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, February 21,2020 2/21/2020 4:30:27 PM

Symbol Security Name Market Category Trigger Time
WIX Wix.com Ltd. Q 2/20/2020 9:30:00 AM
BTAI BioXcel Therapeutics, Inc. Cmn R 2/20/2020 9:30:00 AM
AEZS Aeterna Zentaris Inc. R 2/20/2020 9:30:00 AM
VIVE Viveve Medical, Inc. Cm St R 2/20/2020 9:30:00 AM
PHUNW Phunware, Inc. Warrants R 2/20/2020 9:30:00 AM
VC Visteon Corporation Common Stk Q 2/20/2020 9:30:00 AM
COMM CommScope Holding Company Inc Q 2/20/2020 9:30:00 AM
OSUR OraSure Technologies Inc Q 2/20/2020 9:30:00 AM
TVTY Tivity Health, Inc. Cmn Stk Q 2/20/2020 9:30:00 AM
TACOW Del Taco Restnts Warrants R 2/20/2020 9:30:00 AM
BCOV Brightcove Inc. Q 2/20/2020 9:30:00 AM
TC TuanChe Limited ADS R 2/20/2020 9:30:01 AM
HHHHW Wealthbridge Acquisitn Ltd Wts R 2/20/2020 9:30:03 AM
CPRT Copart, Inc. Q 2/20/2020 9:30:03 AM
BLDP Ballard Power Systems Inc Q 2/20/2020 9:30:04 AM
VIAC ViacomCBS Cl B Q 2/20/2020 9:30:05 AM
EAST Eastside Distilling, Inc. CM R 2/20/2020 9:31:04 AM
VIACA ViacomCBS Cl A Q 2/20/2020 9:31:11 AM
WSG Wanda Sports Group Co Ltd ADS Q 2/20/2020 9:31:22 AM
RBBN Ribbon Comm Inc Cmn Stk Q 2/20/2020 9:32:13 AM
RCON Recon Technology, Ltd. R 2/20/2020 9:32:17 AM
AIHS Senmiao Technology Limited CM R 2/20/2020 9:33:13 AM
TRNX Taronis Technologies Cmn Stk R 2/20/2020 9:35:49 AM
RWLK ReWalk Robotics Ltd. Ltd. R 2/20/2020 9:35:56 AM
LPTX Leap Therapeutics Inc Cmn Stk Q 2/20/2020 9:36:10 AM
AGEN Agenus Inc. R 2/20/2020 9:36:33 AM
GSMGW Glory Str Nw Md Gp Wts R 2/20/2020 9:38:09 AM
AXGT Axovant Gene Therapies Q 2/20/2020 9:43:32 AM
CAN Canaan Inc. ADS Q 2/20/2020 9:49:35 AM
ATCX Atlas Technical Cl A Q 2/20/2020 9:51:57 AM
ONTXW Onconova Therapeutics, Inc. WT R 2/20/2020 9:54:42 AM
ORSNW Orisun Acquisition WT R 2/20/2020 9:54:59 AM
SCYX SCYNEXIS Inc Cmn Stk Q 2/20/2020 9:56:38 AM
SOLOW Electrameccanica Vehicles Wts R 2/20/2020 9:57:37 AM
GLBS Globus Maritime Limited R 2/20/2020 10:02:50 AM
BELFA Bel Fuse Inc Cl A Q 2/20/2020 10:05:00 AM
CLRB Cellectar Biosciences, Inc. R 2/20/2020 10:11:52 AM
DGLY Digital Ally, Inc. Cmn R 2/20/2020 10:15:05 AM
CTRM Castor Maritime Inc. CS R 2/20/2020 10:15:50 AM
CLSK CleanSpark, Inc.CS R 2/20/2020 10:17:51 AM
GRIL Muscle Maker, Inc CS R 2/20/2020 10:41:27 AM
TXMD THERAPEUTICSMD INC Q 2/20/2020 10:46:51 AM
FNHC FedNat Holding Co. Q 2/20/2020 10:50:46 AM
CETX Cemtrex Inc. R 2/20/2020 10:51:10 AM
LMFAW LM Funding America WT R 2/20/2020 10:53:55 AM
BNGOW Bionano Genomics, Inc.WT R 2/20/2020 10:55:46 AM
TEUM Pareteum Corporation Cmn Stk R 2/20/2020 11:10:26 AM
IMVTW Immunovant Inc Warrants R 2/20/2020 11:27:23 AM
ROSEW Rosehill Resources Inc. Wts R 2/20/2020 11:27:43 AM
ATRA Atara Biotherapeutics Cmn Q 2/20/2020 11:31:02 AM
FCEL FuelCell Energy, Inc. Q 2/20/2020 11:31:27 AM
SP SP Plus Corporation Q 2/20/2020 11:32:39 AM
PLUG Plug Power Inc R 2/20/2020 11:32:45 AM
SONGW Akazoo S.A. WTS R 2/20/2020 11:35:06 AM
IPWR Ideal Power Inc. R 2/20/2020 11:36:13 AM
TCCO Technical Communications Corp R 2/20/2020 11:40:56 AM
NCNA NuCana plc ADS Q 2/20/2020 11:41:27 AM
TLSA Tiziana Life Sciences plc ADS Q 2/20/2020 11:49:13 AM
SUMR Summer Infant Inc. Cmn Stk R 2/20/2020 11:52:46 AM
BELFB Bel Fuse Inc Cl B Q 2/20/2020 11:53:19 AM
ONCY Oncolytics Biotech Inc. Cmn R 2/20/2020 12:06:46 PM
GTEC Greenland Technologies Hld R 2/20/2020 12:15:26 PM
ATCXW Atlas Technical Wts R 2/20/2020 12:26:48 PM
NEBUW Nebula Acquisition Corp WTS R 2/20/2020 12:31:54 PM
BLNKW Blink Charging Co. Wt R 2/20/2020 12:41:24 PM
CHEKZ Check-Cap Ltd. Sr C Wt R 2/20/2020 12:51:07 PM
HAPP Happiness Biotech Group Or Sh R 2/20/2020 1:14:45 PM
CODX Co-Diagnostics, Inc. CM R 2/20/2020 1:20:17 PM
CBLI Cleveland BioLabs Inc R 2/20/2020 1:22:30 PM
SNGXW Soligenix, Inc. Wt R 2/20/2020 1:29:15 PM
CLRBZ Cellectar Biosciences Sr A WT R 2/20/2020 2:12:52 PM
ENT Global Eagle Entmnt R 2/20/2020 2:13:40 PM
HEES H&E Equipment Serices Inc Q 2/20/2020 2:15:55 PM
XSPA XpresSpa Group, Inc. R 2/20/2020 2:19:40 PM
ALACW Alberton Acquisition Corp WT R 2/20/2020 2:22:17 PM
CLPT ClearPoint Neuro Inc. Cmn Stk R 2/20/2020 2:41:51 PM
ADILW Adial Pharmaceuticals Warrant R 2/20/2020 2:45:33 PM
CYCN Cyclerion Therapeutics Cmn Stk Q 2/20/2020 2:57:56 PM
MOXC Moxian, Inc. Cmn Stk R 2/20/2020 3:02:55 PM
GSMG Glory Str Nw Mdia Gr Hld R 2/20/2020 3:21:15 PM
DMTK DermTech, Inc. Common Stock R 2/20/2020 3:40:41 PM
PHIOW Phio Pharmaceuticals Corp. R 2/20/2020 3:42:54 PM
GTYH GTY Technology Hldgs Common R 2/20/2020 3:57:30 PM
DISCB Discovery, Inc. Ser B Q 2/20/2020 4:00:00 PM
APPN Appian Corporation Cl A Cmn Q 2/21/2020 9:30:00 AM
EYPT EyePoint Pharma Inc Q 2/21/2020 9:30:00 AM
CNDT Conduent Incorporated Q 2/21/2020 9:30:00 AM
GSMGW Glory Str Nw Md Gp Wts R 2/21/2020 9:30:00 AM
AGRX Agile Therapeutics, Inc. Cmn R 2/21/2020 9:30:00 AM
LLIT Lianluo Smart Limited Cl A Cmn R 2/21/2020 9:30:00 AM
PBYI Puma Biotechnology Cmn Q 2/21/2020 9:30:00 AM
HMSY HMS Holdings Corp Q 2/21/2020 9:30:00 AM
ZS Zscaler, Inc. Common Stock Q 2/21/2020 9:30:00 AM
FSLR First Solar Inc Q 2/21/2020 9:30:01 AM
TRUE TrueCar, Inc. Common Stock Q 2/21/2020 9:30:01 AM
ADMP Adamis Pharmaceuticals Inc R 2/21/2020 9:30:01 AM
BSGM BioSig Technologies Cmn Stk R 2/21/2020 9:30:01 AM
BJRI BJ's Restaurants, Inc. Q 2/21/2020 9:30:02 AM
MREO Mereo BioPharma Grp plc ADS Q 2/21/2020 9:30:03 AM
BASI Bioanalytical Systems Inc R 2/21/2020 9:30:04 AM
BLDR Builders FirstSource Inc Q 2/21/2020 9:30:04 AM
MRNS Marinus Pharmaceuticals CS Q 2/21/2020 9:30:31 AM
MNOV Medicinova Inc Q 2/21/2020 9:30:55 AM
CGIX Cancer Genetics, Inc. R 2/21/2020 9:32:34 AM
BBI Brickell Biotech, Inc. R 2/21/2020 9:32:49 AM
ZVO Zovio Inc. Common Stock Q 2/21/2020 9:33:41 AM
AFH Atlas Financial Holdings, Inc. R 2/21/2020 9:33:52 AM
AHPI Allied Healthcare Products R 2/21/2020 9:34:12 AM
ABIO ARCA BIOPHARMA, INC. R 2/21/2020 9:37:38 AM
TOCA Tocagen Inc. Common Stock Q 2/21/2020 9:37:42 AM
SLRX Salarius Pharmaceuticals R 2/21/2020 9:38:22 AM
OLED Universal Display Corporation Q 2/21/2020 9:40:56 AM
NVIV InVivo Theraptcs Hldg Cmn R 2/21/2020 9:41:21 AM
GSMG Glory Str Nw Mdia Gr Hld R 2/21/2020 9:44:58 AM
CYCN Cyclerion Therapeutics Cmn Stk Q 2/21/2020 9:56:00 AM
FORK Fuling Global Inc. Ord Shares R 2/21/2020 9:56:11 AM
AEY ADDvantage Technologies Group Q 2/21/2020 9:59:30 AM
GPOR Gulfport Energy Corporation Q 2/21/2020 10:01:31 AM
ESEA Euroseas Ltd. Common Stock R 2/21/2020 10:03:42 AM
YI 111, Inc. American Dep Shs Q 2/21/2020 10:03:55 AM
KBLMW KBL Merger Corp. IV WTS R 2/21/2020 10:08:18 AM
AREC American Resources Cp Cm A R 2/21/2020 10:14:51 AM
IDEX Ideanomics, Inc. Cmn Stk R 2/21/2020 10:15:24 AM
LCAHW Landcadia Holdings II, Inc. Wt R 2/21/2020 10:24:30 AM
PT Pintec Technology Hldg Ltd ADS Q 2/21/2020 10:40:40 AM
ORMP Oramed Pharmaceuticals Cmn R 2/21/2020 10:42:32 AM
CRVS Corvus Pharma Cmn Q 2/21/2020 10:44:58 AM
TBLTW ToughBuilt Ind Warrant R 2/21/2020 10:48:55 AM
SSTI ShotSpotter, Inc. CM R 2/21/2020 10:49:47 AM
SKYS Sky Solar Holdings ADS R 2/21/2020 10:49:58 AM
AUTO AutoWeb, Inc. R 2/21/2020 10:56:17 AM
ALGRW Allegro Merger Corp. Wt R 2/21/2020 10:58:56 AM
CETXW Cemtrex Inc. WTS R 2/21/2020 11:13:03 AM
SHIPW Seanergy Maritime Holdings Cor R 2/21/2020 11:18:14 AM
BELFA Bel Fuse Inc Cl A Q 2/21/2020 11:20:47 AM
LMFAW LM Funding America WT R 2/21/2020 11:27:36 AM
MOTS Motus GI Holdings, Inc. Cm St R 2/21/2020 11:36:01 AM
SOLOW Electrameccanica Vehicles Wts R 2/21/2020 11:49:22 AM
PAACW Proficient Alpha Acq Wts R 2/21/2020 11:58:13 AM
BELFB Bel Fuse Inc Cl B Q 2/21/2020 12:07:31 PM
PHUNW Phunware, Inc. Warrants R 2/21/2020 12:15:23 PM
VNDA Vanda Pharmaceuticals Inc. Q 2/21/2020 12:23:26 PM
TSRI TSR Inc R 2/21/2020 12:39:20 PM
SGMA SigmaTron International Inc R 2/21/2020 12:41:17 PM
TOPS TOP Ships Inc R 2/21/2020 12:44:10 PM
PTACW PropTech Acquisition Corp Wt R 2/21/2020 12:44:22 PM
HCCOW Healthcare Merger Corp. R 2/21/2020 12:44:33 PM
FSRVW FinServ Acquisition Corp.WT R 2/21/2020 12:44:49 PM
LASR nLIGHT, Inc. Common Stock Q 2/21/2020 12:48:07 PM
MDIA Mediaco Holding Cl A R 2/21/2020 12:48:49 PM
PRTH Priority Tech Hldgs Cmn R 2/21/2020 1:07:37 PM
ACER Acer Therapeutics Inc. R 2/21/2020 1:10:09 PM
REFR Research Frontiers Inc R 2/21/2020 1:16:39 PM
PGNY Progyny, Inc Common Stock Q 2/21/2020 1:19:34 PM
HJLIW Hancock Jaffe Laboratories Wts R 2/21/2020 1:31:09 PM
DMPI DelMar Pharmaceuticals R 2/21/2020 1:34:56 PM
LOGC LogicBio Therapeutics Cmn Q 2/21/2020 1:59:30 PM
AESE Allied Esports Entertainment R 2/21/2020 2:02:57 PM
BBQ BBQ Holdings, Inc. Q 2/21/2020 2:07:17 PM
UCTT Ultra Clean Holdings Inc Q 2/21/2020 2:17:50 PM
KZR Kezar Life Sciences, Inc. Cm Q 2/21/2020 2:23:22 PM
GPAQW Gordon Pointe Acquisition WT R 2/21/2020 2:26:35 PM
VICR Vicor Corp Q 2/21/2020 2:38:00 PM
ESPR Esperion Therapeutics Cmn Q 2/21/2020 2:40:32 PM
EYESW Second Sight Mdl Products Wt R 2/21/2020 3:06:54 PM
HGSH China HGS Real Estate Cmn Stk R 2/21/2020 3:34:00 PM
JFIN Jiayin Group Inc. ADS Q 2/21/2020 3:34:07 PM
SSPKW Silver Spike Acquisition Wts R 2/21/2020 3:43:47 PM
IKNX Ikonics Corporation R 2/21/2020 3:52:17 PM
FLMNW Falcon Minerals Cp Wt R 2/21/2020 3:52:55 PM
BHAT Blue Hat Interactive Enter ORD R 2/21/2020 3:55:58 PM
MNPR Monopar Therapeutics Inc Cmn R 2/21/2020 3:56:51 PM
PAACR Proficient Alpha Acq Rights R 2/21/2020 3:59:37 PM