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This service is part of Risk Management for the Delta1 Trading Platform. An authorized entity may submit a file containing security symbols that FIX sessions and front-end logins in a specified Risk Group are prohibited from both trade reporting and order entry. Each time a file is processed, any previously submitted securities are removed and replaced with the latest submission. Submissions received during processing hours take effect immediately. Order entry and trade reporting is prohibited if any of the restricted securities are components of the attempted instrument.


Connecting to the Service

Eligible entities can create an account for and submit via SSH File Transfer Protocol (SFTP). Access to is available over general internet with IP whitelisting. To learn how to create an account visit Registration for File Transmission Services

Service Availability 

Submissions are accepted 7 days a week including holidays and weekends from 05:00 - 17:00 CT. Files submitted outside of availability hours will be processed at the top of the next availability period.

Submission Procedure

  1. Create the file containing restricted securities
  2. Name the file according to the Restricted Securities List Service format
  3. Connect to
  4. Transmit the file to the user's "/in" directory
  5. Service processes the submission
  6. Response file transmitted to user's "/out" directory 

File Name Convention

The file name for the submission should be created in the following format:

restricted_list_<risk group>_<yyyymmdd>.csv

Submitted to the user "/in" directory by an entity to add a restricted securities list for any authorized Risk Group identified by "risk group" for the trading date "yyyymmdd".


restricted_list_<risk group>_<yyyymmdd>_ACK.csv

Submitted to the user "/out" by the service in response to a processed file.


Submission File Format

A submission file must contain a single security symbol per line. Each time a file is processed, the Risk Group's current restricted list is cleared and replaced with the latest submission. Therefore, the input file must always contain the entire list of a Risk Group's restricted securities. To remove all restricted securities, an empty file must be submitted. The input file must not include a column header.

Field NameField TypeLengthDescription
Security Symbolstring6Symbol of a security underlying an instrument

Response File Format

After processing a submission, the service responds with an response file indicating each security's process status. The response file is comma separated value (CSV) format containing two columns and no column headers.

Field Name Field Type Length Description
Security Symbolstring6Symbol from the processed submission
Process Statusint11 = Symbol Accepted
0 = Symbol Rejected

File Sample

In the below example a submitted file contains 4 valid symbols and 1 invalid symbol (ZA3V).

Submitted File: restricted_list_ABC1_20190102.csv
Response File: restricted_list_ABC1_20190102_ACK.csv
AA, 1
IBM, 1
ZA3V, 0
F, 1

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