OTC Equity Short Interest

Overview

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.

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
January1/15/2014
1/31/2014
1/17/2014
2/4/2014
1/27/2014
2/11/2014
February2/14/2014
2/28/2014
2/19/2014
3/4/2014
2/26/2014
3/11/2014
March3/14/2014
3/31/2014
3/18/2014
4/2/2014
3/25/2014
4/9/2014
April4/15/2014
4/30/2014
4/17/2014
5/2/2014
4/25/2014
5/9/2014
May5/15/2014
5/30/2014
5/19/2014
6/3/2014
5/27/2014
6/10/2014
June6/13/2014
6/30/2014
6/17/2014
7/2/2014
6/24/2014
7/10/2014
July7/15/2014
7/31/2014
7/17/2014
8/4/2014
7/24/2014
8/11/2014
August8/15/2014
8/29/2014
8/19/2014
9/3/2014
8/26/2014
9/10/2014
September9/15/2014
9/30/2014
9/17/2014
10/2/2014
9/24/2014
10/9/2014
October10/15/2014
10/31/2014
10/17/2014
11/4/2014
10/24/2014
11/11/2014
November11/14/2014
11/28/2014
11/18/2014
12/2/2014
11/25/2014
12/9/2014
December12/15/2014
12/31/2014
12/17/2014
1/5/2015
12/24/2014
1/12/2015
January1/15/2015
1/30/2015
1/20/2015
2/3/2015
1/27/2015
2/10/2015
February2/13/2015
2/27/2015
2/18/2015
3/3/2015
2/25/2015
3/10/2015
March3/13/2015
3/31/2015
3/17/2015
4/2/2015
3/24/2015
4/10/2015
April4/15/2015
4/30/2015
4/17/2015
5/4/2015
4/24/2015
5/11/2015
May5/15/2015
5/29/2015
5/19/2015
6/2/2015
5/27/2015
6/9/2015
June6/15/2015
6/30/2015
6/17/2015
7/2/2015
6/24/2015
7/10/2015
July7/15/2015
7/31/2015
7/17/2015
8/4/2015
7/24/2015
8/11/2015
August8/14/2015
8/31/2015
8/18/2015
9/2/2015
8/25/2015
9/10/2015
September9/15/2015
9/30/2015
9/17/2015
10/2/2015
9/24/2015
10/9/2015
October10/15/201510/19/201510/26/2015

Publication Schedule.

Settlement Date Due Date Media Date
January1/15/2013
1/31/2013
1/17/2013
2/4/2013
1/25/2013
2/11/2013
February2/15/2013
2/28/2013
2/20/2013
3/4/2013
2/27/2013
3/11/2013
March3/15/2013
3/28/2013
3/19/2013
4/2/2013
3/26/2013
4/9/2013
April4/15/2013
4/30/2013
4/17/2013
5/2/2013
4/24/2013
5/9/2013
May5/15/2013
5/31/2013
5/17/2013
6/4/2013
5/24/2013
6/11/2013
June6/14/2013
6/28/2013
6/18/2013
7/2/2013
6/25/2013
7/10/2013
July7/15/2013
7/31/2013
7/17/2013
8/2/2013
7/24/2013
8/9/2013
August8/15/2013
8/30/2013
8/19/2013
9/4/2013
8/26/2013
9/11/2013
September9/13/2013
9/30/2013
9/17/2013
10/2/2013
9/24/2013
10/9/2013
October10/15/2013
10/31/2013
10/17/2013
11/4/2013
10/24/2013
11/11/2013
November11/15/2013
11/29/2013
11/19/2013
12/3/2013
11/26/2013
12/10/2013
December12/13/2013
12/31/2013
12/17/2013
1/3/2014
12/24/2013
1/10/2014

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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