The Firm Short Positions and Fails-to-Receive in Municipal Securities section of the 2022 Report on FINRA’s Risk Monitoring and Examination Activities (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) relevant regulatory obligations and related considerations, (2) exam findings and effective practices, and (3) additional resources.
To increase the parties' input into selecting replacement arbitrators, FINRA allows parties to agree to review a "short list" of potential arbitrators to find a replacement. FINRA will notify parties by letter of the option to stipulate to the use of a short list to select a replacement arbitrator. Parties are free to use a short list by mutual agreement at all stages of the
FINRA publishes the short interest reports it collects from broker-dealers for all exchange-listed and over-the-counter (OTC) equity securities. Learn more about equities and OTC equities trading.View DataAbout the DataData GlossaryView Equity Short Interest Data Glossary for definitions of data fields. Data CollectionFINRA Rule 4560 requires FINRA member firms to report their
As an individual investor, there are several ways in which you can hold securities, including through direct registration. Direct registration allows you to have your securities registered in your name—rather than in the name of a brokerage firm—without the need for a physical certificate.
On This PageOverview of Margin RequirementsExtensions of TimeInterpretations of FINRA's Margin RuleCustomer Margin Balance Reporting and Margin StatisticsPortfolio MarginCovered Agency Transaction MarginMargin Disclosure StatementsExternal ResourcesContact OGCOverview of Margin RequirementsThe terms on which FINRA member firms (brokers) can extend credit for securities transactions are
FINRA publishes the short interest reports it collects from broker-dealers for all exchange-listed and over-the-counter (OTC) equity securities. Learn more about equities and OTC equities trading.FINRA Rule 4560 requires FINRA member firms to report their short positions in all OTC equity securities to FINRA. OTC equity / other OTC short interest is available for view by issue, or by
Pursuant to a Securities and Exchange Commission request, FINRA makes short sale trade data publicly available for OTC trades in exchange-listed securities reported to a FINRA Trade Reporting Facility (TRF) and FINRA’s Alternative Display Facility (ADF). FINRA makes two types of files available: (1) Daily Short Sale Volume Files and (2) Monthly Short Sale Transaction Files (collectively, the
FINRA publishes the short interest reports it collects from member firms to help investors gauge the market sentiment surrounding a security or exchange. Prior to June 2021, the data contains short interest positions in over-the-counter securities only and does not reflect short interest data in exchange-listed securities. Archive files going back to 2014 are avilable.About the Data
