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Short Interest Reporting

FINRA requires firms to report short interest positions in all customer and proprietary accounts in all equity securities twice a month. All short interest positions must be reported by 6 p.m. Eastern Time on the second business day after the reporting settlement date designated by FINRA.

See the schedule of reporting dates below.

2020 Short Interest Reporting Dates

Settlement Date Due Date1 Exchange Receipt Date

October 30

(Friday)

November 3 – 6 p.m.

( Tuesday)

November 10

( Tuesday)

November 132

(Friday)

November 17 – 6 p.m.

( Tuesday)

November 24

( Tuesday)

November 30

Monday)

December 2 – 6 p.m.

( Wednesday)

December 9

( Wednesday)

December 15

Tuesday)

December 17 – 6 p.m.

( Thursday)

December 24

( Thursday)

December 31

Thursday)

January 5, 2021 – 6 p.m.

( Tuesday )

January 12, 2021

( Tuesday)

2021 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 26

(Friday)

March 2 – 6 p.m.

(Tuesday)

March 9

(Tuesday)

March 15

(Monday)

March 17 – 6 p.m.

(Wednesday)

March 24

(Wednesday)

March 31

(Wednesday)

April 5 – 6 p.m.

(Monday)

April 12

(Monday)

April 15

(Thursday)

April 19 – 6 p.m.

(Monday)

April 26

(Monday)

April 30

(Friday)

May 4 – 6 p.m.

(Tuesday)

May 11

(Tuesday)

May 14

(Friday)

May 18 – 6 p.m.

(Tuesday)

May 25

(Tuesday)

May 28

(Friday)

June 2 – 6 p.m.

(Wednesday)

June 9

(Wednesday)

June 15

(Tuesday)

June 17 – 6 p.m.

(Thursday)

June 24

(Thursday)

June 30

(Wednesday)

July 2 – 6 p.m.

(Friday)

July 12

(Monday)

July 15

(Thursday)

July 19 – 6 p.m.

(Monday)

July 26

(Monday)

July 30

(Friday)

August 3 – 6 p.m.

(Tuesday)

August 10

(Tuesday)

August 13

(Friday)

August 17– 6 p.m.

(Tuesday)

August 24

(Tuesday)

August 31

(Tuesday)

September 2 – 6 p.m.

(Thursday)

September 10

(Friday)

September 15

(Wednesday)

September 17 – 6 p.m.

(Friday)

September 24

(Friday)

September 30

(Thursday)

October 4 – 6 p.m.

(Monday)

October 11

(Monday)

October 15

(Friday)

October 19 – 6 p.m.

(Tuesday)

October 26

(Tuesday)

October 29

(Friday)

November 2 – 6 p.m.

(Tuesday)

November 9

(Tuesday)

November 152

(Monday)

November 17 – 6 p.m.

(Wednesday)

November 24

(Wednesday)

November 30

(Tuesday)

December 2 – 6 p.m.

(Thursday)

December 9

(Thursday)

December 15

(Wednesday)

December 17 – 6 p.m.

(Friday)

December 24

(Friday)

December 31

(Friday)

January 4 – 6 p.m.

(Tuesday)

January 11

(Tuesday)


1 All referenced times are reflected as Eastern Time.

2 There are two trade dates that settle on November 13, 2020. Firms that file their short interest positions via an ASCII text file should use the trade date of November 10, 2020 when populating Record Type 2, Field 6 of the file.

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.
  • SEC Approves Amendments to FINRA's Short-Interest Reporting Rule
  • FINRA Collection of Short Interest Data for BATS Exchange-Listed Securities
  • FINRA Consolidates the Collection of Short Interest Data
  • New Requirement for the Reporting of Consolidated Short Interest Positions to the Intermarket Surveillance Group (ISG)
  • NASD Implements Changes to the Regulation Filing Applications System
  • SEC Approves Amendments to the Short Interest Reporting Requirements
  • NASD Clarifies the Application of Short Interest Reporting Rule
  • Technical Documentation

    FINRA has developed a video demonstration of the new web-based interface through which firms will begin submitting short interest reports to FINRA effective January 17, 2017. For details regarding this change, see Regulatory Notice 16-32.

    Full Video

    January 17, 2017