IEX Short Interest Report and IEX Threshold Securities List with CUSIP Access

IEX Trading Alert #2017 - 053

Overview

IEX plans to become a primary listing exchange and support its first IEX-listed company in early 2018. IEX will distribute consolidated market short interest positions in all IEX-listed securities (the "IEX Short Interest Report") and a list of the 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 ("threshold securities") (the "IEX Threshold Securities List") from the IEX public website. The IEX Short Interest Report and IEX Threshold Securities List will be available with or without CUSIP information, but only participants with a proper license may download a report containing CUSIP data. All historical versions of the report will be available for download from the IEX website. Short interest and threshold security data will also be available via the IEX API.

IEX Short Interest Report

On a semimonthly basis, FINRA provides IEX with a summary of the consolidated market short interest positions in all IEX-listed securities. IEX compiles such short interest data in the IEX Short Interest Report. The IEX Short Interest Report will be posted the IEX website daily, however the data is updated twice a month based on FINRA's schedule. The IEX Short Interest Report is available on the IEX public website to view or download free of charge.

For more details, please review the IEX Short Interest Report Specification. Sample short interest data can be found on the IEX Short Interest page.

IEX Threshold Securities List

On a daily basis, FINRA provides IEX with a list of the IEX-listed securities which are considered threshold securities. IEX compiles such threshold security data in the IEX Threshold Security List. The IEX Threshold Security List will be posted the IEX website daily. The IEX Threshold Security List is available on the IEX public website to view or download free of charge.

For more details, please review the IEX Threshold Securities List Specification. Sample short interest data can be found on the IEX Threshold Securities page.

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 report data 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 the IEX Short Interest Report or IEX Threshold Security List must provide their CUSIP license information when creating an IEX Account. Access to download the CUSIP version will be granted only after IEX has verified licensing. Access to download the CUSIP version will be granted only after IEX has verified licensing. Please see the Appendix of the IEX Short Interest Report Specification or IEX Threshold Securities List Specification for step-by-step instructions to create an IEX Account and request CUSIP access, or simply follow the instructions below.

  1. Go to iextrading.com and click 'Log In'
  2. Click 'Create an Account'
  3. Enter your company email address and click 'Verify email'
  4. Check your email for the verification code. Enter the code, choose a password, click 'Create my account'
  5. In the Account Dashboard, enter your information and click 'Save' for each field
    • Before requesting access to CUSIP data, you must enter the following fields:
      • First name
      • Last name
      • Phone
      • Company name (full legal entity name)
  6. Once first name, last name, phone, and company name have been saved, click 'Request CUSIP access'
  7. In the Verification form, enter your information and agree to the CGS CUSIP Electronic Distribution Agreement, then click 'Submit' only once
  8. Wait for the green bar to appear. You may now safely logout and return to the home page.

Once submitted, IEX will contact CUSIP Global Services ("CGS") to verify the firm has the appropriate license to receive CUSIP data. Once IEX receives approval, the user will receive an email notification. Please note that approval times vary between 24-48 hours.

Short Interest and Threshold Securities Data via the IEX API

The latest and historical IEX Short Interest Reports and IEX Threshold Securities Lists are each available at a dedicated URL. The version with CUSIP information is available to authenticated users, while the other is open to the public. Each IEX Short Interest Report or IEX Threshold Security List is available in the following formats: JSON (default), pipe separated, or comma separated.

IEX Short Interest Report

IEX Threshold Securities List

Users may access specific dates or formats by applying one or more parameters to the URL. For more details about the supported URL parameters, please review the IEX Short Interest Report Specification and IEX Threshold Securities List Specification.

More Information

Please contact IEX Market Operations, Listing Operations, or Sales with any questions:

About IEX

IEX is on a mission to build fairer markets. Founded in 2012 and headquartered in New York City, IEX introduced its first trading venue in 2013 and launched as a U.S. stock exchange in 2016. IEX is the stock exchange that believes that every investor has the right to trade on equal and fair terms, on every trade. Learn more at: iextrading.com.