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.

2015/2016 Short Interest Reporting Dates

Settlement Date Due Date1 Exchange Receipt Date
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
January 15
Friday
January 20 – 6:00 p.m.
Wednesday
January 27
Wednesday
January 29
Friday
February 2 – 6:00 p.m.
Tuesday
February 9
Tuesday
February 12
Friday
February 17 – 6:00 p.m.
Wednesday
February 24
Wednesday
February 29
Monday
March 2 – 6:00 p.m.
Wednesday
March 9
Wednesday
March 15
Tuesday
March 17 – 6:00 p.m.
Thursday
March 24
Thursday
March 31
Thursday
April 4 – 6:00 p.m.
Monday
April 11
Monday
April 15
Friday
April 19 – 6:00 p.m.
Tuesday
April 26
Tuesday
April 29
Friday
May 3 – 6:00 p.m.
Tuesday
May 10
Tuesday
May 13
Friday
May 17 – 6:00 p.m.
Tuesday
May 24
Tuesday
May 31
Tuesday
June 2 – 6:00 p.m.
Thursday
June 9
Thursday
June 15
Wednesday
June 17 – 6:00 p.m.
Friday
June 24
Friday
June 30
Thursday
July 5 – 6:00 p.m.
Tuesday
July 12
Tuesday
July 15
Friday
July 19 – 6:00 p.m.
Tuesday
July 26
Tuesday
July 29
Friday
August 2 – 6:00 p.m.
Tuesday
August 9
Tuesday
August 15
Monday
August 17 – 6:00 p.m.
Wednesday
August 24
Wednesday
August 31
Wednesday
September 2 – 6:00 p.m.
Friday
September 12
Monday
September 15
Thursday
September 19 – 6:00 p.m.
Monday
September 26
Monday
September 30
Friday
October 4 – 6:00 p.m.
Tuesday
October 11
Tuesday
October 14
Friday
October 18 – 6:00 p.m.
Tuesday
October 25
Tuesday
October 31
Monday
November 2 – 6:00 p.m.
Wednesday
November 9
Wednesday
November 15
Tuesday
November 17 – 6:00 p.m.
Thursday
November 25
Friday
November 30
Wednesday
December 2 – 6:00 p.m.
Friday
December 9
Friday
December 15
Thursday
December 19 – 6:00 p.m.
Monday
December 27
Tuesday
December 30
Friday
January 4 – 6:00 p.m.
Wednesday
January 11
Wednesday

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.