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 DateExchange Receipt Date
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

***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.
 

2015 Short Interest Reporting Dates

 

Settlement DateDue Date1Exchange Receipt Date
January 15
Thursday
January 20 – 6 p.m.
Tuesday
January 27
Tuesday
January 30
Friday
February 3 – 6 p.m.
Tuesday
February 10
Tuesday
February 13
Friday
February 18 – 6 p.m.
Wednesday
February 25
Wednesday
February 27
Friday
March 3 – 6 p.m.
Tuesday
March 10
Tuesday
March 13
Friday
March 17 – 6 p.m.
Tuesday
March 24
Tuesday
March 31
Tuesday
April 2 – 6 p.m.
Thursday
April 10
Friday
April 15
Wednesday
April 17 – 6 p.m.
Friday
April 24
Friday
April 30
Thursday
May 4 – 6 p.m.
Monday
May 11
Monday
May 15
Friday
May 19 – 6 p.m.
Tuesday
May 27
Wednesday
May 29
Friday
June 2 – 6 p.m.
Tuesday
June 9
Tuesday
June 15
Monday
June 17 – 6 p.m.
Wednesday
June 24
Wednesday
June 30
Tuesday
July 2 – 6 p.m.
Thursday
July 10
Friday
July 15
Wednesday
July 17 – 6 p.m.
Friday
July 24
Friday
July 31
Friday
August 4 – 6 p.m.
Tuesday
August 11
Tuesday
August 14
Friday
August 18 – 6 p.m.
Tuesday
August 25
Tuesday
August 31
Monday
September 2 – 6 p.m.
Wednesday
September 10
Thursday
September 15
Tuesday
September 17 – 6 p.m.
Thursday
September 24
Thursday
September 30
Wednesday
October 2 – 6 p.m.
Friday
October 9
Friday
October 152
Thursday
October 19 – 6 p.m.
Monday
October 26
Monday
October 30
Friday
November 3 – 6 p.m.
Tuesday
November 10
Tuesday
November 13
Friday
November 17 – 6 p.m.
Tuesday
November 24
Tuesday
November 30
Monday
December 2 – 6 p.m.
Wednesday
December 9
Wednesday
December 15
Tuesday
December 17 – 6 p.m.
Thursday
December 24
Thursday
December 31
Thursday
January 5 – 6 p.m.
Tuesday
January 12
Tuesday

1 All referenced times are reflected as Eastern Time.

2 There are two trade dates that settle on October 15, 2015. 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, 2015 when populating Record Type 2, Field 6 of their ASCII text file.

Last Updated: 10/27/2014