Exam Alert: FINRA alters short interest reporting requirements

Effective December 15, 2011, FINRA has modified the rules for submitting short interest data. Specifically, when reporting such data for a security that is primarily listed on the BATS Exchange, the new exchange/market code “H” is used. Continue reading

Effective December 15, 2011, FINRA has modified the rules for submitting short interest data.  Specifically, when reporting such data for a security that is primarily listed on the BATS Exchange, the new exchange/market code “H” is used.

Source: FINRA Regulatory Notice 11-55

This alert applies to the Series 24.

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