NASDAQ Short Interest Publication Schedule

Report Overview

Short selling is the selling of a security that the seller does not own, or any sale that is completed by the delivery of a security borrowed by the seller. Short selling is a legitimate trading strategy. Short sellers assume the risk that they will be able to buy the stock at a more favorable price than the price at which they sold short. Short positions are those resulting from short sales. Each FINRA member firm is required to report its “total” short interest positions in all customer and proprietary accounts in NASDAQ-listed securities twice a month. These reports are used to calculate short interest in NASDAQ stocks.

FINRA member firms are required to report their short positions as of settlement on (1) the 15th of each month, or the preceding business day if the 15th is not a business day, and (2) as of settlement on the last business day of the month.* The reports must be filed by the second business day after the reporting settlement date. FINRA compiles the short interest data and provides it for publication on the 8th business day after the reporting settlement date.

The short interest information includes the adjustment for stock splits. The adjustment to the short interest for stocks that split on or before the reporting settlement date will automatically be reflected in all historical data available on the website to facilitate historical comparisons. For stock splits that occur after the settlement date, however, the adjustment will be reflected in the following reporting period. If a stock split occurs before the settlement date, the Short Interest and Average Daily Share volume will be adjusted based on that stock split. For example: in a given reporting date, if an issue had 10,000 Shares Sold Short, and an Average Daily Share Volume of 20,000 and experienced a 2:1 stock split prior to that reporting date, the Short Interest and Daily Share Volume would be adjusted on a 2:1 basis: Short Interest would be adjusted to 20,000 shares and the Daily Average Share Volume would be adjusted to 40,000 shares. All historically archived values would be adjusted similarly.

The requirement for reporting short interest as of settlement on the last business day of the month became effective September 2007.

Publication Schedule for 2016

  Settlement Date Due Date- 6 p.m. Dissemination Date
after 4 p.m., ET
December 12/15/2016 12/19/2016 12/27/2016
  12/30/2016 1/04/2017 1/11/2017

Publication Schedule for 2017

  Settlement Date Due Date- 6 p.m. Dissemination Date
after 4 p.m., ET
January1/13/20171/18/20171/25/2017
 1/31/20172/2/20172/9/2017
February2/15/20172/17/20172/27/2017
 2/28/20173/2/20173/9/2017
March3/15/20173/17/20173/24/2017
 3/31/20174/4/20174/11/2017
April4/13/20174/18/20174/25/2017
 4/28/20175/2/20175/9/2017
May5/15/20175/17/20175/24/2017
 5/31/20176/2/20176/9/2017
June6/15/20176/19/20176/26/2017
 6/30/20177/5/20177/12/2017
July7/14/20177/18/20177/25/2017
 7/31/20178/2/20178/9/2017
August8/15/20178/17/20178/24/2017
 8/31/20179/5/20179/12/2017
September9/15/20179/19/20179/26/2017
 9/29/201710/3/201710/10/2017
October10/13/201710/17/201710/24/2017
 10/31/201711/2/201711/9/2017
November11/15/2017*11/17/201711/27/2017
 11/30/201712/4/201712/11/2017
December12/15/201712/19/201712/27/2017
 12/29/20171/3/20181/10/2018

*There are two trade dates that settle on November 15, 2017. Firms that file their short interest positions via an ASCII text file should use the trade date of November 9, 2017 when populating Record Type 2, Field 6 of the file. Please note that all trade dates are subject to change pending SEC approval to shorten transaction settlement cycle See Release No. 34-78962.

Additional Information

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