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, July 16,2018 7/16/2018 4:15:21 AM

Symbol Security Name Market Category Trigger Time
EARS Auris Medical Holding AG Cmn R 7/13/2018 9:30:00 AM
NDRAW ENDRA Life Sciences Inc. WT R 7/13/2018 9:30:00 AM
IZEA IZEA Inc Common Stock R 7/13/2018 9:30:00 AM
ZKIN ZK Intnl Grp Co Ltd Ord Sh R 7/13/2018 9:32:48 AM
CNTF China TechFaith Wireless Commu Q 7/13/2018 9:33:35 AM
STAF Staffing 360 Solutions Cmn R 7/13/2018 9:43:17 AM
RXIIW RXi Pharmaceuticals Corp R 7/13/2018 9:44:55 AM
QUMU QUMU CORPORATION R 7/13/2018 10:00:34 AM
RGLS Regulus Therapeutics Inc. Q 7/13/2018 10:04:34 AM
CYHHZ Community Health Systems, Inc. Q 7/13/2018 10:22:17 AM
JMU JMU Limited ADS Q 7/13/2018 10:28:12 AM
FFHL Fuwei Films (Holdings) Co R 7/13/2018 10:33:15 AM
GOGO Gogo Inc. Common Stock Q 7/13/2018 10:40:20 AM
MKGI Monaker Group CM R 7/13/2018 11:08:33 AM
NXTDW Nxt-ID, Inc. Warrant R 7/13/2018 11:43:19 AM
PRPLW Purple Innovation, Inc. Wts R 7/13/2018 11:43:50 AM
SNOAW Sonoma Pharma Wts R 7/13/2018 11:57:22 AM
ACIU Ac Immune SA CM Q 7/13/2018 12:07:19 PM
XGTI xG Technology, Inc Common Stk R 7/13/2018 12:16:44 PM
KZR Kezar Life Sciences, Inc. Cm Q 7/13/2018 12:21:02 PM
CTMX CytomX Therapeutics, Inc. CS Q 7/13/2018 12:35:53 PM
HMNY Helios and Matheson Analytics R 7/13/2018 12:40:31 PM
ESES Eco-Stim Energy Sltns Cmn R 7/13/2018 12:48:44 PM
ASCMA Ascent Capital Group A Q 7/13/2018 1:06:17 PM
EGAN eGain Corporation R 7/13/2018 1:15:59 PM
CYTX Cytori Therapeutics Inc. R 7/13/2018 1:25:44 PM
SSLJ SSLJ.com Limited Cl A Ord Sh R 7/13/2018 1:30:23 PM
VCEL Vericel Corporation R 7/13/2018 2:07:55 PM
MGTX MeiraGTx Holdings plc Ord Shs Q 7/13/2018 2:22:00 PM
ADXSW Advaxis, Inc. Warrants R 7/13/2018 2:22:57 PM
OHAI OHA Investment Corp Cmn Stk Q 7/13/2018 3:33:41 PM
EMMS Emmis Communications Corp Q 7/13/2018 3:47:27 PM
CERC Cerecor Inc. Cmn Stk R 7/13/2018 3:48:18 PM
AHPI Allied Healthcare Products R 7/13/2018 3:59:35 PM