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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.

2019 Short Interest Reporting Dates

Settlement Date Due Date1 Exchange Receipt Date
November 15
Friday
November 19 – 6 p.m.
Tuesday
November 26
Tuesday
November 29
Friday
December 3 – 6 p.m.
Tuesday
December 10
Tuesday
December 13
Friday
December 17 – 6 p.m.
Tuesday
December 24
Tuesday
December 31
Tuesday
January 3, 2020 – 6 p.m.
Friday
January 10, 2020
Friday

2020 Short Interest Reporting Dates

Settlement Date Due Date1 Exchange Receipt Date
January 15
Wednesday
January 17 – 6 p.m.
Friday
January 27
Monday
January 31
Friday
February 4 – 6 p.m.
Tuesday
February 11
Tuesday
February 14
Friday
February 19 – 6 p.m.
Wednesday
February 26
Wednesday
February 28
Friday
March 3 – 6 p.m.
Tuesday
March 10
Tuesday
March 13
Friday
March 17 – 6 p.m.
Tuesday
March 24
Tuesday
March 31
Tuesday
April 2 – 6 p.m.
Thursday
April 9
Thursday
April 15
Wednesday
April 17 – 6 p.m.
Friday
April 24
Friday
April 30
Thursday
May 4 – 6 p.m.
Tuesday
May 11
Tuesday
May 15
Friday
May 19 – 6 p.m.
Tuesday
May 27
Wednesday
May 29
Friday
June 2 – 6 p.m.
Tuesday
June 9
Tuesday
June 15
Monday
June 17 – 6 p.m.
Wednesday
June 24
Wednesday
June 30
Tuesday
July 2 – 6 p.m.
Thursday
July 10
Friday
July 15
Wednesday
July 17 – 6 p.m.
Friday
July 24
Friday
July 31
Friday
August 4 – 6 p.m.
Tuesday
August 11
Tuesday
August 14
Friday
August 18 – 6 p.m.
Tuesday
August 25
Tuesday
August 31
Monday
September 2 – 6 p.m.
Wednesday
September 10
Thursday
September 15
Tuesday
September 17 – 6 p.m.
Thursday
September 24
Thursday
September 30
Wednesday
October 2 – 6 p.m.
Friday
October 9
Friday
October 15
Thursday
October 19 – 6 p.m.
Monday
October 26
Monday
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

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, Guidance, Video

    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