Highlights of the Disclosure Events and Customer Complaint Regulatory Filing Application
1. Customer Complaints
The minimum fields required to file a Complaint are:
- Contact Name and Contact Phone Number
- Complaint Number
- Product Code
- Problem Code
- Allegation Activity Period
- Complaint Date
- Branch ID
- Customer Account Number
- Customer Last Name
- Disputed Amount / Disputed Amount Indicator
- Security Symbol
If the "Related To Rep" box is checked, the following additional fields are required:
- Representative CRD number (FINRA no longer collects Social Security Number)
- Representative Supervisor Last Name (* - this field is only required when processing online through the Web site. It is N/A for batch data in the NYSE format)
- Representative Supervisor First Name (* - this field is only required when processing online through the Web site. It is N/A for batch data in the NYSE format)
2. Disclosure Events
The minimum fields required for a Disclosure filing are:
- Contact Name and Contact Phone Number
- Disclosure Number
- Disclosure Event Code
- Allegation Activity Period
- Discovery Date
- At least on “Related To” box must be checked
- Branch ID
- Details for Disclosure Event
If the "Related to Rep" box is checked, the Rep information must be entered (see above in formation in Complaints section).
If Event Code # 2 (Customer Complaint) is selected, the following additional fields are required:
- Customer Account Number
- Customer Last Name
- Security Info (symbol and/or name)
- Product Code
- Disputed Amount / Disputed Amount Indicator
- Alleged Activity Period (From and To )
- Branch ID Code
If Event Code # 7 (Civil Litigation or Arbitration) is selected, the following additional fields are required:
- Case Disposition (should be documented in the Details for Disclosure Event field)
- Other Party Name
- Allegation Activity Period
- Branch ID
If Event Code # 8 (Damages Claim) is selected, the following additional fields are required:
- Other Party Name
- Details for Disclosure Event
If Event Code # 9 (Statutory Disqualification) is selected, the following additional fields are required:
- Relation to Member
- Party Last Name
- Party First Name
- Party Company Name
- Explanation
- Allegation Activity Period
- Disposition Date
- Branch ID
- Details for Disclosure Event
If Event Code # 10 (Disciplinary Action) is selected, the following additional fields are required:
- Allegation Activity Dates
- Discovery Date
- At least one “Related To” box must be checked
- Branch ID
- Disciplinary Action Code
- Details for Disclosure Event
3. File Upload Method
Complaints:
In order to import a filing containing one or more complaints the file must adhere to the following XML format:
|
Tag Name |
Max Length |
Format |
Notes |
|
<filings-3070> |
|
|
Container for 3070 filings |
|
<complaint> |
|
|
Container for complaint |
|
<id> |
8 |
number |
Must be unique to firm |
|
<date> |
10 |
mm/dd/yyyy |
Date complaint was received |
|
<firm-id> |
8 |
number |
Firm's CRD # |
|
<branch-id> |
12 |
number |
|
|
<branch-zip> |
5 |
number |
|
|
<contact> |
|
|
Container for contact info |
|
<phone-number> |
20 |
alpha |
Contact's phone number |
|
<first-name> |
30 |
alpha |
First Name |
|
<last-name> |
30 |
alpha |
Last Name |
|
<related-to> |
|
|
Container for related-to info |
|
<other> |
1 |
number |
1 if selected |
|
<rep> |
1 |
number |
1 if selected |
|
<firm> |
1 |
number |
1 if selected |
|
<affiliate> |
1 |
number |
1 if selected |
|
<product> |
2 |
number |
Product Code |
|
<problem> |
2 |
number |
Problem Code |
|
<customer> |
|
|
Container for customer info |
|
<account-number> |
15 |
alpha |
Customer's account number |
|
<first-name> |
30 |
alpha |
First Name |
|
<last-name> |
30 |
alpha |
Last Name |
|
<transaction> |
|
|
Container for transaction info |
|
<activity-date> |
10 |
mm/dd/yyyy |
Date of the transaction |
|
<amount> |
12 |
number |
Amount of the transaction |
|
<disputed-amount> |
12 |
|
Amount in dispute |
|
<security> |
255 |
alpha |
Security info |
|
<investigator> |
|
|
Container for investigator name |
|
<first-name> |
30 |
alpha |
First Name |
|
<last-name> |
30 |
alpha |
Last Name |
|
<response-date> |
10 |
mm/dd/yyyy |
|
|
<representative> |
|
|
Container for rep info |
|
<id> |
12 |
number |
Rep CRD ID |
|
<location> |
|
|
Container for rep location |
|
<city> |
15 |
alpha |
|
|
<state> |
2 |
alpha |
|
|
<zip> |
5 |
number |
|
|
<supervisor> |
|
|
Container for Rep's supervisor |
|
<first-name> |
30 |
alpha |
First Name |
|
<last-name> |
30 |
alpha |
Last Name |
|
<employed> |
1 |
alpha |
Code = Y, N |
|
<comment> |
255 |
|
Freeform comment |
Disclosures
|
Tag Name |
Max Length |
Format |
Notes |
|
<filings-3070> |
|
|
Container for 3070 filings |
|
<disclosure> |
|
|
Container for complaint |
|
<id> |
8 |
number |
Must be unique to firm |
|
<date> |
10 |
mm/dd/yyyy |
Date disclosure was discovered |
|
<firm-id> |
8 |
number |
Firm's CRD # |
|
<contact> |
|
|
Container for contact info |
|
<phone-number> |
20 |
alpha |
Contact's phone number |
|
<first-name> |
30 |
alpha |
First Name |
|
<last-name> |
30 |
alpha |
Last Name |
|
<related-to> |
|
|
Container for related-to info |
|
<other> |
1 |
number |
1 if selected |
|
<rep> |
1 |
number |
1 if selected |
|
<firm> |
1 |
number |
1 if selected |
|
<affiliate> |
1 |
number |
1 if selected |
|
<event> |
2 |
number |
|
|
<customer> |
|
|
Container for customer info |
|
<account-number> |
15 |
alpha |
Customer's account number |
|
<first-name> |
30 |
alpha |
First Name |
|
<last-name> |
30 |
alpha |
Last Name |
|
<transaction> |
|
|
Container for transaction info |
|
<product> |
2 |
number |
|
|
<activity-date> |
10 |
mm/dd/yyyy |
Date of the transaction |
|
<amount> |
12 |
number |
Amount of the transaction |
|
<disputed-amount> |
12 |
number |
|
|
<security> |
255 |
alpha |
Security info |
|
<investigator> |
|
|
Container for Investigator Info |
|
<first-name> |
30 |
alpha |
First Name |
|
<last-name> |
30 |
alpha |
Last Name |
|
<response-date> |
10 |
mm/dd/yyyy |
|
|
<representative> |
|
|
Container for rep info |
|
<id> |
12 |
number |
Rep CRD ID |
|
<location> |
|
|
Container for rep location |
|
<city> |
15 |
alpha |
|
|
<state> |
2 |
alpha |
|
|
<zip> |
5 |
number |
|
|
<supervisor> |
|
|
Container for Rep's supervisor |
|
<first-name> |
30 |
alpha |
First Name |
|
<last-name> |
30 |
alpha |
Last Name |
|
<employed> |
1 |
Y/N |
Rep's employment status |
|
<disciplinary-action> |
1 |
alpha |
Code = W, T, F, S |
|
<comment> |
255 |
|
Freeform comment |
|
<statutory-disqualification> |
|
|
Container for SD info |
|
<party-name> |
30 |
alpha |
|
|
<party-company> |
10 |
alpha |
|
|
<relationship> |
1 |
alpha |
Code = A, F, O, R |
|
<explanation> |
50 |
alpha |
|
Hints about XML: Like HTML, every open tag must have a close tag. While indention is not necessary, it does allow potential debugging of a faulty script easier.
Sample XML Formatted Complaints Batch File
<filings-3070>
<complaint>
<id>54</id>
<date>01/01/1999</date>
<firm-id>7684</firm-id>
<branch-id>112</branch-id>
<branch-zip>20878</branch-zip>
<contact>
<phone-number>(301) 123-4567</phone-number>
<first-name>James</first-name>
<last-name>Smith</last-name>
</contact>
<related-to>
<other></other>
<rep>1</rep>
<firm></firm>
<affiliate></affiliate>
</related-to>
<product>03</product>
<problem>12</problem>
<customer>
<account-number>34534KK34</account-number>
<first-name>Joe</first-name>
<last-name>Smith</last-name>
</customer>
<transaction>
<activity-date>03/12/1998</activity-date>
<amount>345.67</amount>
<disputed-amount>286.22</disputed-amount>
<security>GE common stock</security>
</transaction>
<investigator>
<first-name>Jake</first-name>
<last-name>Remorea</last-name>
</investigator>
<response-date>02/02/1999</response-date>
<representative>
<id>123465</id>
<location>
<city>Mooseville</city>
<state>MD</state>
<zip>20900</zip>
</location>
<supervisor>
<first-name>Josef</first-name>
<last-name>Jones</last-name>
</supervisor>
<employed>Y</employed>
</representative>
<comment>This is test record #1</comment>
</complaint>
<complaint>
<id>987654321</id>
<date>01/01/1999</date>
<firm-id>7684</firm-id>
<branch-id>20</branch-id>
<branch-zip>20878</branch-zip>
<contact>
<phone-number>(301) 123-4567</phone-number>
<first-name>James</first-name>
<last-name>Smith</last-name>
</contact>
<related-to>
<other></other>
<rep>1</rep>
<firm></firm>
<affiliate></affiliate>
</related-to>
<product>04</product>
<problem>11</problem>
<customer>
<account-number>34534KK34</account-number>
<first-name>Joe</first-name>
<last-name>Smith</last-name>
</customer>
<transaction>
<activity-date>03/12/1998</activity-date>
<amount>345.67</amount>
<disputed-amount>286.22</disputed-amount>
<security>GE common stock</security>
</transaction>
<investigator>
<first-name>Jake</first-name>
<last-name>Jones</last-name>
</investigator>
<response-date>02/02/1999</response-date>
<representative>
<id>123465</id>
<location>
<city>Mooseville</city>
<state>MD</state>
<zip>20900</zip>
</location>
<supervisor>
<first-name>Josef</first-name>
<last-name>Jones</last-name>
</supervisor>
<employed>Y</employed>
</representative>
<comment>This is test record #2</comment>
</complaint>
</filings-3070>
All tags must be listed even if empty. Leading and trailing spaces, tabs, and carriage returns are dropped. Filings that do not conform to this format will not load.
The <id> field in both complaints and disclosures is required and must be unique for the complaint or disclosure. The field may be used to reload or amend a filing. Upon reading the field the system will attempt to match this number and replace (if in draft) or amend (if submitted) based on the value of this field. ID numbers may not be reused each month. It is very important that this number is unique across all submissions. (If the number 7 was used in July 98 and now appears again in the current file, the system will assume that the new filing is an amendment of the 98 filing). Numbering may begin with 1 with the start of the use of this format.
When a filing is loaded to the system via batch it is validated and if it passes it is immediately submitted. Any filing within this batch that does not pass validation will be placed in the "Draft filings" area. Users have to correct the errors and re-submit it.
351(d) File Layout
| Field Name | Max Length | Format | Description |
| FilingQuarter | 6 | numeric | e.g., 200603, 200606, 200609, 200612 |
| FirmCRDNumber | 8 | numeric | Firm CRD Number |
| ComplaintNumber | 30 | alphanumeric | Complaint Number (Reference Number) |
| ComplaintDate | 10 | date | Complaint Date (YYYYMMDD) |
| NYSEBranchCode | 15 | alphanumeric | NYSE Branch Code |
| RegisteredRepCRDNum | 10 | numeric | RR CRD Number |
| Contact\Default | empty element | Firm Default Contact Information, details do not need to be entered. Can specify default with this field or supply contact information (see next fields) | |
| Contact\Info\LastName | 30 | alphanumeric | Contact Last Name |
| Contact\Info\FirstName | 30 | alphanumeric | Contact First Name |
| Contact\Info\PhoneNumber | 20 | alphanumeric | Contact Phone Number |
| Product | 2 | numeric | Product Code |
| Problem | 2 | numeric | Problem Code |
| Customer\AccountNumber* | 50 | alphanumeric | Customer Account Number (Optional) |
| Customer\LastName | 255 | alphanumeric | Customer Last Name or Other Name |
| Customer\FirstName* | 30 | alphanumeric | Customer First Name (Optional only if there is not one e.g., an institutional account) |
| Transaction\ActivityFromDate | 8 | numeric | Allegation Activity Period From Date - custom date format (YYYYMMDD) that allows for unknown months and days specified with zeros. (e.g. 20050300) |
| Transaction\ActivityToDate: | 8 | numeric | Allegation Activity Period To - custom date format that allows for unknown months and days specified with zeros. (e.g. 20050300) |
| Transaction\DisputedAmount\ Specified | 18 | numeric |
By selection of radio button:
(or See next field for unspecified amount options) |
| Transaction\DisputedAmount\ Other | 2 | alphanumeric |
Indicator for reason for unspecified amount
|
| Transaction\Security\Symbol | 25 | alphanumeric | Security Symbol (or description, see next field) |
| Transaction\Security\Description | 255 | alphanumeric | Security Description |
| OpenOrClosed | 1 | alphanumeric |
By selection of radio button:
|
- *optional
- New fields are in bold print
4. Filing Maintenance
Users are provided with capability to:
- Edit filings that are in "Draft" status
- Amend filings that are in "Submitted" status
- Delete "Draft" or "Submitted" filings. Users should enter comments when deleting submitted filings.
