/2018 10:02:55 AM
AMMA Alliance MMA, Inc. Cmn R 7/16/2018 10:03:18 AM
LMFA LM Funding America Cmn Stk R 7/16/2018 10:04:13 AM
GNMX Aevi Genomic Medicine Cmn Q 7/16/2018 10:10:27 AM
AEY ADDvantage Technologies Group Q 7/16/2018 10:13:06 AM
TMSR TMSR Holding Co Ltd Cmn R 7/16/2018 10:15:27 AM
MNGA MagneGas Corporation Cmn Stk R 7/16/2018 10:24:02 AM
SHLDW Sears Holdings Corporation Wrt Q 7/16/2018 10:25:58 AM
XBIO Xenetic Biosciences Cmn R 7/16/2018 10:38:40 AM
CLIRW ClearSign Combustion Cp Wrt R 7/16/2018 10:43:27 AM
SPCB SuperCom, Ltd. R 7/16/2018 10:52:58 AM
RWLK ReWalk Robotics Ltd Ord Shares R 7/16/2018 10:54:37 AM
KONE Kingtone Wirelessinfo Solution R 7/16/2018 11:02:57 AM
CRSP CRISPR Therapeutics AG CM Q 7/16/2018 11:03:02 AM
LGCYO Legacy Reserves Cum Pfd Sr B Q 7/16/2018 11:07:03 AM
CERCW Cerecor Inc. Cl A Wt R 7/16/2018 11:08:46 AM
PRTO Proteon Therapeutics Cm Stk Q 7/16/2018 11:11:55 AM
NVMM Novume Solutions, Inc. Cm St R 7/16/2018 11:12:56 AM
STLRW Stellar Acquisition III WRT R 7/16/2018 11:16:08 AM
TTPH Tetraphase Pharmaceuticals, In Q 7/16/2018 11:16:51 AM
HMNY Helios and Matheson Analytics R 7/16/2018 11:23:29 AM
NUROW NeuroMetrix, Inc. Wt R 7/16/2018 11:30:33 AM
SBBP Strongbridge Biopharma plc ORD Q 7/16/2018 11:32:38 AM
HJLI Hancock Jaffe Laboratories Cmn R 7/16/2018 11:34:29 AM
ROSEW Rosehill Resources Inc. Wts R 7/16/2018 11:41:13 AM
MOTS Motus GI Holdings, Inc. Cm St R 7/16/2018 11:47:15 AM
NFEC NF Energy Saving Corporation R 7/16/2018 11:55:30 AM
GEMP Gemphire Therapeutics CM Q 7/16/2018 11:56:16 AM
ASCMA Ascent Capital Group A Q 7/16/2018 12:24:01 PM
AMRN Amarin Corporation PLC ADS Q 7/16/2018 12:30:40 PM
NXTD Nxt-ID, Inc. Common Stock R 7/16/2018 12:30:42 PM
ABUS Arbutus Biopharma Cp Cmn Stk Q 7/16/2018 12:32:20 PM
CETXW Cemtrex Inc. WTS R 7/16/2018 12:37:32 PM
TRCH Torchlight Energy Rsrc Cmn R 7/16/2018 12:42:32 PM
MCRB Seres Therapeutics Cmn Stk Q 7/16/2018 12:44:58 PM
SGOC SGOCO Group, Ltd Ord Shr R 7/16/2018 12:59:06 PM
QURE uniQure NV Q 7/16/2018 1:29:49 PM
BVXVW BiondVax Pharmaceuticals Wts R 7/16/2018 1:33:02 PM
CMTA Clementia Pharmaceutical Cm St Q 7/16/2018 1:34:57 PM
CYTX Cytori Therapeutics Inc. R 7/16/2018 2:08:45 PM
EGAN eGain Corporation R 7/16/2018 2:09:19 PM
CDXC ChromaDex Corp CS R 7/16/2018 2:15:46 PM
SBGI Sinclair Broadcasting Group Q 7/16/2018 2:29:26 PM
AKAO Achaogen, Inc. Common Stock Q 7/16/2018 2:39:07 PM
BLNK Blink Charging Co.CS R 7/16/2018 2:46:13 PM
IPAS iPass Inc. Cmn Stk R 7/16/2018 2:58:15 PM
NTLA Intellia Therapeutics, Inc. CS Q 7/16/2018 2:58:23 PM
OPTT Ocean Power Technologies, Inc. R 7/16/2018 3:01:35 PM
JAGX Jaguar Health, Inc. Cmn R 7/16/2018 3:05:11 PM
CNET ChinaNet Online Holdings, Inc. R 7/16/2018 3:14:13 PM
OXBRW Oxbridge Re Hldgs Ltd Warrants R 7/16/2018 3:19:33 PM
MDGS Medigus Ltd ADS R 7/16/2018 3:20:36 PM
IMTE Integrated Media Tech ORDS R 7/16/2018 3:25:46 PM
ORPN Bioblast Pharma Ltd. R 7/16/2018 3:32:37 PM
CCRC China Customer Relations ORDS R 7/16/2018 3:49:47 PM
TSRO TESARO, Inc. Q 7/16/2018 3:51:48 PM
SNMX Senomyx Inc Q 7/16/2018 3:53:21 PM