Information Notice - September 29, 2009

Publication of Daily and Monthly Short Sale Reports on the FINRA Web Site

Executive Summary

Beginning September 30, 2009, FINRA will publish on its Web site a Monthly Short Sale Transaction File to provide public access to certain transaction data, including transaction times, price, and number of shares for every short sale transaction in an NMS stock. FINRA also will begin publishing a Daily Short Sale Volume File in the fourth quarter of 2009, which will provide aggregate daily short sale volume data by security for NMS stocks and OTC Equity Securities.

 

The short sale data files may be found online as they become available at: www.finra.org/trf/regsho and www.finra.org/adf/regsho. Questions regarding this Notice should be directed to FINRA Operations at (866) 776-0800.