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.