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.

2016 Short Interest Reporting Dates

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

1 All referenced times are reflected as Eastern Time.