Regulatory Notice 16-32

FINRA Announces New Web-based System for the Collection of Short Interest Positions

Effective Date: January 10, 2017

Executive Summary

Effective as of the close of business on January 10, 2017, FINRA will retire the web-based system firms currently use to submit short interest positions. On January 17, 2017, firms will begin submitting short interest reports to FINRA using a new web-based interface, which is accessible via the Firm Gateway. In addition, firms should note that some functionality will be affected by this change and is described in more detail herein. To provide firms with the ability to test any program modifications necessitated by these changes, FINRA will make a test environment available from October 3, 2016, through December 2, 2016.

Questions regarding this Notice should be directed to:

  • Legal Section, Market Regulation at (240) 386-5126;
  • Office of General Counsel at (202) 728-8071;
  • Jocelyn Mello-Gibbon, Director, Market Regulation, at (240) 386-5091;
  • Lauren Zito, Manager, Market Regulation, at (240) 386-5432; or
  • Short Interest.