©2015 Financial Industry Regulatory Authority, Inc. (FINRA). All rights reserved. Materials may not be reprinted or republished without the express permission of FINRA. This document contains FINRA Confidential and Proprietary information. FINRA provides this information to member firms only for the firms' internal assessment or use of the FINRA CRD Batch Filing and Data Download transfer program. Any other use is strictly prohibited by FINRA. FINRA reserves the right to seek all injunctive and equitable relief available to it in the event FINRA Confidential or Proprietary information is released to a third party by a member firm. A firm's use of this document demonstrates its acknowledgement that this document contains FINRA Confidential and Proprietary information, agreement that the firm will not reprint, republish or otherwise disclose this information to any third party and its agreement that FINRA may protect its rights, including but not limited to intellectual property rights.
Version: Release 2015.09 (last updated on 07/06/2015)
Change History
04/07/2015 - Individual forms changes to include DRPs
04/15/2015 - Removed obsolete element BondPayoutDtlTx from complexType U4BondDRPType in FSG-CRDFormFilingDRPTypes.xsd
- Removed obsolete element VtclStlmtFl from complexType U5RgltyActnDRPType in FSG-CRDFormFilingDRPTypes.xsd
07/06/2015 - Renamed element RsltnDtl to NtrIntrnlRvw in the U5 Internal Review DRP and moved it to corresponding position as appears on the form
07/06/2015 - Updated type RgltyActnInttrCodeType to contain values that mirror values currentlly used in production.
Collection of U4 Bond DRPs
U4 Bond DRP
Unique number that identifies the disclosure
Flag indicating Bond disclosure being filed in response to U4 disclosure question 14L.
Bond DRP - 1.Firm Name (Policy Holder)
Bond DRP - 2. Bond Company Name
Bond DRP - 3. Disposition Type
Bond DRP - 4. Disposition Date
Bond DRP - 4. Disposition Date Exact Flag
Bond DRP - 4. Disposition Date Explanation text
Bond DRP - 6. Comment (Optional). You may use this field to provide a brief summary of the circumstances leading to the action as well as the current status or final disposition.
Bond DRP - 5A. Payout Amount
Bond DRP - 5B. Date Paid
Bond DRP - 5B. Date Paid Exact Flag
Bond DRP - 5B. Date Paid Explanation text
Indication to specify if the disclosure is being Inserted or Updated
Allowed vlaues for Disposition Type (Q.3) on Bond DRP
Collection of U4 Judgment/Lien DRPs
U4 Judgment/Lien DRP
Unique number that identifies the disclosure
Flag indicating Judgment/Lien disclosure being filed inresponse to U4 disclosure question 14M
Judgment/Lien DRP - 2. Judgment/Lien Holder
Judgment/Lien DRP - 1. Judgment/Lien Amount
Judgment/Lien DRP - 3. Judgment/Lien Type
Judgment/Lien DRP - 4A. Date Filed with Court
Judgment/Lien DRP - 4A. Date Filed with Court Exact flag
Judgment/Lien DRP - 4A. Date Filed with Court Explnation text
Judgment/Lien DRP - 7B. How was matter Resolved? (Judgment/Lien Resolution Type)
This field correlates to item 6 on the Inteirm Form.This field will be iniitially and incrementally populated from the Tandem.
This is a text field even though the name implies numeric.The Reviewer will need to edit this field as appropriate to repair older format DRPs.
Judgment/Lien DRP - 5. Court action brought in (Court Type: Federal, State, Foreign or Other)
Judgment/Lien DRP - Explanation text when Court Type (Q.5) selected is 'Other'
Judgment/Lien DRP - 5A. Name of the Court
Judgment/Lien DRP - 5B. Location of the Court (City or County and State or Country)
Judgment/Lien DRP - 5C. Docket/Case #
Judgment/Lien DRP - Flag indication if Docket/case # (Q.5C) is an SSN, a Bank Card number, or a Personal Identification Number
Judgment/Lien DRP - 6. Is Judgment/Lien Outstanding?
Judgment/Lien DRP - 7A. Status Date (if Judgment/Lien is not outstanding)
Judgment/Lien DRP - 7A. Status Date Exact Flag
Judgment/Lien DRP - 7A. Status Date Explanation text
Judgment/Lien DRP - 4B. Date individual learned of the Judgment/Lien
Judgment/Lien DRP - 4B. Date individual learned of the Judgment/Lien Exact Flag
Judgment/Lien DRP - 4B. Date individual learned of the Judgment/Lien Explanation text
Judgment/Lien DRP - 8. Comment (Optional). You may use this field to provide a brief summary of the circumstances leading to the action as well as the current status or final disposition.
Indication to specify if the disclosure is being inserted or updated
Allowed values for Judgment/Lien Type (Q.3) on Judgment/Lien DRP
Allowed values for Judgement/Lien resolution type (Q.7B)
Allowed values for
- U4/U5 Criminal DRP (Q.2. Formal Action was brought in),
- U4 Civil Judicial DRP (Q.5. Formal Action was brought in ),
- U4/U5 Customer Complaint DRP (Q.17. Court in which case was filed , Q.23B. Court appeal filed in)
Collection of U4 Termination DRPs
U4 Termination DRP
Unique number that identifies the disclosure
Flag indicating Termination disclosure being filed in response to U4 disclosure question 14J(1)
Flag indicating Termination disclosure being filed in response to U4 disclosure question 14J(2)
Flag indicating Termination disclosure being filed in response to U4 disclosure question 14J(3)
Termination DRP - 1. Firm Name
Termination DRP - 2. Termination Type
Termination DRP - 3. Termination Date
Termination DRP - 3. Termination Date Excact Flag
Termination DRP - 3. Termination Date Explanation text
Termination DRP - 4. Allegation(s)
Termination DRP - 5. Product Type(s)
Termination DRP - 6. Comment (Optional). You may use this field to provide a brief summary of the circumstances leading to the termination.
Indication to specify if the disclosure is being inserted or updated
Collection of U4 Bankruptcy DRPs
U4 Bankruptcy DRP
Unique number that identifies the disclosure
Flag indicating Bankruptcy disclosure being filed in response to U4 disclosure question 14k(1)
Flag indicating Bankruptcy disclosure being filed in response to U4 disclosure question 14k(2)
Flag indicating Bankruptcy disclosure being filed in response to U4 disclosure question 14k(3)
Bankruptcy DRP - 1. Action Type
Bankruptcy DRP - 1. Bankruptcy action chapter Type
Bankruptcy DRP - Explanation text when Action Type (Q.1) is 'Other'
Bankruptcy DRP - 2. Action Date
Bankruptcy DRP - 2. Action Date explanation text
Bankruptcy DRP - 2. Action Date exact flag
Bankruptcy DRP - 3A. Organization Name (If the financial action relates to an organization over which you exercise(d) control)
Bankruptcy DRP - 3B. Position, title or relationship
Bankruptcy DRP - 3C. Investment-related business
Bankruptcy DRP - 4. Court action brought in (Court Type: Federal, State, Foreign or Other)
Bankruptcy DRP - Explanation text when Court Type (Q.4) selected is 'Other'
Bankruptcy DRP - 4A. Name of Court
Bankruptcy DRP - 4B. Location of Court (City or County and State or Country)
Bankruptcy DRP - 4C. Docket/Case #
Bankruptcy DRP - Flag indication if Docket/ case # (Q.4C) is an SSN, a Bank Card number, or a Personal Identification Number
Bankruptcy DRP - 5. Is action currently pending?
Bankruptcy DRP - 6. If not pending, provide Disposition Type
Bankruptcy DRP - Explanation text when Disposition Type (Q.6) selected is 'Other'
Bankruptcy DRP - 7. Disposition Date
Bankruptcy DRP - 7. Disposition Date Exact Flag
Bankruptcy DRP - 7. Disposition Date Explanation text
Bankruptcy DRP - 8A. Name of Creditor (If a compromise with creditors)
Bankruptcy DRP - 8B. Original amount owed
Bankruptcy DRP - 8C. Terms/Compromise reached with creditor
Bankruptcy DRP - 9A. Provide the amount paid or agreed to be paid by you (If a SIPA trustee was appointed or a direct payment procedure was begun)
Bankruptcy DRP - 9A. The name of the Trustee
Bankruptcy DRP - 9B. Currently Open?
Bankruptcy DRP - 9C. Date Direct Payment Initiated/Filed or Trustee Appointed
Bankruptcy DRP - 9C. Date Direct Payment Initiated/Filed or Trustee Appointed Exact Flag
Bankruptcy DRP - 9C. Date Direct Payment Initiated/Filed or Trustee Appointed Explanation text
Bankruptcy DRP - 10. Comment (Optional). You may use this field to provide a brief summary of the circumstances leading to the action as well as the current status or final disposition.
Indication to specify if the disclosure is being inserted or updated.
Collection of U4 Civil Judicial DRPs
U4 Civil Judicial DRP
Unique number that identifies the disclosure.
Flag indicating Civil Judicial disclosure being filed in response to U4 disclosure question 14H(1)(a)
Flag indicating Civil Judicial disclosure being filed in response to U4 disclosure question 14H(1)(b)
Flag indicating Civil Judicial disclosure being filed in response to U4 disclosure question 14H(1)(c)
Flag indicating Civil Judicial disclosure being filed in response to U4 disclosure question 14H(2)
Flag to indicate data on this U4 Civil Judicial disclosure be used to satisfy firm’s reporting obligation pursuant to the applicable provision of FINRA Rule 4530(a)(1)
Civil Judicial DRP - 1A. Court Action initiated by
Civil Judicial DRP - 1B. Name of party initiating the proceeding
Note: On both Initial and amended DRPs, 'InttrTx' must be provided only if the 'InttrTypeCd provided is any value other than 'SEC'. If value provided is 'SEC', this element must not be provided.
Civil Judicial DRP - 2. Relief Sought: Cease and Desist
Civil Judicial DRP - 2. Relief Sought: Civil and Administrative Penalty(ies)/Fine(s)
Civil Judicial DRP - 2. Relief Sought: Disgorgement
Civil Judicial DRP - 2. Relief Sought: Injunction
Civil Judicial DRP - 2. Relief Sought: Monetary Penalty other than Fines
Civil Judicial DRP - 2. Relief Sought: Restitution
Civil Judicial DRP - 2. Relief Sought: Restraining Order
Civil Judicial DRP - 2. Relief Sought: Other
Civil Judicial DRP - 2. Relief Sought: Other explanation text
Civil Judicial DRP - 3A. Filing Date of Court Action
Civil Judicial DRP - 3A. Filing Date of Court Action Exact Flag
Civil Judicial DRP - 3A. Filing Date of Court Action Explanation text
Civil Judicial DRP - 3B. Date notice/process was served
Civil Judicial DRP - 3B. Date notice/process was served Exact flag
Civil Judicial DRP - 3B. Date notice/process was served Explanation text
Civil Judicial DRP - 5. Formal Action was brought in (Court type: Federal, State, Foreign, Military or Other)
Civil Judicial DRP - 5. Formal Action was brought in - Other type
Civil Judicial DRP - 5A. Name of Court
Civil Judicial DRP - 5B. Location of Court (City or County and State or Country)
Civil Judicial DRP - 5C. Docket/Case#
Civil Judicial DRP - 6. Employing Firm when activity occurred which led to the civil judicial action
Civil Judicial DRP - 7. Describe the allegations related to this civil action
Civil Judicial DRP - 8. Current Status
Civil Judicial DRP - 9. Details of limitations or restrictions that are currently in effect, if current status is 'pending'.
Civil Judicial DRP - 10A. Name of the court where action is appealed, if current status is 'on appeal'.
Civil Judicial DRP - 10B. Court Location
Civil Judicial DRP - 10C. Docket/Case #
Civil Judicial DRP - 10D. Date appeal filed
Civil Judicial DRP - 10D. Date appeal filed exact flag
Civil Judicial DRP - 10D. Date appeal filed explanation text
Civil Judicial DRP - 10E. Appeal Details
Civil Judicial DRP - 10F. Limitations or restrictions currently in effect, if on appeal
Civil Judicial DRP - 11A. Resolution Detail: How was matter resolved?
Civil Judicial DRP - Explanation text when 'Resolution Detail: How was matter resolved?' (Q.11A) is 'Other'
Civil Judicial DRP - 11B. Resolution Date
Civil Judicial DRP - 11B. Resolution Date Exact Flag
Civil Judicial DRP - 11B. Resolution Date explanation text
Civil Judicial DRP - 12A. Sanctions Ordered or Relief Granted - Cease and Desist
Civil Judicial DRP - 12A. Sanctions Ordered or Relief Granted - Civil and Administrative Penalty(ies)/Fine(s)
Civil Judicial DRP - 12A. Sanctions Ordered or Relief Granted - Disgorgement
Civil Judicial DRP - 12A. Sanctions Ordered or Relief Granted - Monetary Penalty other than fines
Civil Judicial DRP - 12A. Sanctions Ordered or Relief Granted - Restitution
Civil Judicial DRP - 12A. Sanctions Ordered or Relief Granted - Injunction
Civil Judicial DRP - 12B. Other Sanctions
Civil Judicial DRP - 13. Comment (Optional). You may use this field to provide a brief summary of the circumstances leading to the action, as well as the current status or final disposition and/or finding(s).
Indcation to specify if the disclosure is being Inserted or Updated
Civil Judicial DRP - 4. Product Type(s)
Collection of Injuctions on a U4-Civil Judicial DRP
Civil Judicial Injuction
Unique number that identifies the Injuction record
Civil Judicial Injuction - Registration Capacities Affected
Civil Judicial Injuction - Duration
Civil Judicial Injuction - Duration Exact flag
Civil Judicial Injuction - Duration explanation text
Civil Judicial Injuction - Start Date
Civil Judicial Injuction - Start Date Exact flag
Civil Judicial Injuction - Start Date explanation text
Civil Judicial Injuction - End Date
Civil Judicial Injuction - End Date exact flag
Civil Judicial Injuction - End Date explanation text
Indication to specify if the injucrion record is being inserted, updated or deleted.
Collection of Monetary Sanctions on a U4-Civil Judicial DRP
Civil Judicial Monetary Sanction
Unique number that identifies the Monetary Sanction record
Civil Judicial Monetary Sanction - Monetary Related Sanction Type
Civil Judicial Monetary Sanction - Explanation text when Monetary related Sanction type is 'Other'
Civil Judicial Monetary Sanction - Total Amount
Civil Judicial Monetary Sanction - Portion levied against you
Civil Judicial Monetary Sanction - Date paid by you
Civil Judicial Monetary Sanction - Date paid by you Exact flag
Civil Judicial Monetary Sanction - Date paid by you Explanation text
Civil Judicial Monetary Sanction - Was any portion of penalty waived?
Civil Judicial Monetary Sanction - Portion of penalty waived amount
Indication to specify if the Monetary sanction record is being inserted, updated or deleted.
Allowed values for Civil Judicial - Monetary Related Sanction Type
Collection of U4 Criminal DRPs
U4 Criminal DRP
Unique number that identifies the disclosure
Flag indicating Criminal DRP being filed in response to U4 disclosure question 14A(1)(a)
Flag indicating Criminal DRP being filed in response to U4 disclosure question 14A(1)(b)
Flag indicating Criminal DRP being filed in response to U4 disclosure question 14A(2)(a)
Flag indicating Criminal DRP being filed in response to U4 disclosure question 14A(2)(b)
Flag indicating Criminal DRP being filed in response to U4 disclosure question 14B(1)(a)
Flag indicating Criminal DRP being filed in response to U4 disclosure question 14B(1)(b)
Flag indicating Criminal DRP being filed in response to U4 disclosure question 14B(2)(a)
Flag indicating Criminal DRP being filed in response to U4 disclosure question 14B(2)(b)
Flag to indicate data on this U4 Criminal disclosure be used to satisfy firm’s reporting obligation pursuant to the applicable provision of FINRA Rule 4530(a)(1)
Criminal DRP - 1A. Organization Name (If charge(s) were brought against an organization over which you exercise(d) control)
Criminal DRP - 1B. Investment-related business?
Criminal DRP - 1C. Position, title or relationship
Criminal DRP - 2. Formal Action was brought in (Court type: Fedral, State, Military, Foreign or Other)
Criminal DRP - Explanation text when Court type (Q.2) selected is 'Other'.
Criminal DRP - 2A. Name of Court
Criminal DRP - 2B. Location of Court (City or County and State or Country)
Criminal DRP - 2C. Docket/Case#
Criminal DRP - 3A. Current Status of the Event
Criminal DRP - 3B. Event Status Date (complete unless status is pending)
Criminal DRP - 3B. Event Status Date tExact flag
Criminal DRP - 3B. Event Status Date Explanation text
Criminal DRP - 4A. Date First Charged
Criminal DRP - 4A. Date First Charged Exact flag
Criminal DRP - 4A. Date First Charged explanation text
Criminal DRP - 4C. Date of Disposition
Criminal DRP - 4C. Date of Disposition Exact flag
Criminal DRP - 4C. Date of Disposition explanation text
Criminal DRP - 4D. Sentence/Penalty; Duration (if suspension, probation, etc): Start Date of Penalty; End date of Penalty; If Monetary penalty/fine – Amount paid; Date monetary/penalty fine paid; if not exact, provide explanation.
Criminal DRP - 5. Comment (Optional). You may use this field to provide a brief summary of the circumstances leading to the charge(s) as well as the current status or final disposition
Indication to specify if the disclosure is being inserted or updated.
Collection of Criminal Charges on a U4/U5-Criminal DRP
Criminal Charge
Unique number that identifies the Criminal Charge record.
Criminal Charge - Formal Charge/Description
Criminal Charge - No. of Counts
Criminal Charge - Felony or Misdemeanor
Criminal Charge - Plea for each charge
Criminal Charge - Disposition of charge
Criminal Charge - Explanation text when disposition of charge selected is 'Other'.
Criminal Charge - Date of Amended Charge
Criminal Charge - If original charge was amended or reduced, specify new charge.
Criminal Charge - No. of Counts for amended or reduced charge.
Criminal Charge - Specify if amended or reduced charge is a Felony or Misdemeanor
Criminal Charge - Explanation text when amended charge selected is 'Other'
Criminal Charge - Plea for each amended or reduced charge
Criminal Charge - Disposition of amended or reduced charge
Criminal Charge - Explanation text when disposition of amended charge selected is 'Other'.
Indication to specify if the criminal charge record is being inserted, updated or deleted.
Collection of U4 Investigation DRPs
U4 Investigation DRP
Unique number that identifies the disclosure
Flag indicating Criminal DRP being filed in response to U4 disclosure question 14G(2)
Investigation DRP - 1A. Investigation initiated by (Notice Received From - Regulator type)
Investigation DRP - 1B. Full name of regulator that initiated the investigation
Note: On both Initial and amended DRPs, 'InttrTx' must be provided only if the 'InttrTypeCd provided is any value other than 'SEC'. If value provided is 'SEC', this element must not be provided.
Investigation DRP - 2. Notice Date
Investigation DRP - 2. Notice Date exact flag
Investigation DRP - 2. Notice Date explanation text
Investigation DRP - 3. Describe briefly the nature of the investigation, if known
Investigation DRP - 4. Is investigation pending?
Investigation DRP - 5A. Date Closed/Resolved
Investigation DRP - 5A. Date Closed/Resolved Exact Flag
Investigation DRP - 5A. Date Closed/Resolved explanation text
Investigation DRP - 5B. How was investigation resolved?
Explanation text when resolution type (Q. 5B) selected is 'Other'
Investigation DRP - 6. Comment (Optional). You may use this field to provide a brief summary of the circumstances leading to the investigation, as well as the current status or final disposition and/or finding(s).
Indication to specify if the disclosure is being inserted or updated.
Collection of U4 Regulatory Action DRPs
U4 Regulatory Actipon DRP
Unique number that identifies the disclosure
Flag indicating regulatory Action DRP being filed in response to U4 disclosure question 14C(1)
Flag indicating regulatory Action DRP being filed in response to U4 disclosure question 14C(2)
Flag indicating regulatory Action DRP being filed in response to U4 disclosure question 14C(3)
Flag indicating regulatory Action DRP being filed in response to U4 disclosure question 14C(4)
Flag indicating regulatory Action DRP being filed in response to U4 disclosure question 14C(5)
Flag indicating regulatory Action DRP being filed in response to U4 disclosure question 14C(6)
Flag indicating regulatory Action DRP being filed in response to U4 disclosure question 14C(7)
Flag indicating regulatory Action DRP being filed in response to U4 disclosure question 14C(8)
Flag indicating regulatory Action DRP being filed in response to U4 disclosure question 14D(1)(a)
Flag indicating regulatory Action DRP being filed in response to U4 disclosure question 14D(1)(b)
Flag indicating regulatory Action DRP being filed in response to U4 disclosure question 14D(1)(c)
Flag indicating regulatory Action DRP being filed in response to U4 disclosure question 14D(1)(d)
Flag indicating regulatory Action DRP being filed in response to U4 disclosure question 14D(1)(e)
Flag indicating regulatory Action DRP being filed in response to U4 disclosure question 14D(2)(a)
Flag indicating regulatory Action DRP being filed in response to U4 disclosure question 14D(2)(b)
Flag indicating regulatory Action DRP being filed in response to U4 disclosure question 14E(1)
Flag indicating regulatory Action DRP being filed in response to U4 disclosure question 14E(2)
Flag indicating regulatory Action DRP being filed in response to U4 disclosure question 14E(3)
Flag indicating regulatory Action DRP being filed in response to U4 disclosure question 14E(4)
Flag indicating regulatory Action DRP being filed in response to U4 disclosure question 14E(5)
Flag indicating regulatory Action DRP being filed in response to U4 disclosure question 14E(6)
Flag indicating regulatory Action DRP being filed in response to U4 disclosure question 14E(7)
Flag indicating regulatory Action DRP being filed in response to U4 disclosure question 14F
Flag indicating regulatory Action DRP being filed in response to U4 disclosure question 14G(1)
Flag to indicate data on this U4 Regulatory Action DRP be used to satisfy firm's reporting obligation pursuant to the applicable provision of FINRA Rule 4530(a)(1)
Regulatory Action DRP - 1A. Regulatory Action initiated by
Regulatory Action DRP - 1B. Full name of regulator that initiated the action
Note: On both Initial and amended DRPs, 'InttrTx' must be provided only if the 'InttrTypeCd provided is any value other than 'SEC'. If value provided is 'SEC', this element must not be provided.
Regulatory Action DRP - 2. Sanction(s) Sought: Bar
Regulatory Action DRP - 2. Sanction(s) Sought: Cease and Desist
Regulatory Action DRP - 2. Sanction(s) Sought: Censure
Regulatory Action DRP - 2. Sanction(s) Sought: Civil and Administrative Penalty(ies)/Fine(s)
Regulatory Action DRP - 2. Sanction(s) Sought: Denial
Regulatory Action DRP - 2. Sanction(s) Sought: Disgorgement
Regulatory Action DRP - 2. Sanction(s) Sought: Expulsion
Regulatory Action DRP - 2. Sanction(s) Sought: Monetary Penalty other than Fines
Regulatory Action DRP - 2. Sanction(s) Sought: Prohibition
Regulatory Action DRP - 2. Sanction(s) Sought: Reprimand
Regulatory Action DRP - 2. Sanction(s) Sought: Requalification
Regulatory Action DRP - 2. Sanction(s) Sought: Rescission
Regulatory Action DRP - 2. Sanction(s) Sought: Restitution
Regulatory Action DRP - 2. Sanction(s) Sought: Undertaking
Regulatory Action DRP - 2. Sanction(s) Sought: Revocation
Regulatory Action DRP - 2. Sanction(s) Sought: Suspension
Regulatory Action DRP - 2. Sanction(s) Sought: Other
Regulatory Action DRP - Explanation text when Sanction(s) Sought (Q.2) selected is 'Other'
Regulatory Action DRP - 3. Date Initiated
Regulatory Action DRP - 3. Date Initiated Exact flag
IRegulatory Action DRP - 3. Date Initiated Explanation text
Regulatory Action DRP - 4. Docket/Case #
Regulatory Action DRP - 5. Employing Firm when activity occurred which led to the regulatory action
Regulatory Action DRP - 7. Describe the allegations related to this regulatory action
Regulatory Action DRP - 8. Current Status (Pending, On Appeal, or Final)
Regulatory Action DRP - 9. If pending, are there any limitations or restrictions currently in effect?
Regulatory Action DRP - Explanation text if there are any limitations or restrictions while the action is pending (Q.9 is Yes)
Regulatory Action DRP - 10A. if on appeal, action appealed to (court type)
Regulatory Action DRP - Explanation text if coutry type (Q.10A) selected is 'other'
Regulatory Action DRP - 10B. Date appeal filed
Regulatory Action DRP - 10B. Date appeal filed exact flag
Regulatory Action DRP - 10B. Date appeal filed explanation text
Regulatory Action DRP - 10C. Are there any limitations or restrictions currently in effect while on appeal?
Regulatory Action DRP - Explanation text if there are any limitations or restrictions while on appeal (Q.10C is Yes)
Regulatory Action DRP - 11A. If Final or On Appeal, How was matter resolved?
Regulatory Action DRP - Explanation text when resolution type (Q.11A) selected is 'Other'.
Regulatory Action DRP - 11B. Resolution Date
Regulatory Action DRP - 11B. Resolution Date Exact flag
Regulatory Action DRP - 11B. Resolution Date explanation text
Regulatory Action DRP - 12. Does the order constitute a final order based on violations of any laws or regulations that prohibit fraudulent, manipulative, or deceptive conduct?
Regulatory Action DRP - 13A. Sanctions ordered: Bar (Permanent)
Regulatory Action DRP - 13A. Sanctions ordered: Bar (Temporary/Time Limited)
Regulatory Action DRP - 13A. Sanctions ordered: Cease and Desist
Regulatory Action DRP - 13A. Sanctions ordered: Censure
Regulatory Action DRP - 13A. Sanctions ordered: Civil and Administrative Penalty(ies)/Fine(s)
Regulatory Action DRP - 13A. Sanctions ordered: Denial
Regulatory Action DRP - 13A. Sanctions ordered: Disgorgement
Regulatory Action DRP - 13A. Sanctions ordered: Expulsion
Regulatory Action DRP - 13A. Sanctions ordered: Letter of Reprimand
Regulatory Action DRP - 13A. Sanctions ordered: Monetary Penalty other than Fines
Regulatory Action DRP - 13A. Sanctions ordered: Prohibition
Regulatory Action DRP - 13A. Sanctions ordered: Requalification
Regulatory Action DRP - 13A. Sanctions ordered: Rescission
Regulatory Action DRP - 13A. Sanctions ordered: Restitution
Regulatory Action DRP - 13A. Sanctions ordered: Revocation
Regulatory Action DRP - 13A. Sanctions ordered: Suspension
Regulatory Action DRP - 13A. Sanctions ordered: Undertaking
Regulatory Action DRP - 13B. Other sanctions ordered
Regulatory Action DRP - 14. Comment (Optional). You may use this field to provide a brief summary of the circumstances leading to the action as well as the current status or disposition and/or finding(s).
Indication to specify if the disclosure is being inserted or updated.
Regulatory Action DRP - 6. Product Type(s)
Collection of Monetary sanctions on U4/U5 Regulatory Action DRP
Regulatory Action Monetary sanction
Unique number that identifies the Monetary sanction record
Monetary Sanction - Monetary Related Sanction Type
Monetary Sanction - Total Amount
Monetary Sanction - Portion Levied against you
Monetary Sanction - Payment Plan
Monetary Sanction - Is Payment Plan Current?
Monetary Sanction - Date Paid by you
Monetary Sanction - Date Paid by you exact flag
Monetary Sanction - Date Paid by you explanation text
Monetary Sanction - Was any portion of penalty waived?
Monetary Sanction - waived amount
Indication to specify if the monetary sanction record is being inserted, updated or deleted.
Collection of Requalification items on U4/U5 Regulatory Action DRP
Regulatory Action Requalification
Unique number that identifies the requalification item
Requalification - Requalification Type
Requalification - Length of time given to requalify/retrain
Requalification - Type of Exam required
Requalification - Has condition been satisfied?
Requalification - Explanation
Indication to specify if the monetary sanction record is being inserted, updated or deleted.
Collection of Sanctions on U4/U5 Regulatory Action DRP
Regulatory Action Sanction
Unique number that identifies the sanction
Sanction - Sanction Type
Sanction - Registration Capacities affected
Sanction - Duration
Sanction - Duration exact flag
Sanction - Duration explanation text
Sanction - Start Date
Sanction - Start Date Exact flag
Sanction - Start Date explanation text
Sanction - End Date
Sanction - End Date excat flag
Sanction - End Date explanation text
Indication to specify if the sanction is being inserted, updated or deleted.
Collection of U4 Customer Complaint DRPs
U4 Customer Complaint DRP
Unique number that identifies the disclosure
Flag indicating Criminal DRP being filed in response to U4 disclosure question 14I(1)(a)
Flag indicating Criminal DRP being filed in response to U4 disclosure question 14I(1)(b)
Flag indicating Criminal DRP being filed in response to U4 disclosure question 14I(1)(c)
Flag indicating Criminal DRP being filed in response to U4 disclosure question 14I(1)(d)
Flag indicating Criminal DRP being filed in response to U4 disclosure question 14I(2)(a)
Flag indicating Criminal DRP being filed in response to U4 disclosure question 14I(2)(b)
Flag indicating Criminal DRP being filed in response to U4 disclosure question 14I(3)(a)
Flag indicating Criminal DRP being filed in response to U4 disclosure question 14I(3)(b)
Flag indicating Criminal DRP being filed in response to U4 disclosure question 14I(4)(a)
Flag indicating Criminal DRP being filed in response to U4 disclosure question 14I(4)(b)
Flag indicating Criminal DRP being filed in response to U4 disclosure question 14I(5)(a)
Flag indicating Criminal DRP being filed in response to U4 disclosure question 14I(5)(b)
Flag to indicate data on this U4 Criminal disclosure be used to satisfy firm’s reporting obligation pursuant to the applicable provision of FINRA Rule 4530(a)(1)
Customer Complaint DRP - 1. Customer Name(s)
Customer Complaint DRP - 2A. Customer(s) State of Residence
Customer Complaint DRP - 2B. Other state(s) of residence/detail
Customer Complaint DRP - 3. Employing Firm when activities occurred which led to the customer complaint, arbitration, CFTC reparation or civil litigation
Customer Complaint DRP - 4. Allegation(s) and a brief summary of events related to the allegation(s) including dates when activities leading to the allegation(s) occurred
Customer Complaint DRP - 6. Alleged Compensatory Damage Amount
Customer Complaint DRP - 6. Alleged Compensatory Damage Amount Exact flag
Customer Complaint DRP - 6. Alleged Compensatory Damage Amount Explanation text
Customer Complaint DRP - 7A. Is this an oral complaint?
Customer Complaint DRP - 7B. Is this a written complaint?
Customer Complaint DRP - 7C. Is this an arbitration/CFTC reparation or civil litigation?
Customer Complaint DRP - 7C(i). Arbitration/reparation forum or court name and location
Customer Complaint DRP - 7C(ii). Docket/Case#
Customer Complaint DRP - 7C(iii). Filing date of arbitration/CFTC reparation or civil litigation
Customer Complaint DRP - 7D. Date received by/served on firm
Customer Complaint DRP - 7D. Date received by/served on firm Exact flag
Customer Complaint DRP - 7D. Date received by/served on firm Explanation text
Customer Complaint DRP - 8. Is the complaint, arbitration/CFTC reparation or civil litigation pending?
Customer Complaint DRP - 9. Status if the complaint, arbitration/CFTC reparation or civil litigation is not pending: Closed/No Action
Customer Complaint DRP - 9. Status if the complaint, arbitration/CFTC reparation or civil litigation is not pending: Withdrawn
Customer Complaint DRP - 9. Status if the complaint, arbitration/CFTC reparation or civil litigation is not pending: Denied
Customer Complaint DRP - 9. Status if the complaint, arbitration/CFTC reparation or civil litigation is not pending: Settled
Customer Complaint DRP - 9. Status if the complaint, arbitration/CFTC reparation or civil litigation is not pending: Arbitration Award/Monetary Judgment (for claimants/plaintiffs)
Customer Complaint DRP - 9. Status if the complaint, arbitration/CFTC reparation or civil litigation is not pending: Arbitration Award/Monetary Judgment (for respondents/defendants)
Customer Complaint DRP - 9. Status if the complaint, arbitration/CFTC reparation or civil litigation is not pending: Evolved into Arbitration/CFTC reparation (Individual is a named party)
Customer Complaint DRP - 9. Status if the complaint, arbitration/CFTC reparation or civil litigation is not pending: Evolved into Civil litigation (Individual is a named party)
Customer Complaint DRP - 10. Status Date
Customer Complaint DRP - 10. Status Date exact flag
Customer Complaint DRP - 10. Status Date explanation text
Customer Complaint DRP - 11A. Settlement/Award/Monetary Judgment amount
Customer Complaint DRP - 11B. Individual Contribution Amount
Customer Complaint DRP - 12A. Arbitration/CFTC reparation claim filed with (FINRA, AAA, CFTC, etc.)
Customer Complaint DRP - 12B. Docket/Case#
Customer Complaint DRP - 12C. Date notice/process was served
Customer Complaint DRP - 12C. Date notice/process was served Exact flag
Customer Complaint DRP - 12C. Date notice/process was served Explanation text
Customer Complaint DRP - 13. Is arbitration/ CFTC reparation pending?
Customer Complaint DRP - 14. Disposition if Arbitration is not pending: Award to Applicant (Agent/Representative)
Customer Complaint DRP - 14. Disposition if Arbitration is not pending: Award to Customer
Customer Complaint DRP - 14. Disposition if Arbitration is not pending: Denied
Customer Complaint DRP - 14. Disposition if Arbitration is not pending: Dismissed
Customer Complaint DRP - 14. Disposition if Arbitration is not pending: Judgment (other than monetary)
Customer Complaint DRP - 14. Disposition if Arbitration is not pending: No Action
Customer Complaint DRP - 14. Disposition if Arbitration is not pending: Settled
Customer Complaint DRP - 14. Disposition if Arbitration is not pending: Withdrawn
Customer Complaint DRP - 14. Disposition if Arbitration is not pending: Other
Explanation text when disposition (Q.14) selected is 'Other'
Customer Complaint DRP - 15. Disposition Date
Customer Complaint DRP - 15. Disposition Date Exact flag
Customer Complaint DRP - 15. Disposition Date Explanation text
Customer Complaint DRP - 16A. Monetary Compensation Details - Total Amount
Customer Complaint DRP - 16B. Monetary Compensation Details - Individual Contribution amount
Customer Complaint DRP - 17. Court in which case was filed, if the matter involves a civil litigation
Explanation text when court type (Q.17) selected is 'Other'
Customer Complaint DRP - 17A. Name of Court
Customer Complaint DRP - 17B. of Court (City or County and State or Country)
Customer Complaint DRP - 17C. Docket/Case #
Customer Complaint DRP - 18. Date notice/process was served
Customer Complaint DRP - 18. Date notice/process was served exact flag
Customer Complaint DRP - 18. Date notice/process was served explanation text
Customer Complaint DRP - 19. Is the civil litigation pending?
Customer Complaint DRP - 20. Disposition (if the civil litigation is not Pending): Denied
Customer Complaint DRP - 20. Disposition (if the civil litigation is not Pending): Dismissed
Customer Complaint DRP - 20. Disposition (if the civil litigation is not Pending): Judgment (other than monetary)
Customer Complaint DRP - 20. Disposition (if the civil litigation is not Pending): Monetary Judgment to Applicant (Agent/Representative)
Customer Complaint DRP - 20. Disposition (if the civil litigation is not Pending): Monetary Judgment to Customer
Customer Complaint DRP - 20. Disposition (if the civil litigation is not Pending): No Action
Customer Complaint DRP - 20. Disposition (if the civil litigation is not Pending): Settled
Customer Complaint DRP - 20. Disposition (if the civil litigation is not Pending): Withdrawn
Customer Complaint DRP - 20. Disposition (if the civil litigation is not Pending): Other
Explanation text when Disposition (Q.20) selected is 'Other'
Customer Complaint DRP - 21. Disposition Date
Customer Complaint DRP - 21. Disposition Date Exact flag
Customer Complaint DRP - 21. Disposition Date Explanation text
Customer Complaint DRP - 22A. Monetary Compensation Details Total Amount
Customer Complaint DRP - 22B. Monetary Compensation Details - Individual Contribution Amount
Customer Complaint DRP - 23A. Enter date appeal filed (If action is currently on appeal)
Customer Complaint DRP - 23A. Enter date appeal filed Exact flag
Customer Complaint DRP - 23A. Enter date appeal filed explantion text
Customer Complaint DRP - 23B. Court appeal filed in
Explanation text when court type (Q.23B) selected is 'Other'
Customer Complaint DRP - 23B(i). Name of Court
Customer Complaint DRP - 23B(ii). Location of Court (City or County and State or Country)
Customer Complaint DRP - 23B(iii). Docket/Case #
Customer Complaint DRP - 24. Comment (Optional). You may use this field to provide a brief summary of the circumstances leading to the customer complaint, arbitration/CFTC reparation and/or civil litigation as well as the current status or final disposition(s).
Customer Complaint DRP - 5. Product types
Indication to specify if the disclosure is being inserted or Updated.
Allowed values for Initiator type on U4-Civil Judicial DRP (Q.1A)
Regulatory Action DRP - Allowed values for Requalification type
Regulatory Action DRP - Allowed values for Sanction type
regulatory Action DRP - Allowed values for Monetary Related Sanction Type
Regulatory Action DRP - Allowed values for Regulatory Action initiated by (Q.1A)
Regulatory Action DRP - Allowed values for court type where action appealed to (Q.10A)
Regulatory Action DRP - Allowed values for Resolution type code (Q.11A)
criminal DRP - Allowed values for Criminal Charge(s), and amended Criminal Charge(s)
Criminal DRP - Allowed values for Disposition of Charge(s), and Disposition of amended / reduced charge(s)
Allowed values for disclosure current status code on U4-Civil Judicial DRP (Q.8), U4-Criminal DRP (Q.3), U5-Criminal DRP (Q.2)
Allowed values for disclosure Resolution detail code on U4-Civil Judicial DRP (Q.11)
Allowed values for Termination Type (Q.2) on U4 / U5 Termination DRP
Allowed values for Disposition type on U4 Bankruptcy DRP (Q.6)
Allowed values for Action Type on U4 Bankruptcy DRP (Q.1)
Allowed values for Chapter type when Action Type (Q.1) selected is' Bankruptcy' on U4 Bankruptcy DRP
Allowed values for court type on U4-Bankruptcy DRP (Q.4), U4-Judgement Lien DRP (Q.2)
Allowed values for Regulator type code (Q.1A) on U4/U5 Investigation DRP
Allowed values for Resolution type (Q.5B) on U4/U5 Investigation DRP
Allowed Values for Product Type(s) on U4/U5-Termination DRP (Q.5), U4-Civil Judicial DRP (Q.4), U4/U5-Regulatory Action DRP (Q.6), U4/U5 Customer Complain DRP (Q.5)
Annuity-Charitable
Annuity-Fixed
Annuity-Variable
Banking Products (other than CDs)
CD
Commodity Option
Debt-Asset Backed
Debt-Corporate
Debt-Government
Debt-Municipal
Direct Investment - DPP and LP Interests
Derivative
Equity Listed (Common and Preferred Stock)
Equity-OTC
Equipment Leasing
Futures Commodity
Futures-Financial
Index Option
Money Market Fund
Mutual Fund
No Product
Insurance
Investment Contract
Oil and Gas
Options
Penny Stock
Prime Bank Instrument
Promissory Note
Real Estate Security
Security Futures
Unit Investment Trust
Viatical Settlement
Other product
Explanation text when product type selected is 'Other'
Collection of U5 Internal Review DRPs
U5 Internal Review DRP
Unique number that identifies the disclosure
Flag indicating Criminal DRP being filed in response to U5 disclosure question 7B
Internal Review DRP - 1. Notice Received From (Name of firm initiating the internal review)
Internal Review DRP - 2. Date internal review initiated
Internal Review DRP - 2. Date internal review initiated exact flag
Internal Review DRP - 2. Date internal review initiated explanation text
Internal Review DRP - 3. Describe briefly the nature of the internal review.
Internal Review DRP - 5A.Date internal review concluded
Internal Review DRP - 5A.Date internal review concluded Exact flag
Internal Review DRP - 5A.Date internal review concluded explanation text
Internal Review DRP - 4. Is internal review pending?
Internal Review DRP - 5B. How was internal review concluded (provide details of the conclusion)?
Internal Review DRP - 6. Comment (Optional). You may use this field to provide a brief summary of the circumstances leading to the action, as well as the current status or final disposition.
Internal Review DRP - Part II. Brief summary provided by Individual who is the subject of the internal review.
Indication to specify if the disclosure is being updated or deleted.
Collection of U5 Investigation DRPs
U5 Investigation DRP
Unique number that identifies the disclosure
Flag indicating Criminal DRP being filed in response to U5 disclosure question 7A
Investigation DRP - 1A. Investigation initiated by (Notice Received From - Regulator type)
Investigation DRP - 1B. Full name of regulator that initiated the investigation
Note: On both Initial and amended DRPs, 'InttrTx' must be provided only if the 'InttrTypeCd provided is any value other than 'SEC'. If value provided is 'SEC', this element must not be provided.
Investigation DRP - 2. Notice Date
Investigation DRP - 2. Notice Date exact flag
Investigation DRP - 2. Notice Date explanation text
Investigation DRP - 3. Describe briefly the nature of the investigation, if known
Investigation DRP - 4. Is investigation pending?
Investigation DRP - 5A. Date Closed/Resolved
Investigation DRP - 5A. Date Closed/Resolved Exact Flag
Investigation DRP - 5A. Date Closed/Resolved explanation text
Investigation DRP - 5B. How was investigation resolved?
Explanation text when resolution type (Q. 5B) selected is 'Other'
Investigation DRP - 6. Comment (Optional). You may use this field to provide a brief summary of the circumstances leading to the investigation, as well as the current status or final disposition and/or finding(s).
Indication to specify if the disclosure is being inserted or updated.
Collection of U5 Termination DRPs
U5 Termination DRP
Unique number that identifies the disclosure
Flag indicating Termination disclosure being filed in response to U5 disclosure question 7F(1)
Flag indicating Termination disclosure being filed in response to U5 disclosure question 7F(2)
Flag indicating Termination disclosure being filed in response to U5 disclosure question 7F(3)
Termination DRP - 1. Firm Name
Termination DRP - 2. Termination Type
Termination DRP - 3. Termination Date
Termination DRP - 3. Termination Date Excact Flag
Termination DRP - 3. Termination Date Explanation text
Termination DRP - 4. Allegation(s)
Termination DRP - 5. Product Type(s)
Termination DRP - 6. Comment (Optional). You may use this field to provide a brief summary of the circumstances leading to the termination.
Indication to specify if the disclosure is being inserted or updated
Collection of U5 Criminal DRPs
U5 Criminal DRP
Unique number that identifies the disclosure
Flag indicating Criminal DRP being filed in response to U5 disclosure question 7C(1)
Flag indicating Criminal DRP being filed in response to U5 disclosure question 7C(2)
Flag indicating Criminal DRP being filed in response to U5 disclosure question 7C(3)
Flag indicating Criminal DRP being filed in response to U5 disclosure question 7C(4)
Criminal DRP - 1. Formal Action was brought in (Court type: Fedral, State, Military, Foreign or Other)
Criminal DRP - Explanation text when Court type (Q.1) selected is 'Other'.
Criminal DRP - 1A. Name of Court
Criminal DRP - 1B. Location of Court (City or County and State or Country)
Criminal DRP - 1C. Docket/Case#
Criminal DRP - 2A. Current Status of the Event
Criminal DRP - 2B. Event Status Date (complete unless status is pending)
Criminal DRP - 2B. Event Status Date tExact flag
Criminal DRP - 2B. Event Status Date Explanation text
Criminal DRP - 3A. Date First Charged
Criminal DRP - 3A. Date First Charged Exact flag
Criminal DRP - 3A. Date First Charged explanation text
Criminal DRP - 3C. Date of Disposition
Criminal DRP - 3C. Date of Disposition Exact flag
Criminal DRP - 4C. Date of Disposition explanation text
Criminal DRP - 3D. Sentence/Penalty; Duration (if suspension, probation, etc): Start Date of Penalty; End date of Penalty; If Monetary penalty/fine – Amount paid; Date monetary/penalty fine paid; if not exact, provide explanation.
Criminal DRP - 4. Comment (Optional). You may use this field to provide a brief summary of the circumstances leading to the charge(s) as well as the current status or final disposition
Indication to specify if the disclosure is being inserted or updated.
Collection of U5 Customer Complaint DRPs
U5 Customer Complaint DRP
Unique number that identifies the disclosure
Flag indicating Criminal DRP being filed in response to U5 disclosure question 7E(1)(a)
Flag indicating Criminal DRP being filed in response to U5 disclosure question 7E(1)(b)
Flag indicating Criminal DRP being filed in response to U5 disclosure question 7E(1)(c)
Flag indicating Criminal DRP being filed in response to U5 disclosure question 7E(1)(d)
Flag indicating Criminal DRP being filed in response to U5 disclosure question 7E(2)(a)
Flag indicating Criminal DRP being filed in response to U5 disclosure question 7E(2)(b)
Flag indicating Criminal DRP being filed in response to U5 disclosure question 7E(3)(a)
Flag indicating Criminal DRP being filed in response to U5 disclosure question 7E(3)(b)
Flag indicating Criminal DRP being filed in response to U5 disclosure question 7E(4)(a)
Flag indicating Criminal DRP being filed in response to U5 disclosure question 7E(4)(b)
Flag indicating Criminal DRP being filed in response to U5 disclosure question 7E(5)(a)
Flag indicating Criminal DRP being filed in response to U5 disclosure question 7E(5)(b)
Customer Complaint DRP - 1. Customer Name(s)
Customer Complaint DRP - 2A. Customer(s) State of Residence
Customer Complaint DRP - 2B. Other state(s) of residence/detail
Customer Complaint DRP - 3. Employing Firm when activities occurred which led to the customer complaint, arbitration, CFTC reparation or civil litigation
Customer Complaint DRP - 4. Allegation(s) and a brief summary of events related to the allegation(s) including dates when activities leading to the allegation(s) occurred
Customer Complaint DRP - 6. Alleged Compensatory Damage Amount
Customer Complaint DRP - 6. Alleged Compensatory Damage Amount Exact flag
Customer Complaint DRP - 6. Alleged Compensatory Damage Amount Explanation text
Customer Complaint DRP - 7A. Is this an oral complaint?
Customer Complaint DRP - 7B. Is this a written complaint?
Customer Complaint DRP - 7C. Is this an arbitration/CFTC reparation or civil litigation?
Customer Complaint DRP - 7C(i). Arbitration/reparation forum or court name and location
Customer Complaint DRP - 7C(ii). Docket/Case#
Customer Complaint DRP - 7C(iii). Filing date of arbitration/CFTC reparation or civil litigation
Customer Complaint DRP - 7D. Date received by/served on firm
Customer Complaint DRP - 7D. Date received by/served on firm Exact flag
Customer Complaint DRP - 7D. Date received by/served on firm Explanation text
Customer Complaint DRP - 8. Is the complaint, arbitration/CFTC reparation or civil litigation pending?
Customer Complaint DRP - 9. Status if the complaint, arbitration/CFTC reparation or civil litigation is not pending: Closed/No Action
Customer Complaint DRP - 9. Status if the complaint, arbitration/CFTC reparation or civil litigation is not pending: Withdrawn
Customer Complaint DRP - 9. Status if the complaint, arbitration/CFTC reparation or civil litigation is not pending: Denied
Customer Complaint DRP - 9. Status if the complaint, arbitration/CFTC reparation or civil litigation is not pending: Settled
Customer Complaint DRP - 9. Status if the complaint, arbitration/CFTC reparation or civil litigation is not pending: Arbitration Award/Monetary Judgment (for claimants/plaintiffs)
Customer Complaint DRP - 9. Status if the complaint, arbitration/CFTC reparation or civil litigation is not pending: Arbitration Award/Monetary Judgment (for respondents/defendants)
Customer Complaint DRP - 9. Status if the complaint, arbitration/CFTC reparation or civil litigation is not pending: Evolved into Arbitration/CFTC reparation (Individual is a named party)
Customer Complaint DRP - 9. Status if the complaint, arbitration/CFTC reparation or civil litigation is not pending: Evolved into Civil litigation (Individual is a named party)
Customer Complaint DRP - 10. Status Date
Customer Complaint DRP - 10. Status Date exact flag
Customer Complaint DRP - 10. Status Date explanation text
Customer Complaint DRP - 11A. Settlement/Award/Monetary Judgment amount
Customer Complaint DRP - 11B. Individual Contribution Amount
Customer Complaint DRP - 12A. Arbitration/CFTC reparation claim filed with (FINRA, AAA, CFTC, etc.)
Customer Complaint DRP - 12B. Docket/Case#
Customer Complaint DRP - 12C. Date notice/process was served
Customer Complaint DRP - 12C. Date notice/process was served Exact flag
Customer Complaint DRP - 12C. Date notice/process was served Explanation text
Customer Complaint DRP - 13. Is arbitration/ CFTC reparation pending?
Customer Complaint DRP - 14. Disposition if Arbitration is not pending: Award to Applicant (Agent/Representative)
Customer Complaint DRP - 14. Disposition if Arbitration is not pending: Award to Customer
Customer Complaint DRP - 14. Disposition if Arbitration is not pending: Denied
Customer Complaint DRP - 14. Disposition if Arbitration is not pending: Dismissed
Customer Complaint DRP - 14. Disposition if Arbitration is not pending: Judgment (other than monetary)
Customer Complaint DRP - 14. Disposition if Arbitration is not pending: No Action
Customer Complaint DRP - 14. Disposition if Arbitration is not pending: Settled
Customer Complaint DRP - 14. Disposition if Arbitration is not pending: Withdrawn
Customer Complaint DRP - 14. Disposition if Arbitration is not pending: Other
Explanation text when disposition (Q.14) selected is 'Other'
Customer Complaint DRP - 15. Disposition Date
Customer Complaint DRP - 15. Disposition Date Exact flag
Customer Complaint DRP - 15. Disposition Date Explanation text
Customer Complaint DRP - 16A. Monetary Compensation Details - Total Amount
Customer Complaint DRP - 16B. Monetary Compensation Details - Individual Contribution amount
Customer Complaint DRP - 17. Court in which case was filed, if the matter involves a civil litigation
Explanation text when court type (Q.17) selected is 'Other'
Customer Complaint DRP - 17A. Name of Court
Customer Complaint DRP - 17B. of Court (City or County and State or Country)
Customer Complaint DRP - 17C. Docket/Case #
Customer Complaint DRP - 18. Date notice/process was served
Customer Complaint DRP - 18. Date notice/process was served exact flag
Customer Complaint DRP - 18. Date notice/process was served explanation text
Customer Complaint DRP - 19. Is the civil litigation pending?
Customer Complaint DRP - 20. Disposition (if the civil litigation is not Pending): Denied
Customer Complaint DRP - 20. Disposition (if the civil litigation is not Pending): Dismissed
Customer Complaint DRP - 20. Disposition (if the civil litigation is not Pending): Judgment (other than monetary)
Customer Complaint DRP - 20. Disposition (if the civil litigation is not Pending): Monetary Judgment to Applicant (Agent/Representative)
Customer Complaint DRP - 20. Disposition (if the civil litigation is not Pending): Monetary Judgment to Customer
Customer Complaint DRP - 20. Disposition (if the civil litigation is not Pending): No Action
Customer Complaint DRP - 20. Disposition (if the civil litigation is not Pending): Settled
Customer Complaint DRP - 20. Disposition (if the civil litigation is not Pending): Withdrawn
Customer Complaint DRP - 20. Disposition (if the civil litigation is not Pending): Other
Explanation text when Disposition (Q.20) selected is 'Other'
Customer Complaint DRP - 21. Disposition Date
Customer Complaint DRP - 21. Disposition Date Exact flag
Customer Complaint DRP - 21. Disposition Date Explanation text
Customer Complaint DRP - 22A. Monetary Compensation Details Total Amount
Customer Complaint DRP - 22B. Monetary Compensation Details - Individual Contribution Amount
Customer Complaint DRP - 23A. Enter date appeal filed (If action is currently on appeal)
Customer Complaint DRP - 23A. Enter date appeal filed Exact flag
Customer Complaint DRP - 23A. Enter date appeal filed explantion text
Customer Complaint DRP - 23B. Court appeal filed in
Explanation text when court type (Q.23B) selected is 'Other'
Customer Complaint DRP - 23B(i). Name of Court
Customer Complaint DRP - 23B(ii). Location of Court (City or County and State or Country)
Customer Complaint DRP - 23B(iii). Docket/Case #
Customer Complaint DRP - 24. Comment (Optional). You may use this field to provide a brief summary of the circumstances leading to the customer complaint, arbitration/CFTC reparation and/or civil litigation as well as the current status or final disposition(s).
Customer Complaint DRP - 5. Product types
Indication to specify if the disclosure is being inserted or Updated.
Collection of U5 Regulatory Action DRPs
U5 Regulatory Action DRP
Unique number that identifies the disclosure
Flag indicating regulatory Action DRP being filed in response to U5 disclosure question 7A
Flag indicating regulatory Action DRP being filed in response to U5 disclosure question 7D
Regulatory Action DRP - 1A. Regulatory Action initiated by
Regulatory Action DRP - 1B. Full name of regulator that initiated the action
Note: On both Initial and amended DRPs, 'InttrTx' must be provided only if the 'InttrTypeCd provided is any value other than 'SEC'. If value provided is 'SEC', this element must not be provided.
Regulatory Action DRP - 2. Sanction(s) Sought: Bar
Regulatory Action DRP - 2. Sanction(s) Sought: Cease and Desist
Regulatory Action DRP - 2. Sanction(s) Sought: Censure
Regulatory Action DRP - 2. Sanction(s) Sought: Civil and Administrative Penalty(ies)/Fine(s)
Regulatory Action DRP - 2. Sanction(s) Sought: Denial
Regulatory Action DRP - 2. Sanction(s) Sought: Disgorgement
Regulatory Action DRP - 2. Sanction(s) Sought: Expulsion
Regulatory Action DRP - 2. Sanction(s) Sought: Monetary Penalty other than Fines
Regulatory Action DRP - 2. Sanction(s) Sought: Prohibition
Regulatory Action DRP - 2. Sanction(s) Sought: Reprimand
Regulatory Action DRP - 2. Sanction(s) Sought: Requalification
Regulatory Action DRP - 2. Sanction(s) Sought: Rescission
Regulatory Action DRP - 2. Sanction(s) Sought: Restitution
Regulatory Action DRP - 2. Sanction(s) Sought: Undertaking
Regulatory Action DRP - 2. Sanction(s) Sought: Revocation
Regulatory Action DRP - 2. Sanction(s) Sought: Suspension
Regulatory Action DRP - 2. Sanction(s) Sought: Other
Regulatory Action DRP - Explanation text when Sanction(s) Sought (Q.2) selected is 'Other'
Regulatory Action DRP - 3. Date Initiated
Regulatory Action DRP - 3. Date Initiated Exact flag
IRegulatory Action DRP - 3. Date Initiated Explanation text
Regulatory Action DRP - 4. Docket/Case #
Regulatory Action DRP - 5. Employing Firm when activity occurred which led to the regulatory action
Regulatory Action DRP - 7. Describe the allegations related to this regulatory action
Regulatory Action DRP - 8. Current Status (Pending, On Appeal, or Final)
Regulatory Action DRP - 9. If pending, are there any limitations or restrictions currently in effect?
Regulatory Action DRP - Explanation text if there are any limitations or restrictions while the action is pending (Q.9 is Yes)
Regulatory Action DRP - 10A. if on appeal, action appealed to (court type)
Regulatory Action DRP - Explanation text if coutry type (Q.10A) selected is 'other'
Regulatory Action DRP - 10B. Date appeal filed
Regulatory Action DRP - 10B. Date appeal filed exact flag
Regulatory Action DRP - 10B. Date appeal filed explanation text
Regulatory Action DRP - 10C. Are there any limitations or restrictions currently in effect while on appeal?
Regulatory Action DRP - Explanation text if there are any limitations or restrictions while on appeal (Q.10C is Yes)
Regulatory Action DRP - 11A. If Final or On Appeal, How was matter resolved?
Regulatory Action DRP - Explanation text when resolution type (Q.11A) selected is 'Other'.
Regulatory Action DRP - 11B. Resolution Date
Regulatory Action DRP - 11B. Resolution Date Exact flag
Regulatory Action DRP - 11B. Resolution Date explanation text
Regulatory Action DRP - 12A. Sanctions ordered: Bar (Permanent)
Regulatory Action DRP - 12A. Sanctions ordered: Bar (Temporary/Time Limited)
Regulatory Action DRP - 12A. Sanctions ordered: Cease and Desist
Regulatory Action DRP - 12A. Sanctions ordered: Censure
Regulatory Action DRP - 12A. Sanctions ordered: Civil and Administrative Penalty(ies)/Fine(s)
Regulatory Action DRP - 12A. Sanctions ordered: Denial
Regulatory Action DRP - 12A. Sanctions ordered: Disgorgement
Regulatory Action DRP - 12A. Sanctions ordered: Expulsion
Regulatory Action DRP - 12A. Sanctions ordered: Letter of Reprimand
Regulatory Action DRP - 12A. Sanctions ordered: Monetary Penalty other than Fines
Regulatory Action DRP - 12A. Sanctions ordered: Prohibition
Regulatory Action DRP - 12A. Sanctions ordered: Requalification
Regulatory Action DRP - 12A. Sanctions ordered: Rescission
Regulatory Action DRP - 12A. Sanctions ordered: Restitution
Regulatory Action DRP - 12A. Sanctions ordered: Revocation
Regulatory Action DRP - 12A. Sanctions ordered: Suspension
Regulatory Action DRP - 12A. Sanctions ordered: Undertaking
Regulatory Action DRP - 12B. Other sanctions ordered
Regulatory Action DRP - 13. Comment (Optional). You may use this field to provide a brief summary of the circumstances leading to the action as well as the current status or disposition and/or finding(s).
Regulatory Action DRP - 12C. Did the action result in a finding of a willful violation or failure to supervise?
Regulatory Action DRP - 12C(1). willfully violated any provision of Acts, rules or regulations?
Regulatory Action DRP - 12C(2). willfully aided, abetted, counseled, commanded, induced, or procured the violation by any person of any provision?
Regulatory Action DRP - 12C(3). failed reasonably to supervise another person subject to the individual's supervision
Indication to specify if the disclosure is being inserted or updated.
Regulatory Action DRP - 6. Product Type(s)