| OTC Equity Short Interest
|
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.
Semi-monthly short interest information will be available on this
site after 4 pm ET on the Media Date.
|
Trade Date |
Settlement Date |
Due Date |
Media Date |
Publication Date |
| January |
1/9/2007 |
1/12/2007 |
1/17/2007 |
1/24/2007 |
1/25/2007 |
| February |
2/12/2007 |
2/15/2007 |
2/20/2007 |
2/27/2007 |
2/28/2007 |
| March |
3/12/2007 |
3/15/2007 |
3/19/2007 |
3/26/2007 |
3/27/2007 |
| April |
4/10/2007 |
4/13/2007 |
4/17/2007 |
4/24/2007 |
4/25/2007 |
| May |
5/10/2007 |
5/15/2007 |
5/17/2007 |
5/24/2007 |
5/25/2007 |
| June |
6/12/2007 |
6/15/2007 |
6/19/2007 |
6/26/2007 |
6/27/2007 |
| July |
7/10/2007 |
7/13/2007 |
7/17/2007 |
7/24/2007 |
7/25/2007 |
| August |
8/10/2007 |
8/15/2007 |
8/17/2007 |
8/24/2007 |
8/27/2007 |
| September |
9/11/2007
9/25/2007 |
9/14/2007
9/28/2007 |
9/18/2007
10/2/2007 |
9/25/2007
10/9/2007 |
9/26/2007
10/10/2007 |
| October |
10/10/2007
10/26/2007 |
10/15/2007
10/31/2007 |
10/17/2007
11/2/2007 |
10/24/2007
11/9/2007 |
10/25/2007
11/12/2007 |
| November |
11/9/2007
11/27/2007 |
11/15/2007
11/30/2007 |
11/19/2007
12/4/2007 |
11/27/2007
12/11/2007 |
11/28/2007
12/12/2007 |
| December |
12/11/2007
12/26/2007 |
12/14/2007
12/31/2007 |
12/18/2007
1/3/2008 |
12/26/2007
1/10/2008 |
12/27/2007
1/11/2008 |
|
Trade Date |
Settlement Date |
Due Date |
Media Date |
Publication Date |
| January |
1/10/2008
1/28/2008 |
1/15/2008
1/31/2008 |
1/17/2008
2/4/2008 |
1/25/2008
2/11/2008 |
1/28/2008
2/12/2008 |
| February |
2/12/2008
2/26/2008 |
2/15/2008
2/29/2008 |
2/20/2008
3/4/2008 |
2/27/2008
3/11/2008 |
2/28/2008
3/12/2008 |
| March |
3/11/2008
3/26/2008 |
3/14/2008
3/31/2008 |
3/18/2008
4/2/2008 |
3/26/2008
4/9/2008 |
3/27/2008
4/10/2008 |
| April |
4/10/2008
4/25/2008 |
4/15/2008
4/30/2008 |
4/17/2008
5/2/2008 |
4/24/2008
5/9/2008 |
4/25/2008
5/12/2008 |
| May |
5/12/2008
5/27/2008 |
5/15/2008
5/30/2008 |
5/19/2008
6/3/2008 |
5/27/2008
6/10/2008 |
5/28/2008
6/11/2008 |
| June |
6/10/2008
6/25/2008 |
6/13/2008
6/30/2008 |
6/17/2008
7/2/2008 |
6/24/2008
7/10/2008 |
6/25/2008
7/11/2008 |
| July |
7/10/2008
7/28/2008 |
7/15/2008
7/31/2008 |
7/17/2008
8/4/2008 |
7/24/2008
8/11/2008 |
7/25/2008
8/12/2008 |
| August |
8/12/2008
8/26/2008 |
8/15/2008
8/29/2008 |
8/19/2008
9/3/2008 |
8/26/2008
9/10/2008 |
8/27/2008
9/11/2008 |
| September |
9/10/2008
9/25/2008 |
9/15/2008
9/30/2008 |
9/17/2008
10/2/2008 |
9/24/2008
10/9/2008 |
9/25/2008
10/10/2008 |
| October |
10/9/2008
10/28/2008 |
10/15/2008
10/31/2008 |
10/17/2008
11/4/2008 |
10/24/2008
11/11/2008 |
10/27/2008
11/12/2008 |
| November |
11/10/2008
11/24/2008 |
11/14/2008
11/28/2008 |
11/18/2008
12/2/2008 |
11/25/2008
12/9/2008 |
11/26/2008
12/10/2008 |
| December |
12/10/2008
12/26/2008 |
12/15/2008
12/31/2008 |
12/17/2008
1/5/2009 |
12/24/2008
1/12/2009 |
12/26/2008
1/13/2009 |
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.
| 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.
