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Regulation SHO Threshold Securities

The following are IEX-listed securities that have an aggregate fail to deliver position for five consecutive settlement days at a registered clearing agency, totaling 10,000 shares or more and equal to at least 0.5% of the issuer's total shares outstanding (i.e., "threshold securities").


Sample Report

  • Threshold Securities List ( json  |  psv  |  csv )
  • Participants that wish to receive CUSIP data in the above samples must update the URL to provide their unique API Token after obtaining CUSIP access via the below process. If an API Token is not specified or if the user is not authorized to access CUSIP data, CUSIP data is not provided. See the above specification for details about finding and using the API Token.

CUSIP Access

CUSIP numbers are the property of the American Bankers Association (ABA) and are administered by Standard & Poor's. Since IEX neither owns nor controls CUSIP numbers, distributors cannot be authorized to receive the daily list or fundamental data files including CUSIP data unless they have a license in place with CUSIP. Please note that IEX is not responsible for obtaining written approval from CUSIP prior to authorizing data distributors to externally redistribute CUSIP data; it is the responsibility of the data distributor to obtain such CUSIP permission for their downstream customers.

Participants who wish to access the CUSIP version of this file must provide their CUSIP license information when creating an IEX Account. Access to view or download the CUSIP version will be granted only after IEX has verified licensing. Please see the Appendix of the IEX Threshold Securities List Specification for step-by-step instructions. To view or download CUSIP data once authorized, first log in, then return to the report to either “View details” or “Download.”

Note that all securities are represented using INET symbology below, however IEX provides securities in SIAC/CQS symbology and CMS symbology in the details or download version of each record.