OTC Equity Short Interest

Overview

NASD Rule 3360 has been expanded to require FINRA member firms to report their short positions on all over-the-counter (“OTC”) equity securities to FINRA effective July 3, 2006. Once the short position reports are received, the short interest is then compiled for each OTC security.

Effective September 7, 2007, 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.

Publication Schedule

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
January01/15/2009
01/30/2009		01/20/2009
02/03/2009		01/27/2009
02/10/2009
February02/13/2009
02/27/2009		02/18/2009
03/03/2009		02/25/2009
03/10/2009
March03/13/2009
03/31/2009		03/17/2009
04/02/2009		03/24/2009
04/09/2009
April04/15/2009
04/30/2009		04/17/2009
05/04/2009		04/24/2009
05/11/2009
May05/15/2009
05/29/2009		05/19/2009
06/02/2009		05/27/2009
06/09/2009
June06/15/2009
06/30/2009		06/17/2009
07/02/2009		06/24/2009
07/10/2009
July07/15/2009
07/31/2009		07/17/2009
08/04/2009		07/24/2009
08/11/2009
August08/14/2009
08/31/2009		08/18/2009
09/02/2009		08/25/2009
09/10/2009
September09/15/2009
09/30/2009		09/17/2009
10/02/2009		09/24/2009
10/09/2009
October10/15/2009
10/30/2009		10/19/2009
11/03/2009		10/26/2009
11/10/2009
November11/13/2009
11/30/2009		11/17/2009
12/02/2009		11/24/2009
12/09/2009
December12/15/2009
12/31/2009		12/17/2009
01/05/2010		12/24/2009
01/12/2010
January01/15/2010
01/29/2010		01/20/2010
02/02/2010		01/27/2010
02/09/2010
February02/12/2010
02/26/2010		02/17/2010
03/02/2010		02/24/2010
03/09/2010
March03/15/2010
03/31/2010		03/17/2010
04/05/2010		03/24/2010
04/12/2010
April04/15/2010
04/30/2010		04/19/2010
05/04/2010		04/26/2010
05/11/2010
May05/14/2010
05/28/2010		05/18/2010
06/02/2010		05/25/2010
06/09/2010
June06/15/2010
06/30/2010		06/17/2010
07/02/2010		06/24/2010
07/12/2010
July07/15/2010
07/30/2010		07/19/2010
08/03/2010		07/26/2010
08/10/2010
August08/13/2010
08/31/2010		08/17/2010
09/02/2010		08/24/2010
09/10/2010
September09/15/2010
09/30/2010		09/17/2010
10/04/2010		09/24/2010
10/11/2010
October10/15/2010
10/29/2010		10/19/2010
11/02/2010		10/26/2010
11/09/2010

Publication Schedule.

Settlement Date Due Date Media Date
January01/15/2008
01/31/2008		01/17/2008
02/04/2008		01/25/2008
02/11/2008
February02/15/2008
02/29/2008		02/20/2008
03/04/2008		02/27/2008
03/11/2008
March03/14/2008
03/31/2008		03/18/2008
04/02/2008		03/26/2008
04/09/2008
April04/15/2008
04/30/2008		04/17/2008
05/02/2008		04/24/2008
05/09/2008
May05/15/2008
05/30/2008		05/19/2008
06/03/2008		05/27/2008
06/10/2008
June06/13/2008
06/30/2008		06/17/2008
07/02/2008		06/24/2008
07/10/2008
July07/15/2008
07/31/2008		07/17/2008
08/04/2008		07/24/2008
08/11/2008
August08/15/2008
08/29/2008		08/19/2008
09/03/2008		08/26/2008
09/10/2008
September09/15/2008
09/30/2008		09/17/2008
10/02/2008		09/24/2008
10/09/2008
October10/15/2008
10/31/2008		10/17/2008
11/04/2008		10/24/2008
11/11/2008
November11/14/2008
11/28/2008		11/18/2008
12/02/2008		11/25/2008
12/09/2008
December12/15/2008
12/31/2008		12/17/2008
01/05/2009		12/24/2008
01/12/2009

Short Interest Data

OTC equity short interest is available for view by issue, or by downloadable pipe-delimited text file containing all OTC equity securities reported with a short position. Data is available online for one rolling year and is based on the settlement date provided in the Publication Schedule above.

View by Security
Step 1:    Enter an Issue
Step 2:    Select a Settlement Date

Downloadable File
Select a Settlement Date
Download

Data Definitions and Contact Information

Data Field Definition
Security Name Name of the security
Security Symbol Symbol identifier
OTC Market Type Indicates whether the security is OTC Bulletin Board or non-Bulletin Board
Current Cycle Short Interest The total number of shares in the security that are reflected on the books and records of the reporting firms as short as defined by SEC Rule 200 as of the current cycle's designated settlement date.
Previous Cycle Short Interest The amount of shares that were reported as being sold short for the previous cycle
Change in Shares Short from Previous Cycle Difference in short interest between the current cycle and the previous cycle
Percent Change from Previous Cycle The percent change from the current cycle's short interest compared to the previous cycle's short interest.
Formula: (Current Cycle Short Interest - Previous Cycle Short Interest) / Previous Cycle Short Interest, x 100, Rounded to Hundredths.
Average Daily Share Volume The daily average share volume reported for the security during the current cycle
Days to Cover The number of days of average share volume it would require to buy all of the shares that were sold short during the reporting cycle.
Formula: Short Interest / Average Daily Share Volume, Rounded to Hundredths. 1.00 will be displayed for any values equal or less than 1 (i.e., Average Daily Share is equal to or greater than Short Interest). N/A will be displayed If the days to cover is Zero (i.e., Average Daily Share Volume is Zero).

Questions regarding OTC equity short interest data may be directed to the Legal Section, Market Regulation at (240) 386-5126, or Office of General Counsel at (202) 728-8071.

Overview of OTC Short Interest
Publication Schedule
Short Interest Data
Data Definitions and Contact Information



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