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, January 21,2020 1/21/2020 4:15:28 AM

Symbol Security Name Market Category Trigger Time
DRRX DURECT Corporation R 1/17/2020 9:30:00 AM
ITRM Iterum Therapeutics plc ORD Q 1/17/2020 9:30:00 AM
GPAQW Gordon Pointe Acquisition WT R 1/17/2020 9:30:00 AM
LIFE aTyr Pharma, Inc. R 1/17/2020 9:30:00 AM
MGPI MGP Ingredients, Inc. Q 1/17/2020 9:30:00 AM
AEMD Aethlon Medical, Inc. R 1/17/2020 9:30:01 AM
TCON TRACON Pharmaceutical Cmn Stk Q 1/17/2020 9:30:05 AM
ESTR Estre Ambiental, Inc. Q 1/17/2020 9:30:08 AM
PECK The Peck Co Hldgs Cmn R 1/17/2020 9:30:37 AM
HYACW Haymaker Acq Corp. II Warrant R 1/17/2020 9:33:22 AM
SYRS Syros Pharmaceuticals CM Q 1/17/2020 9:34:59 AM
APEX Apex Global Brands Inc. R 1/17/2020 9:35:45 AM
RBZ Reebonz Hldg Ltd Q 1/17/2020 9:36:01 AM
JAN JanOne Inc. R 1/17/2020 9:36:52 AM
FAMI Farmmi, Inc. Ordinary Shs R 1/17/2020 9:38:36 AM
WISA Summit Wireless Tech Cmn R 1/17/2020 9:39:37 AM
CETX Cemtrex Inc. R 1/17/2020 9:40:08 AM
RAPT RAPT Therapeutics, Inc. Cmn Q 1/17/2020 9:41:49 AM
INAP Internap Corp Cmn Stk Q 1/17/2020 9:45:06 AM
LMPX LMP Automotive Holdings CS R 1/17/2020 9:45:20 AM
CHEKW Check-Cap Ltd. Srs A Wt R 1/17/2020 9:50:46 AM
CLRBZ Cellectar Biosciences Sr A WT R 1/17/2020 9:59:24 AM
ACMR ACM Research, Inc. Cl A Cmn Q 1/17/2020 10:14:55 AM
ROSEW Rosehill Resources Inc. Wts R 1/17/2020 10:15:10 AM
ARTLW Artelo Biosciences, Inc. WT R 1/17/2020 10:21:37 AM
BNTCW Benitec Biopharma Warrant R 1/17/2020 10:25:37 AM
THCAW Tuscan Holdings Corp. II Wt R 1/17/2020 10:25:47 AM
VIE Viela Bio, Inc. Common Stock Q 1/17/2020 10:32:08 AM
CSTL Castle Biosciences, Inc. Cmn Q 1/17/2020 10:34:21 AM
TBLTW ToughBuilt Ind Warrant R 1/17/2020 10:42:20 AM
LMFAW LM Funding America WT R 1/17/2020 10:43:33 AM
VTIQW VectoIQ Acquisition Corp.WT R 1/17/2020 10:44:01 AM
LLIT Lianluo Smart Limited R 1/17/2020 10:50:13 AM
IMAC IMAC Holdings, Inc. Cmn Stk R 1/17/2020 10:58:22 AM
DOGZ Dogness (International) Corpor Q 1/17/2020 10:59:04 AM
PTE PolarityTE, Inc. Cmn Stk R 1/17/2020 11:04:17 AM
USWSW U.S. Well Services, Inc. Wts R 1/17/2020 11:15:40 AM
WKHS Workhorse Group Common Stock R 1/17/2020 11:22:39 AM
SONGW Akazoo S.A. WTS R 1/17/2020 11:23:49 AM
EYEG Eyegate Pharmaceuticals Cm R 1/17/2020 11:24:58 AM
OPTT Ocean Power Technologies, Inc. R 1/17/2020 11:26:59 AM
CDTX Cidara Therapeutics Cmn Q 1/17/2020 11:30:06 AM
KGJI Kingold Jewelry Inc. Cmn R 1/17/2020 11:31:42 AM
OTLKW Outlook Therapeutics Ser A Wt R 1/17/2020 11:38:28 AM
FTR Frontier Communications Corp Q 1/17/2020 11:55:22 AM
VBIV VBI Vaccines, Inc. Cm Stk R 1/17/2020 11:57:23 AM
HHHHR Wealthbridge Acquistn Ltd Rts R 1/17/2020 11:58:23 AM
HHHHW Wealthbridge Acquisitn Ltd Wts R 1/17/2020 11:58:28 AM
ALACR Alberton Acq Corp Rights R 1/17/2020 12:05:43 PM
THCBW Tuscan Holdings Corp.WTS R 1/17/2020 12:10:27 PM
SNSS Sunesis Pharmaceuticals Inc R 1/17/2020 12:14:39 PM
ESTRW Estre Ambiental, Inc. Q 1/17/2020 12:16:05 PM
NFINW Netfin Acquisition Corp. Wts R 1/17/2020 12:17:29 PM
FLLCR Fellazo Inc. RT R 1/17/2020 12:32:07 PM
AMRH Ameri Holdings, Inc. R 1/17/2020 12:35:02 PM
FLLCW Fellazo Inc. WTS R 1/17/2020 12:38:00 PM
NEPH Nephros, Inc. Common Stock R 1/17/2020 12:55:01 PM
MDGSW Medigus Ltd. Ser C Wts R 1/17/2020 12:59:37 PM
GNUS Genius Brands Intl Inc R 1/17/2020 1:04:53 PM
DGLY Digital Ally, Inc. Cmn R 1/17/2020 1:06:28 PM
ZFGN Zafgen Inc Common Stock Q 1/17/2020 1:07:58 PM
HSDT Helius Medical Tech Cl A Cmn R 1/17/2020 1:13:53 PM
AGFSW AgroFresh Solu Warrants Q 1/17/2020 1:14:36 PM
LATNW Union Acquisition Corp. II Wt R 1/17/2020 1:26:41 PM
IZEA IZEA Worldwide, Inc. Cmn Stk R 1/17/2020 1:31:12 PM
SNOAW Sonoma Pharma Wts R 1/17/2020 1:36:19 PM
CLPS CLPS Incorporation CM Q 1/17/2020 1:54:42 PM
FLNT Fluent, Inc. Q 1/17/2020 2:06:57 PM
TRIL Trillium Therapeutics Cmn Shs R 1/17/2020 2:31:30 PM
HGSH China HGS Real Estate Cmn Stk R 1/17/2020 2:36:35 PM
CUE Cue Biopharma, Inc. CM R 1/17/2020 2:56:11 PM
ARYAW ARYA Sciences Acquisiton WT R 1/17/2020 3:21:51 PM
AGBAR AGBA Acquisition Limited RT R 1/17/2020 3:25:22 PM
ALPN Alpine Immune Sciences Cmn Q 1/17/2020 3:27:56 PM
ALTM Altus Midstream Co Cl A Cmn Q 1/17/2020 3:35:08 PM
EYESW Second Sight Mdl Products Wt R 1/17/2020 3:40:16 PM
RUBY Rubius Therapeutics Cm St Q 1/17/2020 3:45:17 PM
AACG ATA Creativity Global Q 1/17/2020 3:47:27 PM
CETXW Cemtrex Inc. WTS R 1/17/2020 3:48:41 PM
TKKSW TKK Symphony Acquisition WT R 1/17/2020 3:52:34 PM
MYSZ My Size, Inc. Cmn Stk R 1/17/2020 3:58:27 PM
FSRVW FinServ Acquisition Corp.WT R 1/17/2020 3:59:32 PM
FMCIW Forum Merger II Corporation WT R 1/17/2020 3:59:57 PM