Short Interest Reporting Due Dates

FINRA requires firms to report short interest positions in all customer and proprietary accounts in all equity securities twice a month.

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.

2018 Short Interest Reporting Dates

Settlement Date Due Date1 Exchange Receipt Date
October 31
Wednesday
November 2 – 6 p.m.
Friday
November 9
Friday
November 15
Thursday
November 19 – 6 p.m.
Monday
November 27
Tuesday
November 30
Friday
December 4 – 6 p.m.
Tuesday
December 11
Tuesday
December 14
Friday
December 18 – 6 p.m.
Tuesday
December 26
Wednesday
December 31
Monday
January 3 – 6 p.m.
Thursday
January 10
Thursday

2019 Short Interest Reporting Dates

Settlement Date Due Date1 Exchange Receipt Date
January 15
Tuesday
January 17 – 6 p.m.
Thursday
January 25
Friday
January 31
Thursday
February 4 – 6 p.m.
Monday
February 11
Monday
February 15
Friday
February 20 – 6 p.m.
Wednesday
February 27
Wednesday
February 28
Thursday
March 4 – 6 p.m.
Monday
March 11
Monday
March 15
Friday
March 19 – 6 p.m.
Tuesday
March 26
Tuesday
March 29
Friday
April 2 – 6 p.m.
Tuesday
April 9
Tuesday
April 15
Monday
April 17 – 6 p.m.
Wednesday
April 25
Thursday
April 30
Tuesday
May 2 – 6 p.m.
Thursday
May 9
Thursday
May 15
Wednesday
May 17 – 6 p.m.
Friday
May 24
Friday
May 31
Friday
June 4 – 6 p.m.
Tuesday
June 11
Tuesday
June 14
Friday
June 18 – 6 p.m.
Tuesday
June 25
Tuesday
June 28
Friday
July 2 – 6 p.m.
Tuesday
July 10
Wednesday
July 15
Monday
July 17 – 6 p.m.
Wednesday
July 24
Wednesday
July 31
Wednesday
August 2 – 6 p.m.
Friday
August 9
Friday
August 15
Thursday
August 19 – 6 p.m.
Monday
August 26
Monday
August 30
Friday
September 4 – 6 p.m.
Wednesday
September 11
Wednesday
September 13
Friday
September 17 – 6 p.m.
Tuesday
September 24
Tuesday
September 30
Monday
October 2 – 6 p.m.
Wednesday
October 9
Wednesday
October 15
Tuesday
October 17 – 6 p.m.
Thursday
October 24
Thursday
October 31
Thursday
November 4 – 6 p.m.
Monday
November 11
Monday
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 – 6 p.m.
Friday
January 10
Friday

1 All referenced times are reflected as Eastern Time.