Regulatory Notice 11-55

FINRA Collection of Short Interest Data for BATS Exchange-Listed Securities

Effective Date: December 15, 2011

Executive Summary

Effective December 15, 2011, FINRA's Web-based Regulation Filing Applications (RFA) system will include a new exchange/market code "H" for reporting short interest positions in securities for which the BATS Exchange is the primary exchange or market in the United States on which the security is listed as of the designated settlement date.

 

Questions regarding this Notice may be directed to:

  • Legal Section, Market Regulation at (240) 386-5126;
  • Office of General Counsel at (202) 728-8071;
  • Jocelyn Mello-Gibbon, Market Regulation at (240) 386-5091; or
  • Lauren Zito, Market Regulation at (240) 386-5432.