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SHORT SALE VOLUME AND TRANSACTION DATA

To increase the transparency surrounding short sale transactions, several self-regulatory organizations (SROs) are providing on their websites daily aggregate short selling volume information for individual equity securities.  The SROs are also providing website disclosure on a one-month delayed basis of information regarding individual short sale transactions in all exchange-listed equity securities.  For short sale data provided by a specific SRO, you can click on the hyperlinks below.

Bats Exchanges (includes Bats BZX Exchange, Bats BYX Exchange, Bats EDGX Exchange and Bats EDGA Exchange)

Financial Industry Regulatory Authority, Inc.

NASDAQ  (includes The Nasdaq Stock Market, Nasdaq BX and Nasdaq PSX markets)

National Stock Exchange, Inc.

NYSE (includes NYSE, NYSE Arca, and NYSE MKT)

In addition, the SEC discloses twice-monthly disclosure on its website fails to deliver data for all equity securities.  You also can go to the SROs’ websites for the threshold securities list for those securities for which the SRO is the primary market.

 


The Office of Investor Education and Advocacy has provided this information as a service to investors.  It is neither a legal interpretation nor a statement of SEC policy.  If you have questions conce

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Modified: Aug. 10, 2016