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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, October 4,2019
Download
10/4/2019 4:15:26 AM
Symbol Security Name Market Category Trigger Time
GPRO GoPro, Inc. Class A Common St Q 10/3/2019 9:30:00 AM
TC TuanChe Limited ADS R 10/3/2019 9:30:00 AM
CFFAW CF Finance Acquisition Wt R 10/3/2019 9:30:00 AM
AXTI AXT Inc Q 10/3/2019 9:30:00 AM
ANGO AngioDynamics, Inc. Q 10/3/2019 9:30:00 AM
ENLV Enlivex Therapeutics Ltd. R 10/3/2019 9:30:00 AM
JAGX Jaguar Health, Inc. Cmn R 10/3/2019 9:30:00 AM
MTFB Motif Bio plc ADR R 10/3/2019 9:30:01 AM
RECN Resources Connection Inc Q 10/3/2019 9:30:03 AM
SES Synthesis Energy Sytems Inc R 10/3/2019 9:30:57 AM
PNTG The Pennant Group, Inc. Q 10/3/2019 9:31:15 AM
SQBG Sequential Brands Group Cmn R 10/3/2019 9:31:26 AM
SNNA Sienna Biopharmaceuticals Cmn Q 10/3/2019 9:31:45 AM
PSTVZ PLUS THERAPEUTICS, Wts R 10/3/2019 9:32:43 AM
MESO Mesoblast Limited ADS Q 10/3/2019 9:33:43 AM
OCGN Ocugen, Inc. Common Stock R 10/3/2019 9:33:53 AM
CYRXW CryoPort, Inc. Warrants R 10/3/2019 9:36:06 AM
AMRH Ameri Holdings, Inc. Cm St R 10/3/2019 9:37:35 AM
RVLT Revolution Lighting Tech Cmn R 10/3/2019 9:41:48 AM
QRTEB Qurate Retail Sr B Cm Q 10/3/2019 9:45:00 AM
SCON SUPERCONDUCTOR TECH R 10/3/2019 9:46:07 AM
DEST Destination Maternity Cp Q 10/3/2019 9:46:16 AM
AMRS Amyris, Inc. Q 10/3/2019 9:46:50 AM
MOSY MoSys, Inc. R 10/3/2019 9:48:03 AM
BCYC Bicycle Therapeutics plc ADS Q 10/3/2019 9:52:17 AM
CTXRW Citius Pharmaceuticals Wt R 10/3/2019 9:53:19 AM
DLPNW Dolphin Entertainment, WTS R 10/3/2019 9:59:19 AM
NAKD Naked Brand Group Limited Ord R 10/3/2019 10:00:40 AM
CGIX Cancer Genetics, Inc. R 10/3/2019 10:01:23 AM
NDRAW ENDRA Life Sciences Inc. WT R 10/3/2019 10:02:19 AM
TLGT Teligent, Inc. Common Stock Q 10/3/2019 10:03:55 AM
QUIK QuickLogic Corporation R 10/3/2019 10:03:59 AM
HYACW Haymaker Acq Corp. II Warrant R 10/3/2019 10:09:23 AM
XSPA XpresSpa Group, Inc. R 10/3/2019 10:11:20 AM
DMTKW DermTech, Inc. Warrant R 10/3/2019 10:13:14 AM
GSM Ferroglobe PLC OS Q 10/3/2019 10:13:59 AM
PHIO Phio Pharmaceuticals Corp. R 10/3/2019 10:15:10 AM
BNTC Benitec Biopharma Ltd ADS R 10/3/2019 10:15:57 AM
TROV TrovaGene, Inc. Common Stock R 10/3/2019 10:17:33 AM
BVSN BroadVision Inc R 10/3/2019 10:18:47 AM
LIVX LiveXLive Media, Inc. Cm St R 10/3/2019 10:21:29 AM
STNLW Sentinel Energy Services WT R 10/3/2019 10:23:02 AM
FAMI Farmmi, Inc. Ordinary Shs R 10/3/2019 10:25:27 AM
VXRT Vaxart, Inc. R 10/3/2019 10:38:56 AM
VRML Vermillion, Inc. R 10/3/2019 10:43:40 AM
NNDM Nano Dimension Ltd ADS R 10/3/2019 10:47:31 AM
SAUC Diversified Restaurant Hldgs R 10/3/2019 10:47:43 AM
STKL SunOpta, Inc Q 10/3/2019 11:05:00 AM
OTLKW Outlook Therapeutics Ser A Wt R 10/3/2019 11:06:24 AM
CUR Neuralstem, Inc. Common Stock R 10/3/2019 11:35:13 AM
TKKSW TKK Symphony Acquisition WT R 10/3/2019 11:51:32 AM
APEX Apex Global Brands Inc. R 10/3/2019 11:51:55 AM
ALIM Alimera Sciences Inc Q 10/3/2019 11:57:12 AM
CREX Creative Realities Inc. Cmn R 10/3/2019 12:05:06 PM
THOR Synthorx Inc Cmn Stk Q 10/3/2019 12:05:44 PM
MHLD Maiden Holdings, Ltd. Q 10/3/2019 12:10:35 PM
THCAW Tuscan Holdings Corp. II Wt R 10/3/2019 12:20:11 PM
PETZ TDH Holdings, Inc. Cmn Shrs R 10/3/2019 12:23:19 PM
GNPX Genprex, Inc. CM R 10/3/2019 12:30:18 PM
HSACW Health Sciences Acq Warrants R 10/3/2019 12:46:30 PM
RAVE Rave Restaurant Group, Inc. R 10/3/2019 12:47:31 PM
THWWW Target Hospit Cp Wts R 10/3/2019 12:58:43 PM
KZIA Kazia Therapeutics Limited ADS R 10/3/2019 1:04:41 PM
INPX Inpixon Common Stock R 10/3/2019 1:35:42 PM
TBLTW ToughBuilt Ind Warrant R 10/3/2019 1:50:23 PM
JFU 9F Inc. ADS Q 10/3/2019 1:58:23 PM
EYEGW Eyegate Pharmaceuticals Wts R 10/3/2019 2:01:32 PM
WAFU Wah Fu Education Group Ltd Ord R 10/3/2019 2:15:37 PM
ARTL Artelo Biosciences, Inc. CS R 10/3/2019 2:17:09 PM
EYEG Eyegate Pharmaceuticals Cm R 10/3/2019 2:43:17 PM
USWSW U.S. Well Services, Inc. Wts R 10/3/2019 3:06:05 PM
LKCO Luokung Technology Ord Shs R 10/3/2019 3:24:25 PM
DEACW Diamond Eagle Acquisition WTS R 10/3/2019 3:36:13 PM
HHHHW Wealthbridge Acquisitn Ltd Wts R 10/3/2019 3:40:16 PM
PLL Piedmont Lithium Limited ADS R 10/3/2019 3:44:51 PM
PHUNW Phunware, Inc. Warrants R 10/3/2019 3:53:09 PM
HHHHR Wealthbridge Acquistn Ltd Rts R 10/3/2019 3:59:26 PM
TAST Carrols Restaurant Group, Inc. Q 10/3/2019 3:59:34 PM