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Fails-to-Deliver Data

January 2004 - July 2017


What You Should Know About the Data

This text file contains the date, CUSIP numbers, ticker symbols, issuer name, price, and total number of fails-to-deliver (i.e., the balance level outstanding) recorded in the National Securities Clearing Corporation's ("NSCC") Continuous Net Settlement (CNS) system aggregated over all NSCC members. Data prior to September 16, 2008 include only securities with a balance of total fails-to-deliver of at least 10,000 shares as of a particular settlement date. Data on or after September 16, 2008 include all securities with a balance of total fails-to-deliver as of a particular settlement date. The data include fails-to-deliver in equity securities.

The values of total fails-to-deliver shares represent the aggregate net balance of shares that failed to be delivered as of a particular settlement date. If the aggregate net balance of shares that failed to be delivered is less than 10,000 as of a particular settlement date prior to September 16, 2008, then no record will be present in the file for that date even if there are fails in that security. If the aggregate net balance of shares that failed to be delivered is zero as of a particular settlement date on or after September 16, 2008, then no record will be present in the file for that date. Fails to deliver on a given day are a cumulative number of all fails outstanding until that day, plus new fails that occur that day, less fails that settle that day. The figure is not a daily amount of fails, but a combined figure that includes both new fails on the reporting day as well as existing fails. In other words, these numbers reflect aggregate fails as of a specific point in time, and may have little or no relationship to yesterday's aggregate fails. Thus, it is important to note that the age of fails cannot be determined by looking at these numbers. In addition, the underlying source(s) of the fails-to-deliver shares is not necessarily the same as the underlying source(s) of the fails-to-deliver shares reported the day prior or the day after.

Data Prior to July 2009

Prior to July 2009, the files contain each settlement date over a calendar month. The monthly files are archived in a zipped file for each calendar quarter. We cannot guarantee the accuracy of the data.

Data Starting July 2009

Starting July 2009, each month is contained in two files. The first half of a given month is available at the end of the month. The second half of a given month is available at about the 15th of the next month. We cannot guarantee that the data will be posted by a particular date. We cannot guarantee the accuracy of the data.

The price field includes the closing price of the security on the previous day as long as the price is available and is greater than one penny. When the price is not available or is less than a penny, the field is filled with a “.”. Even when prices are included in the data, we cannot guarantee that this price matches closing prices available from other sources.

Please note that fails-to-deliver can occur for a number of reasons on both long and short sales. Therefore, fails-to-deliver are not necessarily the result of short selling, and are not evidence of abusive short selling or “naked” short selling. For more information on short selling and fails-to-deliver, see http://www.sec.gov/investor/pubs/regsho.htm, http://www.sec.gov/divisions/marketreg/mrfaqregsho1204.htm, and http://www.sec.gov/rules/final/34-50103.htm.

What You Should Know About the Data File

The information in this file is raw data — data that are meant to be used as input to another program. The data items are provided as a "pipe delimited" text file. Although the file can be viewed in any program that accepts ASCII text (for example, a word processor), the data fields are best viewed when imported into a program that accepts delimited data, such as a spreadsheet or a statistical application. The record layout and maximum field sizes are shown below for those who want to process the data into another form.

Field Name Field Description Maximum Size
SETTLEMENT DATE SETTLEMENT DATE Number - 8 digits
CUSIP CUSIP 9 characters
SYMBOL TICKER SYMBOL 10 characters
QUANTITY (FAILS) TOTAL FAILURE-TO-DELIVER SHARES Number - unlimited
DESCRIPTION COMPANY NAME 30 characters
PRICE CLOSING PRICE ON PREVIOUS DAY Number - unlimited

For technical questions regarding the website, send an e-mail message to webmaster@sec.gov. For additional information about the data, call the SEC's Office of Freedom of Information and Privacy Act Operations at (202) 551-7900.

Data Downloads

File
Format
Size
File: July 2017, second half Format:ZIP Size:1.02 MB
File: July 2017, first half Format:ZIP Size:868.75 KB
File: June 2017, second half Format:ZIP Size:1.16 MB
File: June 2017, first half Format:ZIP Size:980.87 KB
File: May 2017, second half Format:ZIP Size:1.14 MB
File: May 2017, first half Format:ZIP Size:971.65 KB
File: April 2017, second half Format:ZIP Size:965 KB
File: April 2017, first half Format:ZIP Size:882.46 KB
File: March 2017, second half Format:ZIP Size:1.27 MB
File: March 2017, first half Format:ZIP Size:1005.1 KB
File: February 2017, second half Format:ZIP Size:927.79 KB
File: February 2017, first half Format:ZIP Size:1.01 MB
File: January 2017, second half Format:ZIP Size:1.06 MB
File: January 2017, first half Format:ZIP Size:870.41 KB
File: December 2016, second half Format:ZIP Size:1.08 MB
File: December 2016, first half Format:ZIP Size:1016.86 KB
File: November 2016, second half Format:ZIP Size:1.05 MB
File: November 2016, first half Format:ZIP Size:825.76 KB
File: October 2016, second half Format:ZIP Size:1.01 MB
File: October 2016, first half Format:ZIP Size:873.81 KB
File: September 2016, second half Format:ZIP Size:1.11 MB
File: September 2016, first half Format:ZIP Size:906.82 KB
File: August 2016, second half Format:ZIP Size:1.22 MB
File: August 2016, first half Format:ZIP Size:980.99 KB
File: July 2016, second half Format:ZIP Size:1.04 MB
File: July 2016, first half Format:ZIP Size:932.25 KB
File: June 2016, second half Format:ZIP Size:1.19 MB
File: June 2016, first half Format:ZIP Size:1 MB
File: May 2016, second half Format:ZIP Size:1.26 MB
File: May 2016, first half Format:ZIP Size:1.19 MB
File: April 2016, second half Format:ZIP Size:1.33 MB
File: April 2016, first half Format:ZIP Size:1.24 MB
File: March 2016, second half Format:ZIP Size:1.51 MB
File: March 2016, first half Format:ZIP Size:1.29 MB
File: February 2016, second half Format:ZIP Size:1.25 MB
File: February 2016, first half Format:ZIP Size:1.25 MB
File: January 2016, second half Format:ZIP Size:1.27 MB
File: January 2016, first half Format:ZIP Size:1.14 MB
File: December 2015, second half Format:ZIP Size:1.59 MB
File: December 2015, first half Format:ZIP Size:1.28 MB
File: November 2015, second half Format:ZIP Size:1.3 MB
File: November 2015, first half Format:ZIP Size:1.18 MB
File: October 2015, second half Format:ZIP Size:1.61 MB
File: October 2015, first half Format:ZIP Size:1.18 MB
File: September 2015, second half Format:ZIP Size:1.58 MB
File: September 2015, first half Format:ZIP Size:1.26 MB
File: August 2015, second half Format:ZIP Size:1.51 MB
File: August 2015, first half Format:ZIP Size:1.35 MB
File: July 2015, second half Format:ZIP Size:1.74 MB
File: July 2015, first half Format:ZIP Size:1.25 MB
File: June 2015, second half Format:ZIP Size:1.61 MB
File: June 2015, first half Format:ZIP Size:1.43 MB
File: May 2015, second half Format:ZIP Size:1.42 MB
File: May 2015, first half Format:ZIP Size:1.45 MB
File: April 2015, second half Format:ZIP Size:1.68 MB
File: April 2015, first half Format:ZIP Size:1.28 MB
File: March 2015, second half Format:ZIP Size:1.7 MB
File: March 2015, first half Format:ZIP Size:1.44 MB
File: February 2015, second half Format:ZIP Size:1.3 MB
File: February 2015, first half Format:ZIP Size:1.44 MB
File: January 2015, second half Format:ZIP Size:1.58 MB
File: January 2015, first half Format:ZIP Size:1.23 MB
File: December 2014, second half Format:ZIP Size:1.7 MB
File: December 2014, first half Format:ZIP Size:1.4 MB
File: November 2014, second half Format:ZIP Size:1.24 MB
File: November 2014, first half Format:ZIP Size:1.26 MB
File: October 2014, second half Format:ZIP Size:1.8 MB
File: October 2014, first half Format:ZIP Size:1.22 MB
File: September 2014, second half Format:ZIP Size:1.55 MB
File: September 2014, first half Format:ZIP Size:1.18 MB
File: August 2014, second half Format:ZIP Size:1.46 MB
File: August 2014, first half Format:ZIP Size:1.35 MB
File: July 2014, second half Format:ZIP Size:1.7 MB
File: July 2014, first half Format:ZIP Size:1.25 MB
File: June 2014, second half Format:ZIP Size:1.53 MB
File: June 2014, first half Format:ZIP Size:1.38 MB
File: May 2014, second half Format:ZIP Size:1.5 MB
File: May 2014, first half Format:ZIP Size:1.33 MB
File: April 2014, second half Format:ZIP Size:1.43 MB
File: April 2014, first half Format:ZIP Size:1.31 MB
File: March 2014, second half Format:ZIP Size:1.46 MB
File: March 2014, first half Format:ZIP Size:1.33 MB
File: February 2014, second half Format:ZIP Size:1.26 MB
File: February 2014, first half Format:ZIP Size:1.43 MB
File: January 2014, second half Format:ZIP Size:1.73 MB
File: January 2014, first half Format:ZIP Size:1.25 MB
File: December 2013, second half Format:ZIP Size:1.54 MB
File: December 2013, first half Format:ZIP Size:1.24 MB
File: November 2013, second half Format:ZIP Size:1.24 MB
File: November 2013, first half Format:ZIP Size:1.24 MB
File: October 2013, second half Format:ZIP Size:1.66 MB
File: October 2013, first half Format:ZIP Size:1.05 MB
File: September 2013, second half Format:ZIP Size:1.33 MB
File: September 2013, first half Format:ZIP Size:1.1 MB
File: August 2013, second half Format:ZIP Size:1.48 MB
File: August 2013, first half Format:ZIP Size:1.24 MB
File: July 2013, second half Format:ZIP Size:1.61 MB
File: July 2013, first half Format:ZIP Size:1.15 MB
File: June 2013, second half Format:ZIP Size:1.28 MB
File: June 2013, first half Format:ZIP Size:1.25 MB
File: May 2013, second half Format:ZIP Size:1.5 MB
File: May 2013, first half Format:ZIP Size:1.3 MB
File: April 2013, second half Format:ZIP Size:1.5 MB
File: April 2013, first half Format:ZIP Size:1.24 MB
File: March 2013, second half Format:ZIP Size:1.28 MB
File: March 2013, first half Format:ZIP Size:1.25 MB
File: February 2013, second half Format:ZIP Size:1.1 MB
File: February 2013, first half Format:ZIP Size:1.22 MB
File: January 2013, second half Format:ZIP Size:1.47 MB
File: January 2013, first half Format:ZIP Size:1.15 MB
File: December 2012, second half Format:ZIP Size:1.26 MB
File: December 2012, first half Format:ZIP Size:1.2 MB
File: November 2012, second half Format:ZIP Size:1.33 MB
File: November 2012, first half Format:ZIP Size:1.01 MB
File: October 2012, second half Format:ZIP Size:1.64 MB
File: October 2012, first half Format:ZIP Size:1.11 MB
File: September 2012, second half Format:ZIP Size:1.24 MB
File: September 2012, first half Format:ZIP Size:1.14 MB
File: August 2012, second half Format:ZIP Size:1.62 MB
File: August 2012, first half Format:ZIP Size:1.37 MB
File: July 2012, second half Format:ZIP Size:1.5 MB
File: July 2012, first half Format:ZIP Size:1.18 MB
File: June 2012, second half Format:ZIP Size:1.43 MB
File: June 2012, first half Format:ZIP Size:1.31 MB
File: May 2012, second half Format:ZIP Size:1.6 MB
File: May 2012, first half Format:ZIP Size:1.32 MB
File: April 2012, second half Format:ZIP Size:1.43 MB
File: April 2012, first half Format:ZIP Size:1.19 MB
File: March 2012, second half Format:ZIP Size:1.56 MB
File: March 2012, first half Format:ZIP Size:1.33 MB
File: February 2012, second half Format:ZIP Size:1.35 MB
File: February 2012, first half Format:ZIP Size:1.33 MB
File: January 2012, second half Format:ZIP Size:1.45 MB
File: January 2012, first half Format:ZIP Size:1.2 MB
File: December 2011, second half Format:ZIP Size:1.38 MB
File: December 2011, first half Format:ZIP Size:1.27 MB
File: November 2011, second half Format:ZIP Size:1.31 MB
File: November 2011, first half Format:ZIP Size:1.11 MB
File: October 2011, second half Format:ZIP Size:1.42 MB
File: October 2011, first half Format:ZIP Size:1.19 MB
File: September 2011, second half Format:ZIP Size:1.6 MB
File: September 2011, first half Format:ZIP Size:1.25 MB
File: August 2011, second half Format:ZIP Size:1.87 MB
File: August 2011, first half Format:ZIP Size:1.41 MB
File: July 2011, second half Format:ZIP Size:1.49 MB
File: July 2011, first half Format:ZIP Size:1.29 MB
File: June 2011, second half Format:ZIP Size:1.67 MB
File: June 2011, first half Format:ZIP Size:1.38 MB
File: May 2011, second half Format:ZIP Size:1.57 MB
File: May 2011, first half Format:ZIP Size:1.43 MB
File: April 2011, second half Format:ZIP Size:1.4 MB
File: April 2011, first half Format:ZIP Size:1.39 MB
File: March 2011, second half Format:ZIP Size:1.86 MB
File: March 2011, first half Format:ZIP Size:1.44 MB
File: February 2011, second half Format:ZIP Size:1.3 MB
File: February 2011, first half Format:ZIP Size:1.48 MB
File: January 2011, second half Format:ZIP Size:1.46 MB
File: January 2011, first half Format:ZIP Size:1.43 MB
File: December 2010, second half Format:ZIP Size:1.64 MB
File: December 2010, first half Format:ZIP Size:1.37 MB
File: November 2010, second half Format:ZIP Size:1.57 MB
File: November 2010, first half Format:ZIP Size:1.34 MB
File: October 2010, second half Format:ZIP Size:1.62 MB
File: October 2010, first half Format:ZIP Size:1.3 MB
File: September 2010, second half Format:ZIP Size:1.66 MB
File: September 2010, first half Format:ZIP Size:1.25 MB
File: August 2010, second half Format:ZIP Size:1.62 MB
File: August 2010, first half Format:ZIP Size:1.36 MB
File: July 2010, second half Format:ZIP Size:1.63 MB
File: July 2010, first half Format:ZIP Size:1.22 MB
File: June 2010, second half Format:ZIP Size:1.67 MB
File: June 2010, first half Format:ZIP Size:1.37 MB
File: May 2010, second half Format:ZIP Size:1.41 MB
File: May 2010, first half Format:ZIP Size:1.44 MB
File: April 2010, second half Format:ZIP Size:1.7 MB
File: April 2010, first half Format:ZIP Size:1.27 MB
File: March 2010, second half Format:ZIP Size:1.82 MB
File: March 2010, first half Format:ZIP Size:1.4 MB
File: February 2010, second half Format:ZIP Size:1.35 MB
File: February 2010, first half Format:ZIP Size:1.38 MB
File: January 2010, second half Format:ZIP Size:1.42 MB
File: January 2010, first half Format:ZIP Size:1.28 MB
File: December 2009, second half Format:ZIP Size:1.69 MB
File: December 2009, first half Format:ZIP Size:1.4 MB
File: November 2009, second half Format:ZIP Size:1.38 MB
File: November 2009, first half Format:ZIP Size:1.26 MB
File: October 2009, second half Format:ZIP Size:1.69 MB
File: October 2009, first half Format:ZIP Size:1.31 MB
File: September 2009, second half Format:ZIP Size:1.75 MB
File: September 2009, first half Format:ZIP Size:1.26 MB
File: August 2009, second half Format:ZIP Size:1.53 MB
File: August 2009, first half Format:ZIP Size:1.41 MB
File: July 2009, second half Format:ZIP Size:1.8 MB
File: July 2009, first half Format:ZIP Size:1.27 MB
File: 2009, second quarter Format:ZIP Size:4.81 MB
File: 2009, first quarter Format:ZIP Size:4.58 MB
File: 2008, fourth quarter Format:ZIP Size:5.41 MB
File: 2008, third quarter Format:ZIP Size:5.63 MB
File: 2008, second quarter Format:ZIP Size:4.86 MB
File: 2008, first quarter Format:ZIP Size:4.62 MB
File: 2007, fourth quarter Format:ZIP Size:4.38 MB
File: 2007, third quarter Format:ZIP Size:4.5 MB
File: 2007, second quarter Format:ZIP Size:4.32 MB
File: 2007, first quarter Format:ZIP Size:3.43 MB
File: 2006, fourth quarter Format:ZIP Size:3.28 MB
File: 2006, third quarter Format:ZIP Size:3.2 MB
File: 2006, second quarter Format:ZIP Size:3.56 MB
File: 2006, first quarter Format:ZIP Size:3.27 MB
File: 2005, fourth quarter Format:ZIP Size:2.94 MB
File: 2005, third quarter Format:ZIP Size:3.12 MB
File: 2005, second quarter Format:ZIP Size:3.1 MB
File: 2005, first quarter Format:ZIP Size:3.12 MB
File: 2004, fourth quarter Format:ZIP Size:3.24 MB
File: 2004, third quarter Format:ZIP Size:3.34 MB
File: 2004, second quarter Format:ZIP Size:3.41 MB
File: 2004, first quarter Format:ZIP Size:514.3 KB
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