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, January 19,2018 1/19/2018 4:30:19 PM

Symbol Security Name Market Category Trigger Time
SHLDW Sears Holdings Corporation Wrt Q 1/18/2018 9:30:00 AM
BHACW Barington/Hilco Acq Cp Wts R 1/18/2018 9:30:00 AM
DFFN Diffusion Pharmaceuticals Inc. R 1/18/2018 9:30:00 AM
OASM Oasmia Pharmaceutical AB ADS R 1/18/2018 9:30:00 AM
TTNP Titan Pharma Common Stock R 1/18/2018 9:30:00 AM
CVO Cenveo Inc Cmn Stk Q 1/18/2018 9:30:02 AM
EFSC ENTERPRISE FINANCIAL SERVICES Q 1/18/2018 9:30:14 AM
ONSIW Oncobiologics, Inc. Ser A Wt Q 1/18/2018 9:31:08 AM
DELT Delta Technology Hld Ltd Ord R 1/18/2018 9:31:29 AM
AKER Akers Biosciences Inc Cmn R 1/18/2018 9:32:00 AM
OACQR Origo Acquisition Cp Rt R 1/18/2018 9:32:48 AM
ARGS Argos Therapeutics, Inc. Q 1/18/2018 9:34:19 AM
EPIX ESSA Pharma Inc Common R 1/18/2018 9:34:44 AM
MSDIW Monster Digital, Inc. WT R 1/18/2018 9:35:01 AM
DMPI DelMar Pharma Common Stock R 1/18/2018 9:36:58 AM
USAU U.S. Gold Corp. R 1/18/2018 9:37:16 AM
APPN Appian Corporation Cl A Cmn Q 1/18/2018 9:38:25 AM
NUROW NeuroMetrix, Inc. Wt R 1/18/2018 9:39:03 AM
RETO ReTo Eco-Solutions, Inc. Cm St R 1/18/2018 9:39:33 AM
INPX Inpixon Common Stock R 1/18/2018 9:39:35 AM
NAUH National American Univrsty Hld Q 1/18/2018 9:44:17 AM
ORPN Bioblast Pharma Ltd. R 1/18/2018 9:45:29 AM
HAIR Restoration Robotics, Inc. CM Q 1/18/2018 9:46:03 AM
MYSZ My Size, Inc. Cmn Stk R 1/18/2018 9:46:27 AM
ONTX Onconova Therapeutics Inc R 1/18/2018 9:46:28 AM
SHOS Sears Hometown & Outlet Stores R 1/18/2018 9:49:25 AM
NEWA Newater Technology, Inc. Cm St R 1/18/2018 9:51:31 AM
NIHD NII Holdings, Inc. Cmn Stk Q 1/18/2018 9:55:49 AM
CELGZ Celgene Cp Cntgnt Value Rts Q 1/18/2018 10:06:13 AM
PRTK Paratek Pharmaceuticals, Inc. Q 1/18/2018 10:11:31 AM
ACERW Acer Therapeutics Warrant R 1/18/2018 10:19:00 AM
NDRA ENDRA Life Sciences Inc. CM R 1/18/2018 10:27:58 AM
ONSIZ Oncobiologics, Inc. Ser B Wt Q 1/18/2018 10:48:21 AM
GRVY GRAVITY Co., Ltd. R 1/18/2018 10:48:54 AM
PAVM PAVmed Inc. Common Stock R 1/18/2018 10:58:23 AM
TYME Tyme Technologies, Inc. Cmn R 1/18/2018 11:07:38 AM
ADTN ADTRAN Inc Q 1/18/2018 11:20:44 AM
CLIRW ClearSign Combustion Cp Wrt R 1/18/2018 12:00:56 PM
AMEH Apollo Medical Holdings Cmn R 1/18/2018 12:03:16 PM
PAVMW PAVmed Inc. Warrant R 1/18/2018 12:26:03 PM
EYEGW Eyegate Pharmaceuticals Wts R 1/18/2018 1:06:46 PM
DRIOW DarioHealth Corp. Wts R 1/18/2018 1:11:17 PM
JASNW Jason Industries, Inc. Warrant R 1/18/2018 1:32:08 PM
ELECW Electrum Special Acquisitio WT R 1/18/2018 1:38:06 PM
APDNW Applied DNA Scien Warrant R 1/18/2018 1:38:46 PM
OACQW Origo Acquisition Cp Wts R 1/18/2018 1:40:30 PM
RAVE Rave Restaurant Group, Inc. R 1/18/2018 2:18:29 PM
CTIB CTI Industries Corp R 1/18/2018 2:23:47 PM
SHIPW Seanergy Maritime Holdings Cor R 1/18/2018 2:41:09 PM
STLRW Stellar Acquisition III WRT R 1/18/2018 2:42:09 PM
PRTO Proteon Therapeutics Cm Stk Q 1/18/2018 2:50:22 PM
AGFSW AgroFresh Solu Warrants Q 1/18/2018 2:53:03 PM
TROV TrovaGene, Inc. Common Stock R 1/18/2018 3:09:33 PM
WHLRW Wheeler REIT Warrants R 1/18/2018 3:09:49 PM
OBLN Obalon Therapeutics Cmn Q 1/18/2018 3:18:40 PM
XELB Xcel Brands, Inc. Cmn Stk Q 1/18/2018 3:31:19 PM
SBPH Spring Bank Pharmaceuticals CS R 1/18/2018 3:48:05 PM
AYTU Aytu BioScience, Inc. Cm St R 1/18/2018 3:53:36 PM
ESTRW Estre Ambiental, Inc. Q 1/18/2018 3:57:29 PM
GPACW Global Partner Acq. Corp Wrt R 1/18/2018 3:58:54 PM
GCVRZ Sanofi CVR Q 1/19/2018 9:30:00 AM
PAVM PAVmed Inc. Common Stock R 1/19/2018 9:30:00 AM
OBLN Obalon Therapeutics Cmn Q 1/19/2018 9:30:00 AM
ENFC Entegra Financial Corp. Cmn St Q 1/19/2018 9:30:01 AM
ITIC Investors Title Company Q 1/19/2018 9:30:09 AM
HTBX Heat Biologics, Inc. R 1/19/2018 9:30:53 AM
BPFHW Boston Private Warrants Q 1/19/2018 9:31:43 AM
AYTU Aytu BioScience, Inc. Cm St R 1/19/2018 9:32:12 AM
ONCS OncoSec Medical Inc Cmn R 1/19/2018 9:32:16 AM
XPLR Xplore Technologies Cmn R 1/19/2018 9:36:15 AM
OPGNW OpGen, Inc. Warrant R 1/19/2018 9:38:42 AM
BLBD Blue Bird Corp Cmn Stk Q 1/19/2018 9:40:19 AM
ACERW Acer Therapeutics Warrant R 1/19/2018 9:40:27 AM
MNGA MagneGas Corporation Cmn Stk R 1/19/2018 9:45:18 AM
ARGS Argos Therapeutics, Inc. R 1/19/2018 9:45:20 AM
NUROW NeuroMetrix, Inc. Wt R 1/19/2018 9:50:29 AM
RCON Recon Technology, Ltd. R 1/19/2018 9:50:54 AM
ATOS Atossa Genetics Inc. R 1/19/2018 9:54:30 AM
CHEKW Check-Cap Ltd. Srs A Wt R 1/19/2018 9:54:54 AM
JAGX Jaguar Health, Inc. Cmn R 1/19/2018 9:55:36 AM
OPGN OpGen, Inc. Common Stock R 1/19/2018 9:56:28 AM
CVO Cenveo Inc Cmn Stk Q 1/19/2018 10:03:58 AM
TCON TRACON Pharmaceutical Cmn Stk Q 1/19/2018 10:04:25 AM
VVPR VivoPower International Ord Sh R 1/19/2018 10:05:32 AM
ONTX Onconova Therapeutics Inc R 1/19/2018 10:11:01 AM
STLRW Stellar Acquisition III WRT R 1/19/2018 10:37:01 AM
MICT Micronet Enertec Tech Cmn Stk R 1/19/2018 10:43:54 AM
CNACR Constellation Alpha Capital Rt R 1/19/2018 10:54:15 AM
USAU U.S. Gold Corp. R 1/19/2018 11:03:42 AM
SHLDW Sears Holdings Corporation Wrt Q 1/19/2018 11:03:56 AM
ZSAN Zosano Pharma Corporation Cmn R 1/19/2018 11:09:47 AM
DFBG Differential Brands Gp Cmn R 1/19/2018 11:31:56 AM
CYTXW Cytori Therapeutics Inc WT R 1/19/2018 11:33:08 AM
NVMM Novume Solutions, Inc. Cm St R 1/19/2018 12:38:55 PM
SGLB Sigma Labs, Inc. Cm St R 1/19/2018 12:40:37 PM
MYNDW MYnd Analytics, Inc. Wt R 1/19/2018 12:56:37 PM
LINK Interlink Electronics, Inc. CM R 1/19/2018 1:13:44 PM
MYND MYnd Analytics, Inc. Cm St R 1/19/2018 2:28:02 PM
NXTD Nxt-ID, Inc. Common Stock R 1/19/2018 2:41:09 PM
SGLBW Sigma Labs, Inc. Wt R 1/19/2018 2:41:43 PM
WHLRW Wheeler REIT Warrants R 1/19/2018 3:20:01 PM
SGRP SPAR Group Inc R 1/19/2018 3:21:20 PM
CPAH CounterPath Corporation R 1/19/2018 3:21:47 PM
AMTX Aemetis, Inc. Common Stock Q 1/19/2018 3:25:01 PM
SEII Sharing Economy Int'l R 1/19/2018 3:33:37 PM
AMRHW Ameri Holdings, Inc. Wt R 1/19/2018 3:37:06 PM
CGEN Compugen Ltd Q 1/19/2018 3:54:19 PM
WPCS WPCS INTL INC R 1/19/2018 3:57:59 PM