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.
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.