FINRA Rule 4560 requires FINRA member firms to report their short positions in all over-the-counter (OTC) equity securities to FINRA. Data is available online for one rolling year based on the settlement date provided in the Short Interest Reporting Deadlines and archived data is available via download.
Originally introduced in 2005, the FINRA Fund Analyzer helps investors and financial professionals understand the impact of fees and potentially available discounts on mutual funds, exchange-traded funds, exchange-traded notes and money market funds. The Fund Analyzer allows individuals to sort through and compare more than 30,000 products available to investors today and calculates how a fund's fees, expenses and discounts impact the value of a fund over time.
List of securities that meet the requirements pursuant to Rule 203(b)(3) of Regulation SHO and FINRA Rule 4320, that a participant of a registered clearing agency (i.e., a clearing firm), that has a fail to deliver position at a registered clearing agency (i.e., National Securities Clearing Corporation) in a Threshold Security for 13 consecutive settlement days must immediately close out that fail to deliver position by purchasing shares of like kind and quantity.
FINRA publishes over-the-counter (OTC) trading information on a delayed basis for each alternative trading system (ATS) and member firm with a trade reporting obligation under FINRA rules. Security-specific information for firms with “de minimis” volume outside of an ATS is aggregated and published on a non-attributed basis.
The trading information is derived directly from OTC trades that ATSs/member firms report to FINRA’s equity trade reporting facilities.
Pursuant to a U.S. Securities and Exchange Commission request, FINRA makes short sale trade data publicly available for off-exchange (i.e., OTC) trades in exchange-listed securities reported to a FINRA Trade Reporting Facility (TRF) or the Alternative Display Facility (ADF), as well as for trades in securities traded over-the-counter and reported to FINRA’s Over the Counter Reporting Facility (ORF).