Series 14: 3.2.1. Short Interest Reporting

Taken from our Series 14 Online Guide

3.2.1. Short Interest Reporting

Member firms must maintain a record of total “short” positions for every customer equity account and must regularly report this information to FINRA. An investor has a net long position when it contains more long than short positions in a security or market sector but includes both. Even though a position is net long and will benefit from a rise in prices, firms must report the

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