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.
2023 Short Interest Reporting Dates
| Settlement Date | Due Date1 | Publication Date |
|---|---|---|
|
January 13 |
January 18 – 6 p.m. |
January 25 |
|
January 31 |
February 2 – 6 p.m. |
February 9 |
|
February 15 |
February 17 – 6 p.m. |
February 27 |
|
February 28 |
March 2 – 6 p.m. |
March 9 |
|
March 15 |
March 17 – 6 p.m. |
March 24 |
|
March 31 |
April 4 – 6 p.m. |
April 12 |
|
April 14 |
April 18 – 6 p.m. |
April 25 |
|
April 28 |
May 2 – 6 p.m. |
May 9 |
|
May 15 |
May 17 – 6 p.m. |
May 24 |
|
May 31 |
June 2 – 6 p.m. |
June 9 |
|
June 15 |
June 20 – 6 p.m. |
June 27 |
|
June 30 |
July 5 – 6 p.m. |
July 12 |
|
July 14 |
July 18 – 6 p.m. |
July 25 |
|
July 31 |
August 2 – 6 p.m. |
August 9 |
|
August 15 |
August 17– 6 p.m. |
August 24 |
|
August 31 |
September 5 – 6 p.m. |
September 12 |
|
September 15 |
September 19 – 6 p.m. |
September 26 |
|
September 29 |
October 3 – 6 p.m. |
October 10 |
|
October 13 |
October 17 – 6 p.m. |
October 24 |
|
October 31 |
November 2 – 6 p.m. |
November 9 |
|
November 15 |
November 17 – 6 p.m. |
November 27 |
|
November 30 |
December 4 – 6 p.m. |
December 11 |
|
December 15 |
December 19 – 6 p.m. |
December 27 |
|
December 29 |
January 3 – 6 p.m. |
January 10 |
1. All referenced times are reflected as Eastern Time.
2. There are two trade dates that settle on November 15, 2022. Firms that file their short interest positions via an ASCII text file should use the trade date of November 10, 2022 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 FINRA Support Center at (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.
- Understanding Short Sale Volume Data on FINRA’s Website05/10/2019
- FINRA Announces New Web-based System for the Collection of Short Interest Positions08/19/2016
- SEC Approves Amendments to FINRA's Short-Interest Reporting Rule08/24/2012
- FINRA Collection of Short Interest Data for BATS Exchange-Listed Securities12/08/2011
- FINRA Consolidates the Collection of Short Interest Data03/27/2008
- New Requirement for the Reporting of Consolidated Short Interest Positions to the Intermarket Surveillance Group (ISG)05/15/2007
- NASD Implements Changes to the Regulation Filing Applications System04/28/2006
- SEC Approves Amendments to the Short Interest Reporting Requirements04/04/2006
- NASD Clarifies the Application of Short Interest Reporting Rule01/31/2003
- FAQThe guidance provided in these FAQs pertains to the reporting to FINRA of “short” positions pursuant to FINRA Rule 4560 (Short-Interest Reporting) in OTC Equity securities, as defined in Rule 6420, and securities listed on a national securities exchange.October 27, 2022
- Technical DocumentationFINRA 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.January 17, 2017