OMB control number
Short Position and Short Activity Reporting by Institutional Investment Managers
OMB 3235-0804 · SEC.
OMB 3235-0804
The Commission adopted new Rule 13f-2 and related Form SHO and an amendment to the national market system plan (“NMS Plan”) governing the consolidated audit trail (“CAT”) to provide greater transparency of short sale-related data.
The latest form for Short Position and Short Activity Reporting by Institutional Investment Managers expires 2026-12-31 and can be found here.
Latest Forms, Documents, and Supporting Material
Document Name |
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Form and Instruction |
Form and Instruction |
Form and Instruction |
Form and Instruction |
Form and Instruction |
Supporting Statement A |
Form 249.333 Form SHO: Use of Structured XML-Based Data Language for Amended Filing
Supporting Statement 3235-0804 (2023 Final Rule).pdf
CAT: Reporting of Bona Fide Market Making Exception –Outsourcers All Historical Document Collections
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Approved without change |
New collection (Request for a new OMB Control Number) | 2023-11-02 | |
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Comment filed on proposed rule |
New collection (Request for a new OMB Control Number) | 2023-02-01 |
OMB Details
Form SHO: Initial Technology Proects
Federal Enterprise Architecture: Economic Development - Financial Sector Oversight
| Form 249.333 | Form SHO | Fillable Fileable | Form and instruction |
Review document collections for all forms, instructions, and supporting documents - including paper/printable forms.