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.
2012 Short Interest Reporting Deadlines
| Settlement Date | Due Date* | Exchange Receipt Date |
| December 31 Monday | January 3 – 6 p.m. Thursday | January 10 Thursday |
2013 Short Interest Reporting Deadlines
| Settlement Date | Due Date* | Exchange Receipt Date |
| January 15 Tuesday | January 17 – 6 p.m. Thursday | January 25 Friday |
| January 31 Thursday | February 4 – 6 p.m. Monday | February 11 Monday |
| February 15 Friday | February 20 – 6 p.m. Wednesday | February 27 Wednesday |
| February 28 Thursday | March 4 – 6 p.m. Monday | March 11 Monday |
| March 15 Friday | March 19 – 6 p.m. Tuesday | March 26 Tuesday |
| March 28 Thursday | April 2 – 6 p.m. Tuesday | April 9 Tuesday |
| April 15 Monday | April 17 – 6 p.m. Wednesday | April 24 Wednesday |
| April 30 Tuesday | May 2 – 6 p.m. Thursday | May 9 Thursday |
| May 15 Wednesday | May 17 – 6 p.m. Friday | May 24 Friday |
| May 31 Friday | June 4 – 6 p.m. Tuesday | June 11 Tuesday |
| June 14 Friday | June 18 – 6 p.m. Tuesday | June 25 Tuesday |
| June 28 Friday | July 2 – 6 p.m. Tuesday | July 10 Wednesday |
| July 15 Monday | July 17 – 6 p.m. Wednesday | July 24 Wednesday |
| July 31 Wednesday | August 2 – 6 p.m. Friday | August 9 Friday |
| August 15 Thursday | August 19 – 6 p.m. Monday | August 26 Monday |
| August 30 Friday | September 4 – 6 p.m. Wednesday | September 11 Wednesday |
| September 13 Friday | September 17 – 6 p.m. Tuesday | September 24 Tuesday |
| September 30 Monday | October 2 – 6 p.m. Wednesday | October 9 Wednesday |
| October 15** Tuesday | October 17 – 6 p.m. Thursday | October 24 Thursday |
| October 31 Thursday | November 4 – 6 p.m. Monday | November 11 Monday |
| November 15 Friday | November 19 – 6 p.m. Tuesday | November 26 Tuesday |
| November 29 Friday | December 3 – 6 p.m. Tuesday | December 10 Tuesday |
| December 13 Friday | December 17 – 6 p.m. Tuesday | December 24 Tuesday |
| December 31 Tuesday | January 3 – 6 p.m. Friday | January 10 Friday |
* 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.