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Accelerate Form SHO Reporting with an End-to-End Solution

Starting January 2, 2028, the SEC is requiring institutional investment managers to report short-selling activities every month via Form SHO. Trust DFIN to streamline filing.

We combine our deep expertise of Form SHO regulations and best practices with cutting-edge technology to ensure your monthly reports are accurate, timely and fully compliant.

Simplify Form SHO Reporting with:

  • Data Ingestion: User friendly and intuitive Excel templated approach guides clients through data collection.
  • Data Validation: Accuracy and completeness of filing data ensured.
  • Form SHO Filing: Accurate and timely submission of Form SHO reports.
  • Oversight: Visibility on when and what was filed through oversight report distribution.
  • Regulatory Consulting: Expert advice and guidance on Form SHO and other regulations.
  • One-Stop Shop: Support for other institutional managers regulatory filings, including 13F-HR or 13F-NT and Form N-PX filings.

Why DFIN for Form SHO?

Focus on your core business knowing your short activity filing and reporting is covered.

Fill out our easy-to-use template, and we will do the rest. From data ingestion and validation to filing directly with the SEC, with DFIN you get:

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Expert Guidance

Gain access to our deep understanding of Form SHO regulations and best practices.

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Time and Cost Savings

Reduce the burden of in-house compliance efforts and save valuable resources.

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Risk Mitigation

Protect your organization from regulatory penalties and reputational damage.

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Hands-Off Reporting

Rely on DFIN to handle processes end to end with minimal oversight.

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Scalability

Easily adapt our solution to your changing needs and market conditions.