Tag Archives: short interest

U.S. – FINRA Short Selling Reporting FAQs

On 27 October 2022, FINRA provided FAQs about short selling reporting. FINRA issued FAQs on short selling reporting requirements under FINRA Rule 4560. FAQs pertains to the reporting to FINRA of short positions in OTC Equity securities, as defined in FINRA Rule 6420, and securities listed on a national securities exchange. Short Interest Reporting Specified…
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U.S. – Short Position Reporting Fine

On 12 October 2022, FINRA reported short position reporting, supervisory failures. FINRA issued letter of acceptance, waiver and consent (AWC) with Scotia Capital (USA) Inc. re short position reporting requirements and supervision violations. Alleged Violations Between July 2012 and June 2019, Scotia erroneously included non-reportable short positions reflected in two omnibus accounts in the firm’s…
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U.S. – FINRA Short Interest Reporting Dates

On 29 July 2021, FINRA published short interest reporting dates for 2021. FINRA published a schedule containing firm short interest reporting dates for 2021. Short Interest Reporting Firms required to report short interest positions in all customer, proprietary accounts. Short interest positions required to be reported for all equity securities twice a month. Must be…
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