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 is listed under ICR 202311-3235-001.

Latest Forms, Documents, and Supporting Material

Latest forms, documents, and information collections
Document	Type
Form 249.333 Form SHO: Use of Structured XML-Based Data Language for Amended Filing	Form and Instruction
Form 249.333 Form SHO: Amended Filing	Form and Instruction
Form 249.333 Form SHO: Use of Structured XML-Based Data Language	Form and Instruction
Form 249.333 Form SHO: Filings in EDGAR	Form and Instruction
Form 249.333 Form SHO: Initial Technology Proects	Form and Instruction
Supporting Statement 3235-0804 (2023 Final Rule).pdf	Supporting Statement A
CAT: Reporting of Bona Fide Market Making Exception –Outsourcers	Information collection
CAT: Reporting of Bona Fide Market Making Exception – Insourcers	Information collection
CAT: Reporting of Buy to cover Information for Orders –Outsourcers	Information collection
CAT: Reporting of Buy to cover Information for Orders – Insourcers	Information collection
CAT: Central Repository - Short Sale Data	Information collection
Rule 205 "Buy to Cover":Order Marking	Information collection
Rule 205 "Buy to Cover": Initial System Updates	Information collection
Form SHO: Use of Structured XML-Based Data Language for Amended Filing	Form and Instruction
Form SHO: Amended Filing	Form and Instruction
Form SHO: Use of Structured XML-Based Data Language	Form and Instruction
Form SHO: Filings in EDGAR	Form and Instruction
Form SHO: Initial Technology Proects	Form and Instruction

All Historical Document Collections

Historical document collections
Reference	Filing	Received	Concluded	Action
202311-3235-001	New collection (Request for a new OMB Control Number)	2023-11-02		Approved without change
202301-3235-020	New collection (Request for a new OMB Control Number)	2023-02-01		Comment filed on proposed rule

OMB Details

Form SHO: Initial Technology Proects

Federal Enterprise Architecture: Economic Development - Financial Sector Oversight

Information collection instruments
Form	Name	Electronic access	Type
Form 249.333	Form SHO	Fillable Fileable	Form and instruction

Review document collections for all forms, instructions, and supporting documents - including paper/printable forms.