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.

View the official OMB control history on Reginfo.gov.

Latest Forms, Documents, and Supporting Material

Latest forms, documents, and information collections
Document	Type
Form 249.333 Form SHO	Form and Instruction
Form 249.333 Form SHO: Use of Structured XML-Based Data Language for Amended Filing	Form and Instruction
Form 249.333 Form SHO	Form and Instruction
Form 249.333 Form SHO: Amended Filing	Form and Instruction
Form 249.333 Form SHO	Form and Instruction
Form 249.333 Form SHO: Use of Structured XML-Based Data Language	Form and Instruction
Form 249.333 Form SHO	Form and Instruction
Form 249.333 Form SHO: Filings in EDGAR	Form and Instruction
Form 249.333 Form SHO	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: Use of Structured XML-Based Data Language for Amended Filing	Form and Instruction
Form SHO: 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: Use of Structured XML-Based Data Language	Form and Instruction
Form SHO: Filings in EDGAR	Form and Instruction
Form SHO: Filings in EDGAR	Form and Instruction
Form SHO: Initial Technology Proects	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.