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.

2017 Short Interest Reporting Dates

Settlement Date Due Date1 Exchange Receipt Date
January 13
Friday
January 18 – 6 p.m.
Wednesday
January 25
Wednesday
January 31
Tuesday
February 2 – 6 p.m.
Thursday
February 09
Thursday
February 15
Wednesday
February 17 – 6 p.m.
Friday
February 27
Monday
February 28
Tuesday
March 2 – 6 p.m.
Thursday
March 09
Thursday
March 15
Wednesday
March 17 – 6 p.m.
Friday
March 24
Friday
March 31
Friday
April 4 – 6 p.m.
Tuesday
April 11
Tuesday
April 13
Thursday
April 18 – 6 p.m.
Tuesday
April 25
Tuesday
April 28
Friday
May 2 – 6 p.m.
Tuesday
May 09
Tuesday
May 15
Monday
May 17 – 6 p.m.
Wednesday
May 24
Wednesday
May 31
Wednesday
June 2 – 6 p.m.
Friday
June 09
Friday
June 15
Thursday
June 19 – 6 p.m.
Monday
June 26
Monday
June 30
Friday
July 5 – 6 p.m.
Wednesday
July 12
Wednesday
July 14
Friday
July 18 – 6 p.m.
Tuesday
July 25
Tuesday
July 31
Monday
August 2 – 6 p.m.
Wednesday
August 09
Wednesday
August 15
Tuesday
August 17 – 6 p.m.
Thursday
August 24
Thursday
August 31
Thursday
September 5 – 6 p.m.
Tuesday
September 12
Tuesday
September 15
Friday
September 19 – 6 p.m.
Tuesday
September 26
Tuesday
September 29
Friday
October 3 – 6 p.m.
Tuesday
October 10
Tuesday
October 13
Friday
October 17 – 6 p.m.
Tuesday
October 24
Tuesday
October 31
Tuesday
November 2 – 6 p.m.
Thursday
November 09
Thursday
November 152
Wednesday
November 17 – 6 p.m.
Friday
November 27
Monday
November 30
Thursday
December 4 – 6 p.m.
Monday
December 11
Monday
December 15
Friday
December 19 – 6 p.m.
Tuesday
December 27
Wednesday
December 29
Friday
January 3 – 6 p.m.
Wednesday
January 10
Wednesday

1 All referenced times are reflected as Eastern Time.

2 There are two trade dates that settle on November 15, 2017.  Firms that file their short interest positions via an ASCII text file should use the trade date of November 9, 2017 when populating Record Type 2, Field 6 of the file. Please note that all trade dates are subject to change pending SEC approval to shorten transaction settlement cycle See Release No. 34-78962.