| OTC Equity Short Interest
|
FINRA Rule 4560 (formerly NASD Rule 3360) requires FINRA member firms to
report their short positions on all over-the-counter (“OTC”) equity securities
to FINRA. Once the short position reports are received,
the short interest is then compiled for each OTC security.
Effective September 7, 2007, then NASD Rule 3360 was changed to require firms
to increase the frequency of short interest reporting from monthly to
semi-monthly cycles. Please refer to the
Short Interest Reporting Deadlines for the current reporting schedule.
The mid-month short interest report is based on short positions
held by members on the settlement date of the 15th of each month. If the 15th
falls on a weekend or another non-settlement date, the designated settlement
date will be the previous business day on which transactions settled. The
end-of-month short interest report is based on short positions held on the last
business day of the month on which transactions settle. The reports must be
filed by the second business day after the reporting settlement date. The short
interest data is compiled and provided for publication on the 8th business day
after the reporting settlement date.
Pricing and publication restrictions are under consideration.
Semi-monthly short interest information will be available on this
site after 4 pm ET on the Media Date.
Publication Schedule.
| Settlement Date | Due Date | Media Date |
| January | 1/15/2013
1/31/2013 | 1/17/2013
2/4/2013 | 1/25/2013
2/11/2013 |
| February | 2/15/2013
2/28/2013 | 2/20/2013
3/4/2013 | 2/27/2013
3/11/2013 |
| March | 3/15/2013
3/28/2013 | 3/19/2013
4/2/2013 | 3/26/2013
4/9/2013 |
| April | 4/15/2013
4/30/2013 | 4/17/2013
5/2/2013 | 4/24/2013
5/9/2013 |
| May | 5/15/2013
5/31/2013 | 5/17/2013
6/4/2013 | 5/24/2013
6/11/2013 |
| June | 6/14/2013
6/28/2013 | 6/18/2013
7/2/2013 | 6/25/2013
7/10/2013 |
| July | 7/15/2013
7/31/2013 | 7/17/2013
8/2/2013 | 7/24/2013
8/9/2013 |
| August | 8/15/2013
8/30/2013 | 8/19/2013
9/4/2013 | 8/26/2013
9/11/2013 |
| September | 9/13/2013
9/30/2013 | 9/17/2013
10/2/2013 | 9/24/2013
10/9/2013 |
| October | 10/15/2013
10/31/2013 | 10/17/2013
11/4/2013 | 10/24/2013
11/11/2013 |
| November | 11/15/2013
11/29/2013 | 11/19/2013
12/3/2013 | 11/26/2013
12/10/2013 |
| December | 12/13/2013
12/31/2013 | 12/17/2013
1/3/2014 | 12/24/2013
1/10/2014 |
| January | 1/15/2014
1/31/2014 | 1/17/2014
2/4/2014 | 1/27/2014
2/11/2014 |
| February | 2/14/2014
2/28/2014 | 2/19/2014
3/4/2014 | 2/26/2014
3/11/2014 |
| March | 3/14/2014
3/31/2014 | 3/18/2014
4/2/2014 | 3/25/2014
4/9/2014 |
| April | 4/15/2014
4/30/2014 | 4/17/2014
5/2/2014 | 4/25/2014
5/9/2014 |
Publication Schedule.
| Settlement Date | Due Date | Media Date |
| January | 1/13/2012
1/31/2012 | 1/18/2012
2/2/2012 | 1/25/2012
2/9/2012 |
| February | 2/15/2012
2/29/2012 | 2/17/2012
3/2/2012 | 2/27/2012
3/9/2012 |
| March | 3/15/2012
3/30/2012 | 3/19/2012
4/3/2012 | 3/26/2012
4/11/2012 |
| April | 4/13/2012
4/30/2012 | 4/17/2012
5/2/2012 | 4/24/2012
5/9/2012 |
| May | 5/15/2012
5/31/2012 | 5/17/2012
6/4/2012 | 5/24/2012
6/11/2012 |
| June | 6/15/2012
6/29/2012 | 6/19/2012
7/3/2012 | 6/26/2012
7/11/2012 |
| July | 7/13/2012
7/31/2012 | 7/17/2012
8/2/2012 | 7/24/2012
8/9/2012 |
| August | 8/15/2012
8/31/2012 | 8/17/2012
9/5/2012 | 8/24/2012
9/12/2012 |
| September | 9/14/2012
9/28/2012 | 9/18/2012
10/2/2012 | 9/25/2012
10/9/2012 |
| October | 10/15/2012
10/31/2012 | 10/17/2012
11/2/2012 | 10/24/2012
11/9/2012 |
| November | 11/15/2012
11/30/2012 | 11/19/2012
12/4/2012 | 11/27/2012
12/11/2012 |
| December | 12/14/2012
12/31/2012 | 12/18/2012
1/3/2013 | 12/26/2012
1/10/2013 |
