To increase the parties' input into selecting replacement arbitrators, FINRA allows parties to agree to review a "short list" of potential arbitrators to find a replacement. FINRA will notify parties by letter of the option to stipulate to the use of a short list to select a replacement arbitrator. Parties are free to use a short list by mutual agreement at all stages of the
FINRA publishes the short interest reports it collects from broker-dealers for all exchange-listed and over-the-counter (OTC) equity securities. Learn more about equities and OTC equities trading.View DataAbout the DataData GlossaryView Equity Short Interest Data Glossary for definitions of data fields. Data CollectionFINRA Rule 4560 requires FINRA member firms to report their
Beginning Monday, September 24, 2018, FINRA will add a new Daily Short Sale Volume File to its TRF – Regulation SHO data page. This file will provide aggregate daily short sale volume data by security that has been reported to the new FINRA/Nasdaq TRF Chicago.
FINRA will also begin publishing a Monthly Short Sale Transaction File for NMS stocks reported to the FINRA/Nasdaq TRF Chicago
Effective Monday, August 20, 2018, FINRA will begin to apply validations to the OTC Trade Reporting Facility (ORF) and the Alternative Display Facility (ADF) for equity transactions submitted with the Short Sale Indicator.
Short sale trade data is publicly available for off-exchange (OTC) trades in exchange-listed securities reported to a FINRA Trade Reporting Facility (TRF), Alternative Display Facility (ADF), or Over the Counter Reporting Facility (ORF).
FINRA publishes the short interest reports it collects from member firms to help investors gauge the market sentiment surrounding a security or exchange. Prior to June 2021, the data contains short interest positions in over-the-counter securities only and does not reflect short interest data in exchange-listed securities. Archive files going back to 2014 are avilable.About the Data
SEC Approval and Effective Date for New Consolidated FINRA Rule
FINRA reminds clients that effective Monday, August 20, 2018, validations will be applied to the OTC Trade Reporting Facility (ORF) and the Alternative Display Facility (ADF) for equity transactions submitted with the Short Sale Indicator.
A Short Sale Indicator may be submitted only on trades that meet the following conditions:
on sell side trades to indicate if the executing party is
FINRA has developed a video demonstration of the new web-based interface through which firms will begin submitting short interest reports to FINRA effective January 17, 2017.
Options trading carries risk and requires specific approval from an investor’s brokerage firm.
