Short Interest Reporting Due Dates

FINRA requires firms to report short interest positions in all customer and proprietary accounts in all equity securities twice a month.


Questions

  • Questions regarding the information that firms need to file can be directed to the appropriate District Office.
  • Questions regarding system requirements, file uploads and related submission problems should be directed to (800) 321-6273.
  • Business questions regarding the short interest reporting deadlines should be directed to Yvonne Huber at (240) 386-5034, Jocelyn Mello-Gibbon at (240) 386-5091 or Lauren Zito at (240) 386-5432.

 

2014 Short Interest Reporting Dates

 

Settlement DateDue Date*Exchange Receipt Date
January 15
Wednesday
January 17 – 6 p.m.
Friday
January 27
Monday
January 31
Friday
February 4 – 6 p.m.
Tuesday
February 11
Tuesday
February 14
Friday
February 19 – 6 p.m.
Wednesday
February 26
Wednesday
February 28
Friday
March 4 – 6 p.m.
Tuesday
March 11
Tuesday
March 14
Friday
March 18 – 6 p.m.
Tuesday
March 25
Tuesday
March 31
Monday
April 2 – 6 p.m.
Wednesday
April 9
Wednesday
April 15
Tuesday
April 17 – 6 p.m.
Thursday
April 25
Friday
April 30
Wednesday
May 2 – 6 p.m.
Friday
May 9
Friday
May 15
Thursday
May 19 – 6 p.m.
Monday
May 27
Tuesday
May 30
Friday
June 3 – 6 p.m.
Tuesday
June 10
Tuesday
June 13
Friday
June 17 – 6 p.m.
Tuesday
June 24
Tuesday
June 30
Monday
July 2 – 6 p.m.
Wednesday
July 10
Thursday
July 15
Tuesday
July 17 – 6 p.m.
Thursday
July 24
Thursday
July 31
Thursday
August 4 – 6 p.m.
Monday
August 11
Monday
August 15
Friday
August 19 – 6 p.m.
Tuesday
August 26
Tuesday
August 29
Friday
September 3 – 6 p.m.
Wednesday
September 10
Wednesday
September 15
Monday
September 17 – 6 p.m.
Wednesday
September 24
Wednesday
September 30
Tuesday
October 2 – 6 p.m.
Thursday
October 9
Thursday
October 15
Wednesday
October 17 – 6 p.m.
Friday
October 24
Friday
October 31
Friday
November 4 – 6 p.m.
Tuesday
November 11
Tuesday
November 14***
Friday
November 18 – 6 p.m.
Tuesday
November 25
Tuesday
November 28
Friday
December 2 – 6 p.m.
Tuesday
December 9
Tuesday
December 15
Monday
December 17 – 6 p.m.
Wednesday
December 24
Wednesday
December 31
Wednesday
January 5 – 6 p.m.
Monday
January 12
Monday

 

*  All referenced times are reflected as Eastern Time.

** Two trade dates settle on October 15, 2013. Firms that file their short interest positions in the Regulation Filing Applications via the upload or FTP process should use the trade date of October 9, 2013, when populating Record Type 2, Field 6 of their ASCII text file.

***There are two trade dates that settle on November 14, 2014. Firms that file their short interest positions in the Regulation Filing Applications via the upload or FTP process should use the trade date of November 10, 2014, when populating Record Type 2, Field 6 of their ASCII text file.