Highlights of the Web-Based Customer Complaint/Disclosure (3070) System
Beginning February 7, 2000 all complaints and disclosures have to be filed using the new Web-based Customer Complaint/Disclosure system. All filings made prior to February 7th will be converted onto the new system and can be viewed online. A few changes have been made to the system: new fields, new product codes, new problem codes, and new format for the File Upload method. These changes are highlighted below:
1. Customer Complaints
The minimum fields required of a complaint are:
If the "Related To Rep" box is checked, the following additional fields are required:
2. Disclosure Events
The minimum fields required of a disclosure filing are:
If the "Related to Rep" box is checked, the Rep information must be entered (see above).
If Event Code # 2 (Customer Complaint) is selected, the following additional fields are required:
If Event Code # 7 (Civil Litigation or Arbitration) is selected, the following additional field is required:
If Event Code # 9 (Statutory Disqualification) is selected, the following additional fields are required:
3. New Fields
The following fields have been added to the new system:
| Complaint | Disclosure | |
| Customer Name | X | X |
| Representative CRD number (in lieu of Representative Social Security Number) |
X | X |
| Activity Date | X | |
| Case Disposition | X | |
| Representative Work Zip | X | X |
| Comment | X | X |
4. New Product Codes
The following new product codes have been added to the system:
5. New Problem Codes
The following new problem codes have been added to the system:
Non-Sales Practice
Sales Practice
6. 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.
7. Filing Maintenance
Users are provided with capability to: