@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
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FINRA reserves the right to seek all injunctive and equitable relief available to it in the event
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FINRA Confidential and Proprietary information, agreement that the firm will not reprint,
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Version: Release 2015.12 (last updated on 12/12/2015)
Change History
12/12/2015 - Updated error message list for U4 Fingerprint section.
Possible Error Locations for U4
GEN - General Information
FGPT - Fingerprint Information
RUF - Registration with Unaffiliated Firms
SRO - SRO Registrations
JUR - Jurisdiction Registrations
AFF - Registration Requests with Affiliated Firms
EXM - Examination Requests
DSG - Professional Designations
PER - Identifying Information/Name Change
OTN - Other Names
RES - Residential History
EMP - Employment History
U4OB - Other Business
DIS - Disclosure Questions
SIG - Signatures
EXE - BD Page 2 Execution
DRPBK - Bankruptcy DRP
DRPBD - Bond DRP
DRPCJ - Civil Judicial DRP
DRPCR - Criminal DRP
DRPCC - Customer Complaint DRP
DRPIN - Investigation DRP
DRPJL - Judgment Lien DRP
DRPRA - Regulatory Action DRP
DRPTM - Termination DRP
Possible Error Locations for U5
GEN - General Information
RES - Current Residential Address
TRM - Full Termination
TDT - Date of Termination
SRO - SRO Registrations
JUR - Jurisdiction Partial Termination
AFF - Affiliated Firm Termination
DIS - Disclosure Questions
SIG - Signature
DRPCR - Criminal DRP
DRPCC - Customer Complaint DRP
DRPIR - Internal Review DRP
DRPIN - Investigation DRP
DRPRA - Regulatory Action DRP
DRPTM - Termination DRP
Possible Error Locations for NRF
GEN - General Information
PER - Personal Information
OTN - Other Names
TRM - Termination
Possible Error Codes and Messages for the Form U4 filing
200 - General System Error (Reference # : {0})
301 - Filing contains sections that are not applicable to this filing type.
100001 - {Display field name} is a required field.
100003 - {Display field name} When a State is provided, the Country provided must be United States. Edit the Country and/or State.
100007 - {Display field name 1} is required when when {Display field name 2} is provided.
100008 - {Display field name 1} is required when {Display field name 2}.
100009 - {Display field name 1} must be less than or equal to {Display field name 2}.
100010 - {Date field} cannot be a future date.
100011 - At least one disclosure question should be selected.
100012 - Select the exact or explanation radio buttons for the {Display field name} field.
100013 - An explanation is required when the explanation radio button is selected for the {Display field name} field.
100014 - An explanation is required when {Display field name} is "Other".
100015 - "Other" must be selected since an explanation is provided in {Display field name}.
100016 - When 'No Product' is selected for "Product Type(s)", additional options cannot be selected and "Other" explanation cannot be provided.
12081 - The {Display field name} CE session cannot be scheduled because there is an active window already open.
12082 - {Display field name} exam cannot be rescheduled until 30 days prior to the current exam window end date.
12085 - {Display field name} exam has already been passed.
12086 - Exam does not have a corresponding position registration or request.
12187 - The fingerprint barcode number must be exactly 10 digits long.
14055 - The {Display field name 1} must be on, or before, the {Display field name 2}.
16043 - One of the Fingerprint Information choices must be selected.
16044 - At least one RA position must be requested.
16045 - Employment Date must be less than or equal to the current date.
16046 - The Firm entered is not an active CRD or IARD firm.
16047 - The Firm entered does not have an affiliation with the filing firm.
16052 - At least one SRO/Registration must be requested or,
1605301 - Date of Birth cannot be after the earliest employment start date.
1605302 - The Date of Birth entered indicates that the individual is under 18 years of age. Please note that an individual must have reached the age of majority in his/her state of residence to register with FINRA.
16057 - The choices for Gender are Male and Female only.
16059 - Inches cannot be more than 11. Increase the Footage.
16065 - From Date must precede the To Date.
16069 - A minimum of 5 years of Residential History must be provided.
16070 - A gap of more than 3 months is not allowed.
16076 - If an Exam Type is entered then an Exam Date must be provided or if an Exam Date is provided then an Exam Type must be entered.
16078 - "From" date shall be less than or equal to the current date.
16085 - A minimum of 10 years of Employment History must be provided.
16086 - A gap of more than 3 months is not allowed.
16087 - The Data for the Individual in the CRD system database has been updated since the filing was created.
16088 - There is a filing for the same individual that has been submitted but not yet processed.
16097 - Individual already has fingerprint card on file. No barcode can be provided on Amendment filing.
16150 - Please check option "Yes" if there is other business activity.
16151 - Please check option "No" if there is no other business activity.
16161 - A Jurisdiction AG registration has been requested, at least one qualifying FINRA registration is mandatory.
16170 - Last Name is mandatory.
16183 - At least one disclosure question should be selected.
16184 - "Firm Name" is required.
16185 - "Bonding Company Name" is required.
16186 - "Disposition Type" is required.
16187 - "Disposition Date" is required.
16188 - Select the exact or explanation radio buttons for the "Disposition Date" field.
16190 - Since the Disposition Type is Payout, "Payout Amount" and "Date Paid" are required.
1620001 - A response to Sanction(s) Sought is required if "Resolution Detail - How was matter resolved" is not Acceptance, Waiver and Consent (AWC) or Settled.
1620005 - "If pending, are there any limitations or restrictions currently in effect?" is required when the "Current Status" is 'Pending'.
1620006 - "If the answer is 'yes', provide details" is required when "If pending, are there any limitations or restrictions currently in effect?" is answered 'Yes.'
1620007 - "If on appeal - Action appealed to" is required when the "Current Status" is 'On Appeal.'
1620008 - "If on appeal - Date appeal filed" is required when the "Current Status" is 'On Appeal.'
1620009 - "If the answer is 'yes', provide details" is required when "Are there any limitations or restrictions currently in effect while on appeal?" is answered 'Yes.'
1620010 - "Resolution Detail - How was matter resolved" is required when the "Current Status" is 'Final.'
1620011 - A response to either Question 13A or 13B is required.
1620012 - A response to either Question 12A or 12B is required.
1620013 - A response to Question 13C is required.
1620014 - A response to Question 12C is required.
1620026 - Sanction Details Page - Please create a new Sanction item when "Sanction Detail" is 'Bar (Permanent),' 'Bar (Temporary/Time Limited),' or 'Suspension.'
1620029 - "Sanction Details Page - Duration (length of time)" is required when the "Sanction Type" is 'Bar (Temporary/Time Limited)' or 'Suspension.'
1620030 - Sanction Details Page - Select the exact or explanation radio buttons for the "Start Date" field.
1620031 - Sanction Details Page - Select the exact or explanation radio buttons for the "End Date" field.
1620032 - Sanction Details Page - Select the exact or explanation radio buttons for the "Duration (length of time)" field.
1620033 - Sanction Details Page - An explanation is required when the explanation radio button is selected for the "Start Date" field.
1620034 - Sanction Details Page - An explanation is required when the explanation radio button is selected for the "End Date" field.
1620035 - Sanction Details Page - An explanation is required when the explanation radio button is selected for the "Duration (length of time)" field.
1620036 - Sanction Details Page - The "Start Date" cannot be later than the "End Date."
1620037 - Requalification Details Page - Please create a new Requalification item when "Sanction Detail" is 'Requalification.'
1620041 - Requalification Details Page - The "Explanation" field is required when the "Requalification Type" is 'Other' or 'Re-Training'.
1620042 - Requalification Details Page - The "Type of Exam" field is required when the "Requalification Type" is 'Requalification by Exam'.
1620043 - "Monetary Sanction Details Page - Please create a new Monetary Sanction item when "Sanction Detail" is 'Civil and Administrative Penalty(ies)/Fine(s),' 'Disgorgement,' 'Monetary Penalty other than Fines,' or 'Restitution.'
1620049 - Monetary Sanction Details Page - "If 'yes', amount" is required when "Was any portion of penalty waived?" is answered 'Yes.' -
1620050 - Monetary Sanction Details Page - An explanation is required when the explanation radio button is selected for the "Date Paid" field.
1620051 - Monetary Sanction Details Page - Select the exact or explanation radio buttons for the "Date Paid" field.
1620052 - "Resolution Detail - Resolution Date" is required when the "Current Status" is 'Final.'
1620054 - "If on appeal - Are there any limitations or restrictions currently in effect while on appeal?" is required when the "Current Status" is 'On Appeal.'
16208 - Principal Product Type is mandatory.
16212 - If Current Status is On Appeal then "Action appealed to (provide name of court)" is required.
16213 - If Current Status is not Pending then Resolution Detail - "How was matter resolved" is required.
16214 - Resolution Detail - "Resolution Date" is required if status is not pending.
16215 - Resolution Date -Radio Buttons do not default, the user shall choose one of the options provided if status is not pending.
16217 - Resolution Detail - Sanction detail is mandatory if 13A or 13B completed.
16228 - "How was matter resolved" is required when the "Current Status" is 'Final.
16229 - "Resolution Date" is required when the "Current Status" is 'Final.'
16232 - Resolution Detail - Sanction detail is required if Field 12A or 12B is completed.
16264 - At least one disclosure question should be selected.
16268 - Select the exact or explanation radio buttons for the "Termination Date" field.
16269 - An explanation is required when the explanation radio button is selected for the "Termination Date" field.
16306 - The Firm does not have an active BD registration with the regulator you have requested.
16334 - Form U4 questions 14A and/or 14B are answered "yes," however a Criminal DRP is not included as part of the filing. Either report relevant details via a Criminal DRP or, if there is no reportable criminal event, change the response to questions 14A and/or 14B to "no."
16335 - Form U4 questions 14C, 14D, 14E, 14F and/or 14G(1) are answered "yes," however a Regulatory Action DRP is not included as part of the filing. Either report relevant details via a Regulatory Action DRP or, if there is no reportable regulatory event, change the response to the appropriate question(s) to "no."
16336 - Form U4 question 14H is answered "yes," however a Civil Judicial DRP is not included as part of the filing. Either report relevant details via a Civil Judicial DRP or, if there is no reportable civil judicial event, change the response to question 14H to "no."
16337 - Form U4 question 14I is answered "yes," however a Customer Complaint/Arbitration/Civil Litigation DRP is not included as part of the filing. Either report relevant details via a Customer Complaint/Arbitration/Civil Litigation DRP or, if there is no reportable customer dispute, change the response to question 14I to "no."
16338 - Form U4 question 14J is answered "yes," however a Termination DRP is not included as part of the filing. Either report relevant details via a Termination DRP or, if there is no reportable termination event, change the response to question 14J to "no."
16339 - Form U4 question 14G(2) is answered "yes," however an Investigation DRP is not included as part of the filing. Either report relevant details via an Investigation DRP or, if there is no reportable investigation, change the response to question 14G(2) to "no."
16340 - Form U4 question 14K is answered "yes," however a Bankruptcy/SIPC/Compromise with Creditors DRP is not included as part of the filing. Either report relevant details via a Bankruptcy/SIPC/Compromise with Creditors DRP or, if within the past 10 years there has not been a financial event reportable under 14K, change the response to question 14K to "no."
16341 - Form U4 question 14L is answered "yes," however a Bond DRP is not included as part of the filing. Either report relevant details via a Bond DRP or, if there is not reportable bond event, change the response to question 14L to "no."
16342 - Form U4 question 14M is answered "yes," however a Judgment/Lien DRP is not included as part of the filing. Either report relevant details via a Judgment/Lien DRP or, if there is no reportable judgment/lien event, change the response to question 14M to "no."
16343 - Form U5 question 7A is answered "Yes," however an Investigation DRP is not included as part of the filing and there is no U4 Investigation DRP in the individual's "Current" disclosure record to correspond with the "Yes" answer. Either report relevant details via an Investigation DRP or, if there is no reportable investigation, change your response to question 7A to "No."
16344 - Form U5 question 7B is answered "Yes," however an Internal Review DRP is not included as part of the filing. Either report relevant details via an Internal Review DRP or, if there is no reportable internal review event, change your response to question 7B to "No."
16345 - Form U5 question 7C is answered "Yes," however a Criminal DRP is not included as part of the filing and there is no U4 Criminal DRP in the individual's "Current" disclosure record to correspond with the "Yes" answer. Either report relevant details via a Criminal DRP or, if there is no reportable criminal event, change your response to question 7C "No."
16346 - Form U5 question 7D is answered "Yes," however a Regulatory Action DRP is not included as part of the filing and there is no U4 Regulatory Action DRP in the individual's "Current" disclosure record to correspond with the "Yes" answer. Either report relevant details via a Regulatory Action DRP or, if there is no reportable regulatory event, change your response to question 7D to "No."
16347 - Form U5 question 7E is answered "Yes," however a Customer Complaint/Arbitration/Civil Litigation DRP is not included as pat of the filing and there is no U4 Customer Complaint/Arbitration/Civil Litigation DRP in the individual's "Current" disclosure record to correspond with the "Yes" answer. Either report relevant details via a Customer Complaint/Arbitration/Civil Litigation DRP or, if there is no reportable customer dispute, change your response to question 7E to "No."
16365 - Registration Category 'Foreign Associate' cannot be selected if any of the Current Addresses is a US Address.
16376 - If the option for Fingerprint Exception is not selected, no exemption code selection is allowed.
16377 - This option cannot be selected for the filing firm.
16379 - You have requested an invalid regulator/registration category. Please select a valid registration category that is recognized by the regulator.
16380 - Option "Individual not subject to fingerprint requirement because filing firm fingerprint card applies" cannot be selected, since no RR registrations were requested.
16381 - Option "Individual not subject to fingerprint requirement because filing firm fingerprint card applies" can only be selected, if one of the following is selected for the filing firm: "Electronic Filing Representation", "Employed continuously with firm, not subject to new fingerprint requirement", "Fingerprints Processed through another SRO".
16382 - Fingerprint card barcode should only be provided if the first fingerprint option is selected.
16396 - The filing firm does not have an active registration.
16397 - If the option for IAR Only applicants is not selected, no suboption selection is allowed.
16402 - The barcode number provided is not valid due to duplicate entries.
16434 - The option selected in the "Regulatory Action initiated by" section must be the same as the type of the regulator filing this Regulatory Action DRP.
16435 - The question "Will applicant maintain registration with firm(s) under common ownership or control with the filing firm?" must be explicitly answered YES or NO.
16437 - A duplicate Firm CRD number exists among the entries in the AFFILIATED FIRMS section. Only one entry per firm is permitted per filing.
16438 - No firm having an active association with the subject of this filing may be entered as an affiliate.
16439 - At least one DRP must be included or updated as part of a U6 Filing.
16441 - If individual already has approved RR position(s) and is CE 2 - year termed, only RA position requests are allowed.
16443 - Questions 3A and 3B must be answered NO.
16444 - Current address is mandatory.
16450 - Affiliate firms may only use the filing firm's fingerprint card barcode if the final FBI status for that card is 30 days or less from the current system date. This fingerprint card has a final FBI status that is greater than 30 days from the current date.
16461 - If question 8 on a Regulatory Action DRP is answered "Pending", question 12B should not be answered.
16465 - If question 8 on a Civil Judicial DRP is answered "Pending", question 13 should not be answered.
16469 - Form U5 question 7F is answered "Yes," however a Termination DRP is not included as part of the filing. Either report relevant details via a Termination DRP or, if there is no reportable termination event, change your response to question 7F to "No."
16470 - If the Exceptions option is selected, one of the exemption codes is required.
16476 - If Monetary/Fine Amount is entered Monetary/Fine checkbox is required.
16477 - If the Monetary/Fine checkbox is selected, the Monetary/Fine Amount is required.
16479 - Designations may not be requested if no registration category is requested.
16480 - You have made an invalid Designation request -
16481 - Answers to Question 3 are mandatory.
16483 - The Firm does not have an active IA registration with the regulator you have requested.
16485 - The state does not register IAR representatives.
16486 - If the option for IAR Only applicants is selected, one of the suboptions is mandatory.
16487 - IAR fingerprint option is not allowed to be selected when RR registrations are requested.
16488 - RR fingerprint options are not allowed to be selected without requesting at least one RR registration.
16502 - The Employment date is mandatory.
16675 - The question, Do you have an independent contractor relationship with the above named firm? Must be explicitly answered Yes or No.
16676 - A gap of more than one day between Office of Employment Address with the same firm is not allowed.
16681 - If the "Will applicant maintain registration with firm(s) under common ownership or control with the filing firm?" question is answered Yes, then at least one firm must be listed in Section 6 Affiliated Firms.
16682 - If the "Will applicant maintain registration with firm(s) under common ownership or control with the filing firm?" question is answered No, then no firms can be listed in Section 6 Affiliated Firms.
167300 - You have made an invalid Exam request(s): {Display field name}.
16747 - "State" code provided is invalid.
16748 - "Country" code provided is invalid.
16750 - A response to Questions 13C(1), 13C(2), and 13C(3) is required when 13C is answered 'Yes.'
16754 - A response to Questions 12C(1), 12C(2), and 12C(3) is required when 12C is answered 'Yes.'
16759 - Individual's First, Middle and Last name cannot contain numeric characters.
16760 - You have requested a position with an SRO that is also recognized by FINRA. Please request the equivalent position with FINRA.
16762 - Prior exam information can be disclosed on an Initial U4 only.
16764 - Resolution Detail - Sanction detail is mandatory if Field 13A or 13B is completed.
16765 - If question 8 on a Regulatory Action DRP is answered "Pending", question 13B should not be answered.
16766 - You cannot request an AR and a non-AR position on the same filing. Please select the appropriate registration(s).
16775 - Since a type of bankruptcy is selected, the Bankruptcy radio button must be selected.
16780 - "State Court" is not a valid selection for Bankruptcy.
16787 - Select the exact or explanation radio buttons for the "Date Paid" field.
16788 - An explanation is required when the explanation radio button is selected for the "Date Paid" field.
16789 - Since Payout Explanation option is selected, provide the Payout "Date Paid".
16817 - Injunction Details Page - An explanation is required when the explanation radio button is selected for the "End Date" field.
16818 - Injunction Details Page - An explanation is required when the explanation radio button is selected for the "Start Date" field.
16819 - Injunction Details Page - An explanation is required when the explanation radio button is selected for the "Duration (length of time)" field.
16822 - Injunction Details Page - Select the exact or explanation radio buttons for the "End Date" field.
16823 - Injunction Details Page - Select the exact or explanation radio buttons for the "Start Date" field.
16824 - Injunction Details Page - Select the exact or explanation radio buttons for the "Duration (length of time)" field.
16838 - Monetary Related Sanction Details Page - If "Was any portion of penalty waived?" is ‘Yes’ then "If yes, amount" is required.
16839 - Injunction Details Page - "Start Date" cannot be later than "End Date."
16840 - Injunction Details Page - Please create a new Injunction item if 'Injunction' is selected as a response to question 12A.
16841 - If Current Status is On Appeal or Final, item 12 "Sanction Detail" – "Were any of the following Sanctions Ordered or Relief Granted?" is required if one of the following "Resolution Detail" options is selected: 'Consent', 'Judgment Rendered'.
16842 - If Current Status is On Appeal then "If on Appeal and any limitations or restrictions are currently in effect, provide details" is required.
16844 - "If on appeal - Date appeal filed" is required.
16845 - If Current Status is On Appeal then "If on appeal - Docket/Case#" is required.
16846 - If Current Status is On Appeal then "If on appeal - Court Location" is required.
16847 - If Current Status is On Appeal or Final then "If pending and any limitations or restrictions are currently in effect, provide details" should not be answered.
16848 - For Status Pending, "If pending and any limitations or restrictions are currently in effect, provide details." is required.
16850 - If question 8 on a Civil Judicial DRP is answered "Pending", questions 12A-12D should not be answered.
16851 - Monetary Related Sanction Details Page - "Monetary Related Sanction Type" is required.
16852 - Monetary Related Sanction Details Page - "Total Amount" is required.
16853 - Monetary Related Sanction Details Page - Select the exact or explanation radio buttons for the "Date paid" field.
16854 - Monetary Related Sanction Details Page - An explanation is required when the explanation radio button is selected for the "Date paid" field.
16866 - Monetary Related Sanction Details Page - Please create a new Monetary Related Sanction item if "Civil and Administrative Penalty(ies)/Fine(s)", "Disgorgement", "Monetary Penalty other than Fines", or "Restitution" is selected as a response to Question 12A.
16874 - "Resolution Detail - How was matter resolved" is required when the "Current Status" is 'On Appeal.'
16875 - "Resolution Detail - Resolution Date" is required when the "Current Status" is 'On Appeal.'
16876 - A response to Question 12 is required if the "Current Status" is 'On Appeal' or 'Final.'
16880 - Monetary Related Sanction Details Page - An explanation is required when "Other (requires explanation)" is selected from "Monetary Related Sanction Type."
168810 - If Current Status is Pending and a response to "How was matter resolved" is provided, the response must be "Other."
16886 - If Disposition Type is Payout, a response to "If disposition resulted in Payout, list Payout Amount and Date Paid" is required.
16887 - "To" date shall be less than or equal to the current date.
16888 - "Resolution Date" is required if status is not pending.
16889 - If "Current Status" is 'Pending' and a response to "How was matter resolved" is provided, the response must be 'Other.'
16891 - The response to all of the following questions: "Is this an oral complaint?", "Is this a written complaint?," and "Is this an arbitration/CFTC reparation or civil litigation?" cannot be answered Yes concurrently. Please review and update your response(s) to items 7A-7C.
16892 - One matter cannot be both an oral complaint and arbitration concurrently. Please review and update your response(s) to items 7A-7C.
16894 - One matter cannot be both an oral complaint and a written complaint concurrently. Please review and update your response(s) to items 7A-7C.
16895 - If you are submitting a Customer Complaint or Arbitration for an individual who is not named, you are required to provide a Yes response to either 7A or 7B.
16911 - If a State is provided, you must provide a Postal Code.
16912 - The Postal Code must be in one of the following formats: 99999-9999 or 99999, when a State is selected.
16958 - The Employment Year must not be prior or equal to the Year of Birth.
17000 - The fingerprint option selected is not valid because the Initial, Dual or Relicense filing was filed more than 30 days ago or the Filing and Affiliate firm Employment Start dates are not the same.
180007 - Responses to items 9 and 10 are required, if the status of the arbitration/CFTC reparation or civil litigation is not pending (Question 8).
180008 - Responses to 11A and 11B are required if "Settled" is selected.
180009 - A response to item 11A and 11B is required if "Arbitration Award/Monetary Judgment (for claimants/plaintiffs)" is selected in item 9.
180010 - A response to item 12 and 13 is required if "Evolved into Arbitration/CFTC reparation" is selected in item 9.
180012 - If the complaint/CFTC reparation or civil litigation status in item 9 is Closed/No Action, Withdrawn, or Denied, a response to 7D and 10 are required.
180013 - If Evolved into Civil litigation is selected in item 9, a response to items 17 – 19 is required.
180014 - If the civil litigation is not pending for question 19, please provide a response to 20 and 21.
180015 - Please provide a response to items 21, 22A, and 22B if Civil Litigation disposition is "Settled" in item 20.
180016 - Select only one status from field 9 if the complaint, arbitration/CFTC reparation or civil litigation is not pending (field 8).
180024 - If question 7C is answered "Yes", you are required to answer questions 7.C.i, 7.C.ii, and 7.C.iii.
180025 - Item 7D "Date received by/served on firm" is required if a response provided for questions 7A, 7B or 7C is "Yes".
180026 - If a response to item 12A or 12B is provided, responses to both items 12A and 12B are required.
180027 - Responses to items 14 and 15 are required, if the status of the arbitration/CFTC reparation is not pending (Question 13).
180028 - Responses to fields 17A, 17B, and 17C are required if any of those fields are completed.
180043 - Please provide a response to items 16A and 16B, if "Award to Customer" in item 14 is provided.
180044 - Please provide a response to items 16A and 16B, if "Settled" in item 14 is provided.
180047 - If a response is provided for item 9 then item 8 must be answered "No".
180048 - If a response is provided for item 13 then item 8 must be answered "No".
180049 - A response to item 8 is required if responses to item 7A and 7B are provided.
180050 - Responses to items 7A-D and 8 are required unless responses to the following applicable items are provided: items 12A-12C and item 13 or item 18 and item 19.
180051 - Select only one disposition from field 14.
180052 - Select only one disposition from field 20.
180053 - A response to item 13 is required when a response to item 12A or 12B is provided.
180054 - A response to item 19 is required when responses to item 17A, 17B, and 17C are provided.
180055 - If a response to items 14 or 15 is provided, the response to item 13 must be "No".
180056 - If a response to items 20 is provided, the response to item 19 must be "No".
200001 - {Date field} cannot be a future date.
34117 - "Charge Details Page - Please create a new Charge item".
34132 - "Charge Details Page - An explanation is required when "Other (requires explanation)" is selected from "Disposition of charge."
34133 - "Charge Details Page - An explanation is required when "Other (requires explanation)" is selected from "Disposition of amended or reduced charge."
5012 - Social security number already in use by another individual.
5041 - SSN cannot be deleted for an individual who previously had SSN on file.
25018 - Submitting firm has insufficient privileges to submit this filing.
16396 - The filing firm does not have an active registration.
25001 - Could not find the individual in CRD.
25002 - The requested form and filing type cannot be used for this individual.
25028 - Could not find the Org in CRD.
25040 - Individual CRD Number and SSN are both required for this filing.
25041 - The individual CRD Number and SSN combination provided does not match. Please provide the right combination.
16970 - Affiliate employment cannot be updated as Firm {Display field name 1} and filing firm are not affiliated on a prior U4 for individual {Display field name 2}.
16971 - Affiliate employment cannot be created as Firm {Display field name 1} and filing firm are already affiliated on a prior U4 for individual {Display field name 2}.
25045 - {Display field name} : When 'InttrTypeCd' provided is 'SEC', 'InttrTx' should not be provided.
25050 - {Display field name} : When 'InttrTypeCd' provided is other than 'SEC', 'InttrTx' must be provided.
9200 - Please remove any SSN values provided.
9201 - Docket/Case# contains SSN values. Please select the checkbox to indicate this field contains sensitive information or remove the SSN values provided.
Possible Error Codes and Messages for the Form U5 filing
200 - General System Error (Reference # : {0})
301 - Filing contains sections that are not applicable to this filing type.
100001 - {Display field name} is a required field.
100007 - {Display field name 1} is required when when {Display field name 2} is provided.
100008 - {Display field name 1} is required when {Display field name 2}.
100010 - {Date field} cannot be a future date.
100011 - At least one disclosure question should be selected.
100012 - Select the exact or explanation radio buttons for the {Display field name} field.
100013 - An explanation is required when the explanation radio button is selected for the {Display field name} field.
100014 - An explanation is required when {Display field name} is "Other".
100015 - Other must be selected since an explanation is provided in {Display field name}.
100016 - When 'No Product' is selected for "Product Type(s)", additional options cannot be selected and "Other" explanation cannot be provided.
16048 - There must be at least one firm in the affiliated firms section selected for full termination.
16049 - There must be no firms selected in the affiliated firms section for full termination.
16050 - Since the question 'Is this a multiple termination with one or more firms under common ownership or control with the firm named in item 3 above' in the Affiliated Firms screen is marked as Yes, there must be at least one modification to the SRO/Registration
16051 - Since the question 'Is this a multiple termination with one or more firms under common ownership or control with the firm named in item 3 above' is marked as No, there must be no modifications to the SRO/Registration category
16087 - The Data for the Individual in the CRD system database has been updated since the filing was created.
16089 - Date of termination is required.
16090 - Reason for termination is required.
16091 - During renewals, a firm can use a previous date, current date or post date, however, if using a post date it must be 12/31 of the current year.
16092 - An explanation must be provided when the reason for termination is Permitted to Resign, Discharged, or Other.
16093 - Person to contact is mandatory.
16094 - Telephone number of person to contact is mandatory.
16095 - Signature Name is mandatory.
16096 - Signature Date is mandatory.
16162 - Withdrawal from all qualifying FINRA registrations is not permitted when there is an existing Jurisdiction AG registration not flagged for termination.
16183 - At least one disclosure question should be selected.
1620001 - A response to Sanction(s) Sought is required if "Resolution Detail - How was matter resolved" is not Acceptance, Waiver and Consent (AWC) or Settled.
1620005 - If pending, are there any limitations or restrictions currently in effect? is required when the "Current Status" is 'Pending'.
1620006 - If the answer is 'yes', provide details is required when "If pending, are there any limitations or restrictions currently in effect?" is answered 'Yes.'
1620007 - If on appeal - Action appealed to is required when the "Current Status" is 'On Appeal.'
1620008 - If on appeal - Date appeal filed is required when the "Current Status" is 'On Appeal.'
1620009 - If the answer is 'yes', provide details is required when "Are there any limitations or restrictions currently in effect while on appeal?" is answered 'Yes.'
1620010 - Resolution Detail - How was matter resolved is required when the "Current Status" is 'Final.'
1620011 - A response to either Question 13A or 13B is required.
1620012 - A response to either Question 12A or 12B is required.
1620013 - A response to Question 13C is required.
1620014 - A response to Question 12C is required.
1620026 - Sanction Details Page - Please create a new Sanction item when "Sanction Detail" is 'Bar (Permanent),' 'Bar (Temporary/Time Limited),' or 'Suspension.'
1620029 - Sanction Details Page - Duration (length of time) is required when the "Sanction Type" is 'Bar (Temporary/Time Limited)' or 'Suspension.'
1620030 - Sanction Details Page - Select the exact or explanation radio buttons for the "Start Date" field.
1620031 - Sanction Details Page - Select the exact or explanation radio buttons for the "End Date" field.
1620032 - Sanction Details Page - Select the exact or explanation radio buttons for the "Duration (length of time)" field.
1620033 - Sanction Details Page - An explanation is required when the explanation radio button is selected for the "Start Date" field.
1620034 - Sanction Details Page - An explanation is required when the explanation radio button is selected for the "End Date" field.
1620035 - Sanction Details Page - An explanation is required when the explanation radio button is selected for the "Duration (length of time)" field.
1620036 - Sanction Details Page - The "Start Date" cannot be later than the "End Date."
1620037 - Requalification Details Page - Please create a new Requalification item when "Sanction Detail" is 'Requalification.'
1620041 - Requalification Details Page - The "Explanation" field is required when the "Requalification Type" is 'Other' or 'Re-Training'.
1620042 - Requalification Details Page - The "Type of Exam" field is required when the "Requalification Type" is 'Requalification by Exam'.
1620043 - Monetary Sanction Details Page - Please create a new Monetary Sanction item when Sanction Detail" is 'Civil and Administrative Penalty(ies)/Fine(s),' 'Disgorgement,' 'Monetary Penalty other than Fines,' or 'Restitution.'
1620049 - Monetary Sanction Details Page - "If 'yes', amount" is required when "Was any portion of penalty waived?" is answered 'Yes.'
1620050 - Monetary Sanction Details Page - An explanation is required when the explanation radio button is selected for the "Date Paid" field.
1620051 - Monetary Sanction Details Page - Select the exact or explanation radio buttons for the "Date Paid" field.
1620052 - Resolution Detail - Resolution Date is required when the "Current Status" is 'Final.'
1620054 - If on appeal - Are there any limitations or restrictions currently in effect while on appeal? is required when the "Current Status" is 'On Appeal.'
16228 - How was matter resolved is required when the "Current Status" is 'Final.'
16229 - Resolution Date is required when the "Current Status" is 'Final.'
16232 - Resolution Detail - Sanction detail is required if Field 12A or 12B is completed
16264 - At least one disclosure question should be selected.
16268 - Select the exact or explanation radio buttons for the "Termination Date" field.
16269 - An explanation is required when the explanation radio button is selected for the "Termination Date" field.
16275 - Select the exact or explanation radio buttons for the "Date internal review initiated" field.
16276 - An explanation is required when the explanation radio button is selected for the "Date internal review initiated" field.
16277 - Describe briefly the nature of the internal review is required.
16334 - Form U4 questions 14A and/or 14B are answered "yes," however a Criminal DRP is not included as part of the filing. Either report relevant details via a Criminal DRP or, if there is no reportable criminal event, change the response to questions 14A and/or 14B to "no."
16335 - Form U4 questions 14C, 14D, 14E, 14F and/or 14G(1) are answered "yes," however a Regulatory Action DRP is not included as part of the filing. Either report relevant details via a Regulatory Action DRP or, if there is no reportable regulatory event, change the response to the appropriate question(s) to "no."
16336 - Form U4 question 14H is answered "yes," however a Civil Judicial DRP is not included as part of the filing. Either report relevant details via a Civil Judicial DRP or, if there is no reportable civil judicial event, change the response to question 14H to "no."
16337 - Form U4 question 14I is answered "yes," however a Customer Complaint/Arbitration/Civil Litigation DRP is not included as part of the filing. Either report relevant details via a Customer Complaint/Arbitration/Civil Litigation DRP or, if there is no reportable customer dispute, change the response to question 14I to "no."
16338 - Form U4 question 14J is answered "yes," however a Termination DRP is not included as part of the filing. Either report relevant details via a Termination DRP or, if there is no reportable termination event, change the response to question 14J to "no."
16339 - Form U4 question 14G(2) is answered "yes," however an Investigation DRP is not included as part of the filing. Either report relevant details via an Investigation DRP or, if there is no reportable investigation, change the response to question 14G(2) to "no."
16340 - Form U4 question 14K is answered "yes," however a Bankruptcy/SIPC/Compromise with Creditors DRP is not included as part of the filing. Either report relevant details via a Bankruptcy/SIPC/Compromise with Creditors DRP or, if within the past 10 years there has not been a financial event reportable under 14K, change the response to question 14K to "no."
16341 - Form U4 question 14L is answered "yes," however a Bond DRP is not included as part of the filing. Either report relevant details via a Bond DRP or, if there is not reportable bond event, change the response to question 14L to "no."
16342 - Form U4 question 14M is answered "yes," however a Judgment/Lien DRP is not included as part of the filing. Either report relevant details via a Judgment/Lien DRP or, if there is no reportable judgment/lien event, change the response to question 14M to "no."
16343 - Form U5 question 7A is answered "Yes," however an Investigation DRP is not included as part of the filing and there is no U4 Investigation DRP in the individual's "Current" disclosure record to correspond with the "Yes" answer. Either report relevant details via an Investigation DRP or, if there is no reportable investigation, change your response to question 7A to "No."
16344 - Form U5 question 7B is answered "Yes," however an Internal Review DRP is not included as part of the filing. Either report relevant details via an Internal Review DRP or, if there is no reportable internal review event, change your response to question 7B to "No."
16345 - Form U5 question 7C is answered "Yes," however a Criminal DRP is not included as part of the filing and there is no U4 Criminal DRP in the individual's "Current" disclosure record to correspond with the "Yes" answer. Either report relevant details via a Criminal DRP or, if there is no reportable criminal event, change your response to question 7C "No."
16346 - Form U5 question 7D is answered "Yes," however a Regulatory Action DRP is not included as part of the filing and there is no U4 Regulatory Action DRP in the individual's "Current" disclosure record to correspond with the "Yes" answer. Either report relevant details via a Regulatory Action DRP or, if there is no reportable regulatory event, change your response to question 7D to "No."
16347 - Form U5 question 7E is answered "Yes," however a Customer Complaint/Arbitration/Civil Litigation DRP is not included as pat of the filing and there is no U4 Customer Complaint/Arbitration/Civil Litigation DRP in the individual's "Current" disclosure record to correspond with the "Yes" answer. Either report relevant details via a Customer Complaint/Arbitration/Civil Litigation DRP or, if there is no reportable customer dispute, change your response to question 7E to "No."
163831 - For a partial U5 filing, if the individual maintains registration with {Display field name 1}, then the individual must maintain registration with category {Display field name 2}
16401 - Date of Termination cannot be a future date.
16405 - The Correction Reason is a required field.
16421 - There is a filing for the same organization that has been submitted but not yet processed.
16432 - All Registrations may not be terminated on a Partial U5 Filing
16434 - The option selected in the "Regulatory Action initiated by" section must be the same as the type of the regulator filing this Regulatory Action DRP.
16439 - At least one DRP must be included or updated as part of a U6 Filing.
16444 - Current address is mandatory
16454 - Date of Termination must be greater than or equal to the employment start date.
16461 - If question 8 on a Regulatory Action DRP is answered "Pending", question 12B should not be answered
16469 - Form U5 question 7F is answered "Yes," however a Termination DRP is not included as part of the filing. Either report relevant details via a Termination DRP or, if there is no reportable termination event, change your response to question 7F to "No."
16484 - At least one registration must be selected for termination.
16499 - At least one RA position must be selected for termination.
16747 - State code provided is invalid
16748 - Country code provided is invalid.
16750 - A response to Questions 13C(1), 13C(2), and 13C(3) is required when 13C is answered 'Yes.'
16754 - A response to Questions 12C(1), 12C(2), and 12C(3) is required when 12C is answered 'Yes.'
16761 - You requested termination of a FINRA registration position, while maintaining an equivalent registration position with another SRO. You must either (1) maintain the relevant FINRA position or (2) terminate all equivalent SRO positions.
16764 - Resolution Detail - Sanction detail is mandatory if Field 13A or 13B is completed
16765 - If question 8 on a Regulatory Action DRP is answered "Pending", question 13B should not be answered
16783 - Select the exact or explanation radio buttons for the "Date internal review concluded" field.
16784 - An explanation is required when the explanation radio button is selected for the "Date internal review concluded" field.
16785 - A response to "Is internal review pending" is required.
16786 - How internal review concluded is required when "Date internal review concluded" is provided.
16799 - An explanation must be provided when the reason for termination or the termination explanation is amended.
16800 - An explanation must be provided when the date of termination is amended.
16806 - A response to either the disclosure certification checkbox or the disclosure questions is required. If you do not choose to certify, at least one disclosure question must be answered.
16808 - Date of Termination must be greater than or equal to the office of employment start date(s).
16871 - An explanation is required only when the reason for termination or the termination explanation is amended. Please remove the explanation or provide an amended reason for termination and/or termination explanation.
16872 - An explanation is required only when the date of termination is amended. Please remove the explanation or provide an amended date of termination.
16873 - A response to either the disclosure certification checkbox or the disclosure questions is required. If you do not choose to certify, all disclosure questions must be answered.
16874 - Resolution Detail - How was matter resolved is required when the "Current Status" is 'On Appeal.'
16875 - Resolution Detail - Resolution Date is required when the "Current Status" is 'On Appeal.'
16876 - A response to Question 12 is required if the "Current Status" is 'On Appeal' or 'Final.'
16889 - If "Current Status" is 'Pending' and a response to "How was matter resolved" is provided, the response must be 'Other.'
16890 - You have requested termination for an invalid regulator/registration category. Please select a valid registration category to be terminated.
16891 - The response to all of the following questions: "Is this an oral complaint?", "Is this a written complaint?," and "Is this an arbitration/CFTC reparation or civil litigation?" cannot be answered Yes concurrently. Please review and update your response(s) to items 7A-7C.
16892 - One matter cannot be both an oral complaint and arbitration concurrently. Please review and update your response(s) to items 7A-7C.
16894 - One matter cannot be both an oral complaint and a written complaint concurrently. Please review and update your response(s) to items 7A-7C.
16895 - If you are submitting a Customer Complaint or Arbitration for an individual who is not named, you are required to provide a Yes response to either 7A or 7B.
180007 - Responses to items 9 and 10 are required, if the status of the arbitration/CFTC reparation or civil litigation is not pending (Question 8).
180008 - Responses to 11A and 11B are required if "Settled" is selected.
180009 - A response to item 11A and 11B is required if "Arbitration Award/Monetary Judgment (for claimants/plaintiffs)" is selected in item 9.
180010 - A response to item 12 and 13 is required if "Evolved into Arbitration/CFTC reparation" is selected in item 9.
180012 - If the complaint/CFTC reparation or civil litigation status in item 9 is Closed/No Action, Withdrawn, or Denied, a response to 7D and 10 are required.
180013 - If Evolved into Civil litigation is selected in item 9, a response to items 17 – 19 is required.
180014 - If the civil litigation is not pending for question 19, please provide a response to 20 and 21.
180015 - Please provide a response to items 21, 22A, and 22B if Civil Litigation disposition is "Settled" in item 20.
180016 - Select only one status from field 9 if the complaint, arbitration/CFTC reparation or civil litigation is not pending (field 8).
180024 - If question 7C is answered "Yes", you are required to answer questions 7.C.i, 7.C.ii, and 7.C.iii.
180025 - Item 7D "Date received by/served on firm" is required if a response provided for questions 7A, 7B or 7C is "Yes".
180026 - If a response to item 12A or 12B is provided, responses to both items 12A and 12B are required.
180027 - Responses to items 14 and 15 are required, if the status of the arbitration/CFTC reparation is not pending (Question 13).
180028 - Responses to fields 17A, 17B, and 17C are required if any of those fields are completed.
180043 - Please provide a response to items 16A and 16B, if "Award to Customer" in item 14 is provided.
180044 - Please provide a response to items 16A and 16B, if "Settled" in item 14 is provided.
180047 - If a response is provided for item 9 then item 8 must be answered "No".
180048 - If a response is provided for item 13 then item 8 must be answered "No".
180049 - A response to item 8 is required if responses to item 7A and 7B are provided.
180050 - Responses to items 7A-D and 8 are required unless responses to the following applicable items are provided: items 12A-12C and item 13 or item 18 and item 19.
180051 - Select only one disposition from field 14.
180052 - Select only one disposition from field 20.
180053 - A response to item 13 is required when a response to item 12A or 12B is provided.
180054 - A response to item 19 is required when responses to item 17A, 17B, and 17C are provided.
180055 - If a response to items 14 or 15 is provided, the response to item 13 must be "No".
180056 - If a response to items 20 is provided, the response to item 19 must be "No".
200001 - {Date field} cannot be a future date.
34117 - Charge Details Page - Please create a new Charge item.
34132 - Charge Details Page - An explanation is required when Other (requires explanation)" is selected from "Disposition of charge."
34133 - Charge Details Page - An explanation is required when Other (requires explanation)" is selected from "Disposition of amended or reduced charge."
16970 - Affiliate employment cannot be updated as Firm {Display field name 1} and filing firm are not affiliated on a prior U4 for individual {Display field name 2}.
25001 - Could not find the individual in CRD.
25002 - The requested form and filing type cannot be used for this individual.
25028 - Could not find the Org in CRD.
25040 - Individual CRD Number and SSN are both required for this filing.
25041 - The individual CRD Number and SSN combination provided does not match. Please provide the right combination.
25045 - {Display field name} : When 'InttrTypeCd' provided is 'SEC', 'InttrTx' should not be provided.
25050 - {Display field name} : When 'InttrTypeCd' provided is other than 'SEC', 'InttrTx' must be provided.
25018 Submitting firm has insufficient privileges to submit this filing.
Possible Error Codes and Messages for the Form NRF filing
200 - General System Error (Reference # : {0})
301 - Filing contains sections that are not applicable to this filing type.
16087 - The Data for the Individual in the CRD system database has been updated since the filing was created.
16088 - There is a filing for the same individual that has been submitted but not yet processed.
16396 - The filing firm does not have an active registration.
16402 - The barcode number provided is not valid due to duplicate entries.
16759 - Individual's First, Middle and Last name cannot contain numeric characters.
16902 - The barcode provided cannot be re-associated because the fingerprint card associated with that barcode has an ineligible FP status. Please provide another barcode number (that is associated with a card that has a valid FP status).
16904 - The Employment Date field must match the 'Employment Start' date listed in General Information of the most recently filed Form U4 for this individual's last registration with this firm.
16905 - A Fingerprint cannot be re-associated on an NRF Amendment filing.
25048 - Fingerprint barcode is not allowed on NRF Amendment.
16396 - The filing firm does not have an active registration.
25001 - Could not find the individual in CRD.
25002 - The requested form and filing type cannot be used for this individual.
25028 - Could not find the Org in CRD.
25040 - Individual CRD Number and SSN are both required for this filing.
25041 - The individual CRD Number and SSN combination provided does not match. Please provide the right combination.
100001 - {Display field name} is a required field.
100008 - {Display field name 1} is required when {Display field name 2}.
100009 - {Display field name 1} must be less than or equal to {Display field name 2}.
100010 - {Date field} cannot be a future date.
Possible Error Codes and Messages for the Form BR filing
200 - General System Error (Reference # : {Reference No})
300 - Invalid XML content provided could not be processed.
301 - Filing contains sections that are not applicable to this filing type.
25028 - Could not find the Org in CRD.
25029 - Could not find the Branch in CRD.
25037 - {Sequence number} - You have provided a sequence number that is either incorrect or does not exist for this record.
25038 - {Sequence number} - Sequence number is not required for the CrudCode Type I.
25037 - {Sequence number} - Sequence number is required for the CrudCode Type {U or D}.
Filing contains sections that are not applicable to this filing type.
16704 - branch is the only registered Office of Employment Address provided for an individual(s) associated with this branch. All individuals must be associated to another branch office prior to submission of this filing.
100001 - {Display field name} is a required field.(Display fields could be : Address Street 1, Address City, Address Country, 1.H.Branch Telephone Number, 3.A.(1). Other Business Activity,
3.B.(1). Other Business Names, 3.B.(2). Other Business Names - Name, 3.C.(1). Other Websites, 3.C.(2). Other Websites - Website Address, 4.A. Name, 4.A. Affiliate, 4.A. Type of Entity, 4.B. Name, 4.B. Type of Person,
4.D.(a). Name, 4.D.(a). Type of Person, 4.E. First Name, 4.E. Last Name, 4.E. Daytime Telephone Number, 4.E. Email Address, 6.A. Date operations ceased or will cease at this branch office, 6.B. Email Address,
7.A. Date of Withdrawal, 7.B. Reason for Withdrawal, 7.C. First Name,
7.C. Last Name, 7.C. Daytime Telephone Number, 8. Signature of Appropriate Signatory, 8. Name, 8. Title, 8. Telephone Number, 8. Date)
100002 - Address - When the Country entered is the United States, a State must be provided.
100003 - Address - When a State is provided, the Country provided must be the United States. Edit the Country and/or State.
200012 - The address entered in Street 1 contains a Post Office Box. Your response to Street 1 must be a street address.
100004 - If you supplied a State, you must enter a Postal Code for Postal Code.
100005 - The Postal Code provided for Postal Code must be in one of the following formats; 99999-9999 or 99999.
1000051 - The Postal Code provided for 1.F. Branch Address is not valid for the state provided. Edit the State and/or Postal Code.
16680 - Broker-Dealer checkbox for 2.C. Type of Branch Office Registration/Notice Filing must be selected.
16701 - This firm does not hold an active BD registration. Broker-Dealer checkbox for the 2.C. Type of Branch Office Registration/Notice Filing may not be selected.
16638 - A firm may not open a branch office with FINRA when the firm does not have an active FINRA registration.
16688 - At least one branch office registration must be requested.
16639 - A firm may not open a branch office with NYSE when the firm does not have an active NYSE registration.
16710 - Either the Investment Adviser or Broker-Dealer for Type of Branch Office Registration/Notice Filing is mandatory.
16700 - This firm does not hold an active IA registration in the jurisdiction where the branch office is located. Investment Adviser checkbox for the Type of Branch Office Registration/Notice Filing may not be selected.
16559 - This firm holds an active registration with the NYSE. The NYSE checkbox is mandatory when the branch is not located in a state that has a broader branch definition.
16655 - This firm holds an active registration with FINRA. The FINRA checkbox is mandatory when the branch is not located in a state that has a broader branch definition.
16718 - A firm may not check the 2.A. Jurisdiction checkbox for a branch located in a jurisdiction that does not require branch office registration or notice filing.
16719 - A firm may not check the 2.A. Jurisdiction checkbox when the branch is located in a country other than the United States.
16722 - A firm may not check the Investment Adviser checkbox under Type of Branch Office Registration/Notice Filing for a branch located in a state that does not require IA branch registration or IA branch notice filing.
16723 - A firm may not check the Broker-Dealer checkbox under Type of Branch Office Registration/Notice Filing for a branch located in a state that does not require BD branch registration or BD branch notice filing.
16557 - A firm may not open a branch office in a jurisdiction where the firm does not have a BD or IA registration.
16724 - This firm holds an active registration with the jurisdiction where the branch is located. The 2.A. Jurisdiction checkbox is mandatory when the firm holds an active registration with the jurisdiction where the branch is located.
16577 - At least one Type of Financial Industry Activity is required.
16923 - Retail and/or Institutional have been selected under 2.D. Types of financial industry activities conducted by the applicant at this branch office; therefore it is required to select Sales.
16924 - Other has been selected 2.D. Types of financial industry activities conducted by the applicant at this branch office; therefore it is required to provide description against Other.
16560 - This firm holds an active registration with FINRA or NYSE. A response to the 2.E. Is this branch office an Office of Supervisory Jurisdiction (OSJ)? question is mandatory.
16933 - This firm does not hold an active registration with FINRA or NYSE. A response to the 2.E. Is this branch office an Office of Supervisory Jurisdiction (OSJ)? question is not required to be answered.
16934 - This firm does not hold an active registration with FINRA or NYSE. Therefore, Supervisor Detail or Supervisory OSJ Branch Detail or Person-In-Charge Detail should not be provided.
16563 - This branch office has been indicated as a non-OSJ branch. Therefore, please provide details of at least one Supervisory OSJ branch and corresponding OSJ supervisor in the Supervisory OSJ Branch Detail section.
16936 - This branch office has been indicated as a non-OSJ branch. Therefore, please provide at least one Person-In-Charge in Person-In-Charge Detail section.
16935 - This branch office has been indicated as a non-OSJ branch. Therefore, please do not provide details of Supervisor(s) physically located at this OSJ in the Supervisor Detail section.
16955 - This firm is an IA only firm. Therefore, 'Supervisor Detail' or 'Supervisory OSJ Branch Detail' should not be provided. Only 'Person-In-Charge Detail' is allowed.
16956 - This firm is an IA only firm. Therefore, response to the '2.E. Is this branch office an Office of Supervisory Jurisdiction (OSJ)?' question must be 'No'.
16957 - The Person-In-Charge {Supervisor CRD Number} listed does not hold an active RA registration with this firm. Every Person-In-Charge listed should hold at least one active RA registration with this firm.
16562 - OSJ Supervisor CRD number provided is invalid. The individual provided is not a supervisor of the OSJ branch.
16931 - The OSJ Supervisor {Supervisor CRD Number} listed does not hold an active IA or RR employment with this firm.
16564 - A valid Branch number is required for the Supervisory OSJ Branch CRD Number field. The Branch CRD number {Supervisor CRD Number} entered must have Active FINRA or NYSE notice filing status, be an OSJ Branch, and be associated with the filing firm.
16685 - The Supervisory OSJ Branch CRD Number cannot be the same as the Branch CRD Number of the filing branch.
16946 - The OSJ Supervisor {Supervisor CRD Number} listed does not hold the required FINRA registration with this firm. Every OSJ Supervisor should hold an approved-equivalent FINRA registration with a status other than CE Inactive, Inactive Prints, or Suspended OR a deficient FINRA registration with only a Pending Firm Approval deficiency with this firm.
16945 - The OSJ Supervisor {Supervisor CRD Number} listed does not hold the required NYSE registration with this firm. Every OSJ Supervisor should hold an approved-equivalent NYSE registration with a status other than CE Inactive, Inactive Prints, or Suspended OR a deficient NYSE registration with only a Pending Firm Approval deficiency with this firm.
16948 - 2.E.(2). OSJ Supervisor CRD Number {Supervisor CRD Number} and Branch CRD {OSJ Branch CRD Number} record does not exist for this Branch office. Therefore it cannot be updated or deleted.
16949 - 2.E.(2). OSJ Supervisor CRD Number {Supervisor CRD Number} and Branch CRD {OSJ Branch CRD Number} record cannot be listed more than once. Please include the OSJ supervisor only once with the listed OSJ supervising Branch.
16950 - 2.D. Types of financial industry activities conducted by the applicant at this branch office - Other description is not allowed when financial industry activity Other is not indicated as selected. Please remove Other description or select Other.
16951 - {Supervisor/Person-In-Charge CRD Number} is already listed as a Supervisor or a Person-In-Charge. To change the role type or activity description, please update the record.
16952 - {Supervisor/Person-In-Charge CRD Number} - You have provided a CRD number that is either incorrect or does not exist for this record.
16651 - This branch office has been indicated as an OSJ branch. Therefore, please provide details of at least one Supervisor that is physically located at this OSJ in the Supervisor Detail section.
16596 - This branch office has been indicated as an OSJ branch. Therefore, please do not provide details of Supervisory OSJ branches and corresponding OSJ supervisors in the Supervisory OSJ Branch Detail section.
16928 - This branch office has been indicated as an OSJ branch. Therefore, please do not provide any Person(s)-In-Charge in Person-In-Charge Detail section.
16575 - The Supervisor {Supervisor CRD Number} listed does not hold an active IA or RR employment with this firm.
16576 - The Person-In-Charge {Supervisor CRD Number} listed does not hold an active IA or RR employment with this firm.
16570 - The Person-In-Charge {Supervisor CRD Number} listed does not hold the required FINRA registration with this firm. Every Person-In-Charge should hold an approved-equivalent FINRA registration with a status other than CE Inactive, Inactive Prints, Suspended OR a deficient FINRA registration with only a Pending Firm Approval deficiency with this firm.
16944 - The Supervisor {Supervisor CRD Number} listed does not hold the required FINRA registration with this firm. Every Supervisor should hold an approved-equivalent FINRA registration with a status other than CE Inactive, Inactive Prints, or Suspended OR a deficient FINRA registration with only a Pending Firm Approval deficiency with this firm.
16941 - The Person-In-Charge {Supervisor CRD Number} listed does not hold the required NYSE registration with this firm. Every Person-In-Charge should hold an approved-equivalent NYSE registration with a status other than CE Inactive, Inactive Prints, or Suspended OR a deficient NYSE registration with only a Pending Firm Approval deficiency with this firm.
16943 - The Supervisor {Supervisor CRD Number} listed does not hold the required NYSE registration with this firm. Every Supervisor should hold an approved-equivalent NYSE registration with a status other than CE Inactive, Inactive Prints, or Suspended OR a deficient NYSE registration with only a Pending Firm Approval deficiency with this firm.
16571 - A valid Supervisor is required. At least one of the Supervisor(s) listed should hold an active FINRA principal registration with a status other than CE Inactive, Inactive Prints or Suspended with this firm.
16573 - A valid Supervisor is required. At least one of the Supervisor(s) listed should hold an active principal registration with this firm with a status other than CE Inactive, Inactive Prints, or Suspended with this firm.
16929 - A valid OSJ Supervisor is required for every Supervisory OSJ branch included. At least one of the OSJ Supervisor(s) listed for Branch {Supervisor CRD Number} should hold an active FINRA principal registration with a status other than CE Inactive, Inactive Prints or Suspended with this firm.
16942 - A valid OSJ Supervisor is required for every Supervisory OSJ branch included. At least one of the OSJ Supervisor(s) listed for Branch {Supervisor CRD Number} should hold an active principal registration with a status other than CE Inactive, Inactive Prints, or Suspended with this firm.
16932 - An Individual {Individual CRD Number} may not be added to both the Associated Individual and Supervisor lists. Please remove the individual from the appropriate section.
16937 - An Individual {Individual CRD Number} may not be added to both the Associated Individual and Person-In-Charge lists. Please remove the individual from the appropriate section.
16938 - An Individual {Individual CRD Number} may not be added to both the Associated Individual and OSJ Supervisors lists. Please remove the individual from the appropriate section.
330000 - When Question 3.A.(1). Other Business Activity is answered No, then 3.A.(2). Other Business Activity details must not be provided.
330001 - When Question 3.A.(1). Other Business Activity is answered Yes, then at least one detail must be provided in question 3.A.(2). Other Business Activity.
330002 - When a response is provided for at least one of the 3.A.(2). Other Business Activity detail, then all details for that activity must be provided.
330003 - When Question 3.B.(1). Other Business Names is answered No, then 3.B.(2). Other Business Names detail must not be provided.
330004 - When Question 3.B.(1). Other Business Names is answered Yes, then at least one detail must be provided for 3.B.(2). Other Business Names.
330005 - When Question 3.C.(1). Other Websites is answered No, then 3.C.(2). Other Websites detail must not be provided.
330006 - When Question 3.C.(1). Other Websites is answered Yes, then at least one detail must be provided for 3.C.(2). Other Websites.
4000 - The question 4.A Does the branch office occupy or share space with or jointly market with any other investment-related entity? must be answered yes or no.
4001 - If the question 4.A Does the branch office occupy or share space with or jointly market with any other investment-related entity?: is answered yes, then at least one investment-related entity must be provided.
4003 - If the question 4.A Does the branch office occupy or share space with or jointly market with any other investment-related entity? is answered no, then an investment-related entity cannot be provided.
4002 - If the question 4.A Does the branch office occupy or share space with or jointly market with any other investment-related entity? is answered yes and the Type of Entity Other is selected, then Other description cannot be empty.
40021 - 4.A. Type of Entity - Other Description is not allowed when Type of Entity Other is not indicated as selected. Please remove Other description or select Other.
4005 - The question 4.B Is this branch office a business location that will operate pursuant to a written agreement or contract (other than an insurance agency agreement) with the main office? must be answered yes or no.
4006 - If the question 4.B Is this branch office a business location that will operate pursuant to a written agreement or contract (other than an insurance agency agreement) with the main office? is answered yes, then at least one Entity or Person is required.
4007 - If the question 4.B Is this branch office a business location that will operate pursuant to a written agreement or contract (other than an insurance agency agreement) with the main office? question is answered no, then an Entity or Person cannot be provided.
4008 - The question 4.C Does this branch office have primary responsibility for decisions relating to the employment and remuneration of its associated individuals at this location? must be answered yes or no.
4009 - The question 4.D Does any person other than the applicant have responsibility, directly or indirectly, for paying the expenses of this branch office or otherwise have a financial interest in this branch office or its activities? must be answered yes or no.
4010 - If the question 4.D Does any person other than the applicant have responsibility, directly or indirectly, for paying the expenses of this branch office or otherwise have a financial interest in this branch office or its activities? is answered yes, then at least one Entity/Individual is required.
4012 - If the question 4.D Does any person other than the applicant have responsibility, directly or indirectly, for paying the expenses of this branch office or otherwise have a financial interest in this branch office or its activities?: is answered yes, then an Explanation must be provided.
4011 - If the question 4.D Does any person other than the applicant have responsibility, directly or indirectly, for paying the expenses of this branch office or otherwise have a financial interest in this branch office or its activities? is answered no, then Entity/Individual cannot be provided.
4013 - If the question 4.D Does any person other than the applicant have responsibility, directly or indirectly, for paying the expenses of this branch office or otherwise have a financial interest in this branch office or its activities? is answered no, then a response to Explanation is not allowed.
4018 - If the question 4.D Registered is answered yes, then CRD# is required.
4024 - The question 4.D Registered must be answered yes or no.
4015 - The question 4.E Are any of the records pertaining to this branch office maintained at any other location, other than this office, the main office, or in the case of a non-OSJ, its supervisory OSJ? must be answered yes or no.
4016 - If the question 4.E Are any of the records pertaining to this branch office maintained at any other location, other than this office, the main office, or in the case of a non-OSJ, its supervisory OSJ? is answered yes, then at least one record-location/contact person is required.
4017 - If the question 4.E Are any of the records pertaining to this branch office maintained at any other location, other than this office, the main office, or in the case of a non-OSJ, its supervisory OSJ? is answered no, then record-location/contact person cannot be provided.
4020 - {CRD Number} - The CRD Number entered was not found.
4022 - {CRD Number} - There are Types of Persons listed with duplicate CRD Numbers.
4023 - {EIN Number} - There are Types of Persons listed with duplicate EIN Numbers.
16708 - An Individual may not be added to both the Associated Individual and Supervisor/Person-In-Charge lists.Please remove the individual from the appropriate field.
16595 - Individuals that do not have an active IA or RR firm association with the filing firm are not allowed to be added to the Associated Individuals list.The following Associated Individual {Individual CRD Number} does not hold an active firm association with this firm.
200001 - {Date field} cannot be a future date.
16621 - During renewals, a firm can use a previous date, current date or post date for the Date Operations Ceased, however, if using a post date it must be 12/31 of the current year.
6002 - 6.A. Date operations ceased or will cease at this branch office cannot be prior to the date the branch was opened.
6003 - At least one Location of Books and Records Address entry must be provided in question 6.B.
6004 - Please provide all details First Name, Last Name, Daytime Telephone, and Email Address for question 6.B Contact Person.
6005 - One or more location(s) of books and records have been provided in question 6.B. Contact Person details are required for at least one of those locations.
6006 - At least one associated individual at this branch office has a begin date of 6.A. Date operations ceased or will cease at this branch office cannot be prior to that date."
Filing Types for the Form BR filing
Allowed values (code-description) are:
INITIAL - Initial Filing
AMENDMENT - Amendment Filing
CLOSURE - Closure/ Withdrawal / Closure and Withdrawal Filing
Filing Types for the Form U4 filing
Allowed values (code-description) are:
INITIAL - Initial Filing
AMENDMENT - Amendment Filing
DUAL-Dual
P2BDAMEND-Page 2 BD Amendment
P2BDINITIAL-Page 2 BD Initial
RELICENSE-Relicense All
RELICENSEBD-Relicense CRD
RELICENSEIA-Relicense IA
Filing Types for the Form U5 filing
Allowed values (code-description) are:
INITIAL - Initial Filing
AMENDMENT - Amendment Filing
FULL-Full
PARTIAL-Partial
Filing Types for the NRF filing
Allowed values (code-description) are:
INITIAL - Initial Filing
AMENDMENT - Amendment Filing