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, November 16,2018 11/16/2018 4:30:21 PM

Symbol Security Name Market Category Trigger Time
MARK Remark Hldgs Inc. Cmn Stk R 11/15/2018 9:30:00 AM
ABIO ARCA BIOPHARMA, INC. R 11/15/2018 9:30:00 AM
SORL SORL Auto Parts, Inc. Q 11/15/2018 9:30:00 AM
OHAI OHA Investment Corp Cmn Stk Q 11/15/2018 9:30:00 AM
APVO Aptevo Therapeutics CS Q 11/15/2018 9:30:00 AM
PXS Pyxis Tankers Inc Common Stk R 11/15/2018 9:30:00 AM
SOLO Electrameccanica Vehicles Cmn R 11/15/2018 9:30:00 AM
CDTI CDTI Advanced Materials R 11/15/2018 9:30:00 AM
NVCN Neovasc Inc. Cmn Shs R 11/15/2018 9:30:00 AM
IZEA IZEA Worldwide, Inc. Cmn Stk R 11/15/2018 9:30:00 AM
HSDT Helius Medical Tech Cl A Cmn R 11/15/2018 9:30:00 AM
RVLT Revolution Lighting Tech Cmn R 11/15/2018 9:30:00 AM
AKER Akers Biosciences Inc. R 11/15/2018 9:30:01 AM
LPLA LPL Financial Holdings Cmn Q 11/15/2018 9:30:08 AM
NTAP NetApp, Inc. Q 11/15/2018 9:30:12 AM
CYTX Cytori Therapeutics Inc. R 11/15/2018 9:30:30 AM
SOLOW Electrameccanica Vehicles Wts R 11/15/2018 9:30:49 AM
CAPR Capricor Therapeutics Cmn R 11/15/2018 9:31:00 AM
TTNP Titan Pharma Common Stock R 11/15/2018 9:31:24 AM
CIDM CINEDIGM CORP Q 11/15/2018 9:31:51 AM
ESES Eco-Stim Energy Sltns Cmn R 11/15/2018 9:31:51 AM
SLS SELLAS Life Sciences Gp Cmn R 11/15/2018 9:31:53 AM
LMFA LM Funding America Cmn Stk R 11/15/2018 9:32:16 AM
AYTU Aytu BioScience, Inc. R 11/15/2018 9:32:39 AM
MNGA MagneGas Applied Tch Sltns Cm R 11/15/2018 9:32:47 AM
ABTX Allegiance Bancshares, Inc. CS Q 11/15/2018 9:32:51 AM
PHAS PhaseBio Pharma Common Stk Q 11/15/2018 9:33:56 AM
FVE Five Star Senior Living Inc Cm R 11/15/2018 9:34:01 AM
TOPS TOP Ships Inc R 11/15/2018 9:34:07 AM
SCVL Shoe Carnival Inc Q 11/15/2018 9:35:54 AM
ANY Sphere 3D Corp. R 11/15/2018 9:36:55 AM
BLIN Bridgeline Digital, Inc. R 11/15/2018 9:39:08 AM
CYHHZ Community Health Systems, Inc. Q 11/15/2018 9:39:31 AM
MHLD Maiden Holdings, Ltd. Q 11/15/2018 9:40:38 AM
PRPL Purple Innovation, Inc. R 11/15/2018 9:40:48 AM
EQ Equillium, Inc. Common Stock Q 11/15/2018 9:42:20 AM
ARAV Aravive, Inc. Cmn Stk Q 11/15/2018 9:42:21 AM
PRTHW Priority Technology Hldgs Wt R 11/15/2018 9:43:52 AM
RSLS ReShape Lifesciences Inc. R 11/15/2018 9:45:37 AM
ATIS Attis Industries Inc. Cmn Stk R 11/15/2018 9:46:22 AM
WHLR Wheeler Real Estate Investment R 11/15/2018 9:46:53 AM
PAVM PAVmed Inc. Common Stock R 11/15/2018 9:47:49 AM
RETO ReTo Eco-Solutions, Inc. Cm St R 11/15/2018 9:54:05 AM
IRIX IRIDEX Corporation Q 11/15/2018 9:55:47 AM
PRAN Prana Biotechnology Ltd. ADS R 11/15/2018 9:56:05 AM
OHRP Ohr Pharmaceutical Inc Cmn Stk R 11/15/2018 9:56:23 AM
IPWR Ideal Power Inc. R 11/15/2018 9:57:02 AM
GLBS Globus Maritime Limited R 11/15/2018 9:58:11 AM
IMRN Immuron Limited ADS R 11/15/2018 10:01:10 AM
SEII Sharing Economy Int'l R 11/15/2018 10:01:13 AM
DRIOW DarioHealth Corp. Wts R 11/15/2018 10:05:11 AM
CREX Creative Realities Inc. Cmn R 11/15/2018 10:05:16 AM
NEON Neonode Inc. R 11/15/2018 10:11:47 AM
LTBR Lightbridge Corp Cmn Stk R 11/15/2018 10:14:01 AM
TCON TRACON Pharmaceutical Cmn Stk Q 11/15/2018 10:19:40 AM
VBIV VBI Vaccines, Inc. Cm Stk R 11/15/2018 10:23:03 AM
YECO Yulong Eco-Materials Ltd Ord R 11/15/2018 10:24:15 AM
CETXW Cemtrex Inc. WTS R 11/15/2018 10:25:47 AM
ESTRW Estre Ambiental, Inc. Q 11/15/2018 10:26:49 AM
IEA Infrastructure & Enrgy Alt Cm R 11/15/2018 10:29:57 AM
BOXL Boxlight Corp Class A Cmn R 11/15/2018 10:32:32 AM
AMRHW Ameri Holdings, Inc. Wt R 11/15/2018 10:33:32 AM
ENT Global Eagle Entmnt R 11/15/2018 10:35:01 AM
ESEA Euroseas Ltd. Common Stock R 11/15/2018 10:39:33 AM
BLNKW Blink Charging Co. Wt R 11/15/2018 10:39:46 AM
EYEGW Eyegate Pharmaceuticals Wts R 11/15/2018 10:45:42 AM
AETI American Electric Technologies R 11/15/2018 10:56:14 AM
TBRGW Thunder Bridge Acquisition Wt R 11/15/2018 10:56:24 AM
GSHD Goosehead Insurance Cl A Cmn Q 11/15/2018 11:01:42 AM
VLRX Valeritas Holdings, Inc. CS R 11/15/2018 11:03:19 AM
HYRE HyreCar Inc. Cm St R 11/15/2018 11:05:25 AM
HX Hexindai Inc. ADR Q 11/15/2018 11:08:30 AM
MRIN Marin Software Inc Common Stk Q 11/15/2018 11:09:29 AM
ALGRR Allegro Merger Corp. Right R 11/15/2018 11:10:32 AM
FTFT Future FinTech Group Inc. Q 11/15/2018 11:16:27 AM
YOGA YogaWorks, Inc. CM Q 11/15/2018 11:25:49 AM
HYACW Haymaker Acquisition Corp. WT R 11/15/2018 11:26:24 AM
AMRWW Alta Mesa Resources, Inc. Wts R 11/15/2018 11:34:49 AM
SMED Sharps Compliance Cmn Stk R 11/15/2018 11:40:43 AM
SINT SiNtx Technologies, Inc. R 11/15/2018 11:59:21 AM
NCSM NCS Multistage Holdings CM Q 11/15/2018 12:04:19 PM
DOTAW Draper Oakwood Tech Aq. WT R 11/15/2018 12:05:18 PM
SHIPW Seanergy Maritime Holdings Cor R 11/15/2018 12:11:06 PM
LINDW Lindblad Expeditions Hlds Wt R 11/15/2018 12:15:07 PM
TISA Top Image Systems Ltd R 11/15/2018 12:15:08 PM
KTOVW Kitov Pharma Ltd. Wts R 11/15/2018 12:17:19 PM
CNACR Constellation Alpha Capital Rt R 11/15/2018 12:28:43 PM
CNACW Constellation Alpha Capital Wt R 11/15/2018 12:30:34 PM
CKPT Checkpoint Therapeutics, CS R 11/15/2018 12:31:35 PM
RWLK ReWalk Robotics Ltd Ord Shares R 11/15/2018 12:51:42 PM
WINS Wins Finance Hldgs Ord Shs R 11/15/2018 12:52:58 PM
UPL Ultra Petroleum Corp. Cmn Stk Q 11/15/2018 12:54:38 PM
OPRX OptimizeRx Corporation CM R 11/15/2018 1:01:13 PM
BLNK Blink Charging Co.CS R 11/15/2018 1:06:07 PM
SPI SPI Energy Ord Shs Q 11/15/2018 1:07:36 PM
DLPNW Dolphin Entertainment, WTS R 11/15/2018 1:08:56 PM
SNGXW Soligenix, Inc. Wt R 11/15/2018 1:13:10 PM
LENS Presbia PLC Ordinary Shs R 11/15/2018 1:13:47 PM
GLACR Greenland Acquisition Corp RT R 11/15/2018 1:19:00 PM
TLGT Teligent, Inc. Common Stock Q 11/15/2018 1:31:19 PM
ENTXW Entera Bio Ltd.WT R 11/15/2018 1:32:30 PM
CLSN Celsion Corporation R 11/15/2018 1:53:02 PM
APOP Cellect Biotechnology Ltd. ADR R 11/15/2018 2:04:08 PM
IPDN Professional Diversity Network R 11/15/2018 2:07:59 PM
STLRW Stellar Acquisition III WRT R 11/15/2018 2:11:35 PM
NESRW National Energy SV Reunited WT R 11/15/2018 2:23:13 PM
MDGL Madrigal Pharmaceuticals, Inc. R 11/15/2018 2:33:45 PM
PACQW Pure Acquisition Corp. R 11/15/2018 2:35:57 PM
EVLO Evelo Biosciences, Inc. CS Q 11/15/2018 2:45:41 PM
HAIR Restoration Robotics, Inc. CM Q 11/15/2018 2:45:47 PM
TWLVW Twelve Seas Investment WT R 11/15/2018 2:52:46 PM
IMTE Integrated Media Tech ORDS R 11/15/2018 2:56:38 PM
APTX Aptinyx Inc. Common Stock Q 11/15/2018 2:57:31 PM
FLGT Fulgent Genetics, Inc. CM Q 11/15/2018 3:06:40 PM
JSYN Jensyn Acq CP CS R 11/15/2018 3:20:21 PM
DXYN The Dixie Group Inc Q 11/15/2018 3:23:45 PM
IFRX InflaRx N.V. CM Q 11/15/2018 3:26:23 PM
SCACW Saban Capital Acquisition WT R 11/15/2018 3:26:53 PM
CHEKW Check-Cap Ltd. Srs A Wt R 11/15/2018 3:27:40 PM
NVLN Novelion Therapeutics Inc Q 11/15/2018 3:32:39 PM
WRLSR Pensare Acquisition Corp Right R 11/15/2018 3:35:44 PM
GRNQ Greenpro Capital Corp. Cmn Stk R 11/15/2018 3:38:10 PM
SSNT SilverSun Technologies Cmn R 11/15/2018 3:42:17 PM
CXDC China XD Plastics Company Ltd Q 11/15/2018 3:43:14 PM
SG Sirius International In Gp Cm Q 11/15/2018 3:45:49 PM
SINO Sino-Global Shipping America, R 11/15/2018 3:47:13 PM
ASCMA Ascent Capital Group A Q 11/15/2018 3:54:42 PM
CDMOP Avid Biosvcs Pfd E R 11/15/2018 3:58:27 PM
SFET Safe-T Group Ltd ADS R 11/15/2018 4:00:00 PM
SGLB Sigma Labs, Inc. Cm St R 11/15/2018 4:00:00 PM
VLRX Valeritas Holdings, Inc. CS R 11/16/2018 9:30:00 AM
DCAR DropCar, Inc. Cmn Stk R 11/16/2018 9:30:00 AM
SNOAW Sonoma Pharma Wts R 11/16/2018 9:30:00 AM
NVDA NVIDIA Corporation Q 11/16/2018 9:30:00 AM
HCM Hutchison China MediTech ADS Q 11/16/2018 9:30:00 AM
ATIS Attis Industries Inc. Cmn Stk R 11/16/2018 9:30:00 AM
ESEA Euroseas Ltd. Common Stock R 11/16/2018 9:30:00 AM
GOGO Gogo Inc. Common Stock Q 11/16/2018 9:30:00 AM
INPX Inpixon Common Stock R 11/16/2018 9:30:00 AM
PETZ TDH Holdings, Inc. Cmn Shrs R 11/16/2018 9:30:00 AM
FVE Five Star Senior Living Inc Cm R 11/16/2018 9:30:00 AM
LMB Limbach Holdings, Inc.CS R 11/16/2018 9:30:00 AM
RWLK ReWalk Robotics Ltd Ord Shares R 11/16/2018 9:30:00 AM
MHLD Maiden Holdings, Ltd. Q 11/16/2018 9:30:02 AM
CASM CAS Medical Systems Inc. R 11/16/2018 9:30:04 AM
SRDX Surmodics Inc Q 11/16/2018 9:30:06 AM
ARCE Arco Platform Limited Cl A Cmn Q 11/16/2018 9:30:16 AM
OXBR Oxbridge Re Hldgs Ord Shares R 11/16/2018 9:30:22 AM
DISCB Discovery, Inc. Ser B Q 11/16/2018 9:30:26 AM
CCCL China Ceramics Co Cmn Stk R 11/16/2018 9:30:32 AM
SITO SITO Mobile, Ltd. Cmn Stk R 11/16/2018 9:30:34 AM
PRTHU Priority Tech Hldgs Unit R 11/16/2018 9:31:25 AM
RSLS ReShape Lifesciences Inc. R 11/16/2018 9:35:41 AM
ELOX Eloxx Pharma Cmn Stk Q 11/16/2018 9:36:33 AM
ATOS Atossa Genetics Inc. R 11/16/2018 9:36:40 AM
AMRWW Alta Mesa Resources, Inc. Wts R 11/16/2018 9:36:52 AM
IMRNW Immuron Limited R 11/16/2018 9:39:37 AM
SNOA Sonoma Pharmaceuticals R 11/16/2018 9:41:49 AM
CYTX Cytori Therapeutics Inc. R 11/16/2018 9:43:41 AM
AGMH AGM Group Holdings Cl A Ord R 11/16/2018 9:43:49 AM
ADIL Adial Pharmaceuticals, Inc. Cm R 11/16/2018 9:44:20 AM
AKER Akers Biosciences Inc. R 11/16/2018 9:45:00 AM
REDU RISE Education Cayman Ltd Q 11/16/2018 9:45:30 AM
TTNP Titan Pharma Common Stock R 11/16/2018 9:46:40 AM
SGLBW Sigma Labs, Inc. Wt R 11/16/2018 9:47:55 AM
FPAYW FlexShopper, Inc. Wt R 11/16/2018 9:48:59 AM
SPI SPI Energy Ord Shs Q 11/16/2018 9:51:15 AM
ACHC Acadia Healthcare Co Inc Q 11/16/2018 9:51:29 AM
UROV Urovant Sciences Ltd. CM Q 11/16/2018 10:00:02 AM
AMRS Amyris, Inc. Q 11/16/2018 10:03:26 AM
JSYNW Jensyn Acquistion Corp. WT R 11/16/2018 10:04:53 AM
MTP Midatech Pharma PLC ADS R 11/16/2018 10:06:00 AM
MARK Remark Hldgs Inc. Cmn Stk R 11/16/2018 10:06:23 AM
CETXW Cemtrex Inc. WTS R 11/16/2018 10:06:37 AM
GTIM Good Times Restaurants R 11/16/2018 10:08:35 AM
PHIIK Petroleum Helicopters Non Vtg Q 11/16/2018 10:09:13 AM
EYEG Eyegate Pharmaceuticals Cm R 11/16/2018 10:10:30 AM
IPDN Professional Diversity Network R 11/16/2018 10:13:31 AM
MTECW MTech Acquisition Corp. WT R 11/16/2018 10:16:30 AM
BLNKW Blink Charging Co. Wt R 11/16/2018 10:16:32 AM
AGFSW AgroFresh Solu Warrants Q 11/16/2018 10:19:52 AM
LASR nLIGHT, Inc. Common Stock Q 11/16/2018 10:22:55 AM
LTBR Lightbridge Corp Cmn Stk R 11/16/2018 10:30:16 AM
CNACW Constellation Alpha Capital Wt R 11/16/2018 10:34:29 AM
HDSN Hudson Technologies R 11/16/2018 10:37:09 AM
KTOV Kitov Pharma Ltd. ADS R 11/16/2018 10:42:36 AM
GLG China Commercial Credit, Inc. R 11/16/2018 10:45:13 AM
MLNT Melinta Therapeutics, Inc Q 11/16/2018 10:49:14 AM
NEON Neonode Inc. R 11/16/2018 10:53:56 AM
AMTBB Mercantil Bank Hldg Cmn B Q 11/16/2018 10:55:08 AM
ORPN Bioblast Pharma Ltd. R 11/16/2018 10:57:02 AM
BNTC Benitec Biopharma Ltd ADS R 11/16/2018 10:58:49 AM
SCPH scPharmaceuticals Inc. Cmn Stk Q 11/16/2018 11:01:00 AM
CLPS CLPS Incorporation CM Q 11/16/2018 11:12:00 AM
MDGSW Medigus Ltd. Ser C Wts R 11/16/2018 11:12:37 AM
RLM Realm Therapeutics plc ADS R 11/16/2018 11:12:47 AM
AKAO Achaogen, Inc. Common Stock Q 11/16/2018 11:13:51 AM
SOFO Sonic Foundry Inc R 11/16/2018 11:28:54 AM
VERI Veritone, Inc. CM Q 11/16/2018 11:32:39 AM
ICON Iconix Brand Group, Inc. Q 11/16/2018 11:35:47 AM
PAVMZ PAVmed Inc. Wt Series Z R 11/16/2018 11:37:45 AM
MYOS MYOS RENS Tech Cmn R 11/16/2018 11:40:59 AM
EVER EverQuote, Inc. Cl A Cmn Stk Q 11/16/2018 11:41:57 AM
AVRO AVROBIO, Inc. Cmn Stk Q 11/16/2018 11:44:01 AM
AETI American Electric Technologies R 11/16/2018 11:44:30 AM
IPWR Ideal Power Inc. R 11/16/2018 11:49:40 AM
NLNK NewLink Genetics Corporation Q 11/16/2018 11:53:29 AM
CYHHZ Community Health Systems, Inc. Q 11/16/2018 11:54:36 AM
XSPA XpresSpa Group, Inc. R 11/16/2018 11:55:17 AM
RXIIW RXi Pharmaceuticals Corp R 11/16/2018 12:02:04 PM
INNT Innovate Biopharma Cmn R 11/16/2018 12:05:34 PM
NESRW National Energy SV Reunited WT R 11/16/2018 12:07:06 PM
EEI Ecology and Environment Inc Q 11/16/2018 12:09:23 PM
ESTRW Estre Ambiental, Inc. Q 11/16/2018 12:11:33 PM
VXRT Vaxart, Inc. R 11/16/2018 12:14:05 PM
NIHD NII Holdings, Inc. Cmn Stk Q 11/16/2018 12:20:28 PM
ROSEU Rosehill Resources Inc. Ut R 11/16/2018 12:45:30 PM
CGIX Cancer Genetics, Inc. R 11/16/2018 12:46:12 PM
EDRY EuroDry Ltd. R 11/16/2018 12:50:09 PM
CMSSW CM Seven Star Acquisition WT R 11/16/2018 1:06:56 PM
NVUS Novus Therapeutics, Inc. R 11/16/2018 1:09:42 PM
PHAS PhaseBio Pharma Common Stk Q 11/16/2018 1:11:52 PM
FSNN Fusion Connect, Inc. R 11/16/2018 1:18:29 PM
FSACW Fed Street Acquisition WRNT R 11/16/2018 1:22:43 PM
SND Smart Sand, Inc. Cmn Stk Q 11/16/2018 1:33:47 PM
DSKEW Daseke, Inc. Warrant R 11/16/2018 1:37:23 PM
EARS Auris Medical Holding AG Cmn R 11/16/2018 1:39:01 PM
DOTAW Draper Oakwood Tech Aq. WT R 11/16/2018 1:40:33 PM
SOLOW Electrameccanica Vehicles Wts R 11/16/2018 1:48:39 PM
JNCE Jounce Therapeutics, Inc. CM Q 11/16/2018 1:53:16 PM
SGMS Scientific Games Corp Cmn Stk Q 11/16/2018 1:54:09 PM
CYTR CytRx Corporation R 11/16/2018 1:56:40 PM
SOLO Electrameccanica Vehicles Cmn R 11/16/2018 2:02:26 PM
FLMNW Falcon Minerals Cp Wt R 11/16/2018 2:09:05 PM
CPST Capstone Turbine Corp R 11/16/2018 2:17:59 PM
IEAWW Infrastructure & Enrgy Alt Wt R 11/16/2018 2:32:40 PM
LOACW Longevity Acquisition Warrant R 11/16/2018 2:41:04 PM
WTRHW Waitr Holdings Inc. Wt R 11/16/2018 2:44:17 PM
FWP Forward Pharma A/S ADS Q 11/16/2018 2:46:29 PM
LENS Presbia PLC Ordinary Shs R 11/16/2018 3:01:49 PM
EDTXW EdtechX Holdings Acq Wt R 11/16/2018 3:09:56 PM
GEMP Gemphire Therapeutics CM Q 11/16/2018 3:22:57 PM
CXDC China XD Plastics Company Ltd Q 11/16/2018 3:27:14 PM
CMLS Cumulus Media Cl A Cmn Stk Q 11/16/2018 3:35:05 PM
TVIX VelocityShares Daily 2X VIX Q 11/16/2018 3:45:03 PM
TENX Tenax Therapeutics, Inc. R 11/16/2018 4:00:00 PM
CHCI Comstock Holding Cos., Inc. R 11/16/2018 4:00:00 PM