Short Position and Short Activity Reporting by Institutional Investment Managers

Forms and Documents

Forms and supporting documents for this ICR

Document	Type	Status	Availability
Form 249.333 Form SHO	Form and Instruction	Modified	Available
Form 249.333 Form SHO	Form and Instruction	Modified	Available
Form 249.333 Form SHO	Form and Instruction	Unchanged	Available
Form 249.333 Form SHO	Form and Instruction	Modified	Available
Form 249.333 Form SHO	Form and Instruction	Removed	Available
3235-0804_30-Day Submission Notice.pdf.pdf	Supplementary Document	Uploaded 2026-09-30	Available
3235-0804_60-Day Collection Notice.pdf	Supplementary Document	Uploaded 2026-07-27	Available
Supporting Statement 3235-0804 (2026 Extension).pdf	Supporting Statement A	Uploaded 2026-07-22	Available

IC Document Collections

Information collection document groups

IC ID	Collection	Type	Status	Form
258113	CAT: Reporting of Bona Fide Market Making Exception –Outsourcers		Removed
258112	CAT: Reporting of Bona Fide Market Making Exception – Insourcers		Removed
258109	CAT: Central Repository - Short Sale Data		Removed
258106	Form SHO: Use of Structured XML-Based Data Language for Amended Filing	Form and Instruction	Modified	Form SHO
258105	Form SHO: Amended Filing	Form and Instruction	Modified	Form SHO
258104	Form SHO: Use of Structured XML-Based Data Language	Form and Instruction	Unchanged	Form SHO
258103	Form SHO: Filings in EDGAR	Form and Instruction	Modified	Form SHO
258022	Form SHO: Initial Technology Proects	Form and Instruction	Removed	Form SHO

ICR Details

OMB Control No: 3235-0804	ICR Reference No: 202607-3235-015
Status: Received in OIRA	Previous ICR Reference No: 202311-3235-001
Agency/Subagency: SEC	Agency Tracking No: TM
Title: Short Position and Short Activity Reporting by Institutional Investment Managers
Type of Information Collection: Extension without change of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular	Date Submitted to OIRA: 09/30/2026

table that charts list comparision

	Requested	Previously Approved
Expiration Date	36 Months From Approved	12/31/2026
Responses	24,528	25,965
Time Burden (Hours)	269,808	386,782
Cost Burden (Dollars)	0	341,933

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Abstract: Rule 13f-2 and related Form SHO and an amendment to the national market system plan (“NMS Plan”) governs the consolidated audit trail (“CAT”) to provide greater transparency of short sale-related data.

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Authorizing Statute(s): US Code: 15 USC 78 et seq Name of Law: Securities Exchange Act of 1934
   PL: Pub.L. 111 - 203 929X Name of Law: Dodd Frank Wall Street Reform and Consumer Protection Act
  

Citations for New Statutory Requirements: None

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Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
	Not associated with rulemaking

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Federal Register Notices & Comments
60-day Notice:	Federal Register Citation:	Citation Date:
	91 FR 47023	07/27/2026
30-day Notice:	Federal Register Citation:	Citation Date:
	91 FR 61896	09/30/2026
Did the Agency receive public comments on this ICR? No

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Number of Information Collection (IC) in this ICR: 4

table that charts list of burden

IC Title	Form No.	Form Name
CAT: Central Repository - Short Sale Data
CAT: Reporting of Bona Fide Market Making Exception – Insourcers
CAT: Reporting of Bona Fide Market Making Exception –Outsourcers
Form SHO: Amended Filing	249.333	Form SHO
Form SHO: Filings in EDGAR	249.333	Form SHO
Form SHO: Initial Technology Proects	249.333	Form SHO
Form SHO: Use of Structured XML-Based Data Language	249.333	Form SHO
Form SHO: Use of Structured XML-Based Data Language for Amended Filing	249.333	Form SHO

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ICR Summary of Burden

table that charts list of burden

	Total Request	Previously Approved	Change Due to New Statute	Change Due to Agency Discretion	Change Due to Adjustment in Estimate	Change Due to Potential Violation of the PRA
Annual Number of Responses	24,528	25,965	0	-1,437	0	0
Annual Time Burden (Hours)	269,808	386,782	0	-116,974	0	0
Annual Cost Burden (Dollars)	0	341,933	0	-341,933	0	0

Burden increases because of Program Change due to Agency Discretion: No

Burden Increase Due to:

Burden decreases because of Program Change due to Agency Discretion: Yes

Burden Reduction Due to: Miscellaneous Actions

Short Statement: The total estimated burden has decreased due to a change in the number of amended filings as well as the removal of several initial, one-time burdens. These changes are discussed in more detail in the attached Supporting Statement.

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Annual Cost to Federal Government:

Does this IC contain surveys, censuses, or employ statistical methods? No

Does this ICR request any personally identifiable information (see OMB Circular No. A-130 for an explanation of this term)? Please consult with your agency's privacy program when making this determination.     No

Does this ICR include a form that requires a Privacy Act Statement (see 5 U.S.C. §552a(e)(3))? Please consult with your agency's privacy program when making this determination.     No

Is this ICR related to the Affordable Care Act [Pub. L. 111-148 & 111-152]? No

Is this ICR related to the Dodd-Frank Wall Street Reform and Consumer Protection Act, [Pub. L. 111-203]? Yes

Is this ICR related to the American Recovery and Reinvestment Act of 2009 (ARRA)? No

Is this ICR related to the Pandemic Response? No

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Common Form ICR:  No

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On behalf of this Federal agency, I certify that the collection of information encompassed by this request complies with 5 CFR 1320.9 and the related provisions of 5 CFR 1320.8(b)(3).

The following is a summary of the topics, regarding the proposed collection of information, that the certification covers:

(a) It is necessary for the proper performance of agency functions;

(b) It avoids unnecessary duplication;

(c) It reduces burden on small entities;

(d) It uses plain, coherent, and unambiguous language that is understandable to respondents;

(e) Its implementation will be consistent and compatible with current reporting and recordkeeping practices;

(f) It indicates the retention periods for recordkeeping requirements;

(g) It informs respondents of the information called for under 5 CFR 1320.8 (b)(3) about:

(i) Why the information is being collected;

(ii) Use of information;

(iii) Burden estimate;

(iv) Nature of response (voluntary, required for a benefit, or mandatory);

(v) Nature and extent of confidentiality; and

(vi) Need to display currently valid OMB control number;

(h) It was developed by an office that has planned and allocated resources for the efficient and effective management and use of the information to be collected.

(i) It uses effective and efficient statistical survey methodology (if applicable); and

(j) It makes appropriate use of information technology.

If you are unable to certify compliance with any of these provisions, identify the item by leaving the box unchecked and explain the reason in the Supporting Statement.

Certification Date: 09/30/2026

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