Short Interest Reporting
Short Interest Reporting
FINRA requires firms to report short interest positions in all customer and proprietary accounts in all equity securities twice a month. All short interest positions must be reported by 6 p.m. Eastern Time on the second business day after the reporting settlement date designated by FINRA.
See the schedule of reporting dates below.
2018 Short Interest Reporting Dates
| Settlement Date | Due Date1 | Exchange Receipt Date |
|---|---|---|
| October 31 Wednesday |
November 2 – 6 p.m. Friday |
November 9 Friday |
| November 15 Thursday |
November 19 – 6 p.m. Monday |
November 27 Tuesday |
| November 30 Friday |
December 4 – 6 p.m. Tuesday |
December 11 Tuesday |
| December 14 Friday |
December 18 – 6 p.m. Tuesday |
December 26 Wednesday |
| December 31 Monday |
January 3 – 6 p.m. Thursday |
January 10 Thursday |
2019 Short Interest Reporting Dates
| Settlement Date | Due Date1 | 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 29 Friday |
April 2 – 6 p.m. Tuesday |
April 9 Tuesday |
| April 15 Monday |
April 17 – 6 p.m. Wednesday |
April 25 Thursday |
| 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 |
1 All referenced times are reflected as Eastern Time.
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.
SEC Approves Amendments to FINRA’s Short-Interest Reporting Rule
August 24, 2012
FINRA Collection of Short Interest Data for BATS Exchange-Listed Securities
December 8, 2011
New Requirement for the Reporting of Consolidated Short Interest Positions to the Intermarket Surveillance Group (ISG);
May 15, 2007
NASD Implements Changes to the Regulation Filing Applications System
April 28, 2006
SEC Approves Amendments to the Short Interest Reporting Requirements
April 4, 2006
NASD Clarifies the Application of Short Interest Reporting Rule
January 31, 2003
November 19, 2015
May 13, 2015