@2014 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.
Provides the requested information of the individuals. A maximum of 100 individuals is allowed per instance.
Provides the requested pre-filing information of the individuals. A maximum of 100 individuals is allowed per instance.
Status code for this request. Allowed values (code-description) are:
PROCFAIL - Failed Processing
SUCCESS - Successfully Processed
SCHEMAVALFAIL - Failed Schema Validation
SCHEMAVALFAILAUTH - Failed Schema Validation due to Authentication
Collection of error messages (if any) for this request.
Describes the information pertaining to an individual.
Indicates whether the identifying information provided for the individual is valid.
Contains a collection individual residential addresses for the past five (5) years.
This section maps to FORM U4 Section 11. Residential History.
Contains a residential address. This information maps to FORM U4 Section 11 Residential History record.
The unique sequence number of the residential history record in FORM U4 Section 11 Residential History section.
From Date. This information maps to FORM U4 Section 11. Residential History - From date field of a residential history record.
To Date. This information maps to FORM U4 Section 11. Residential History - To date field of a residential history record.
This information maps to FORM U4 Section 11. Residential History - Address fields - Street1, Street2, City, State, Postal Code and Country fields of a record.
Contains a collection of employment history details for the individual.
This information maps to FORM U4 Section 12. Employment History section.
Contains one of many employment history details for the individual.
This information maps to a FORM U4 Section 12. Employment History record.
The unique sequence number of the Employment history record in FORM U4 Section 12. Employment History record.
The organization name. This information maps to Name of Firm or Company field of a FORM U4 Section 12. Employment History record.
From Date. This information maps to FORM U4 Section 12. Employment History - From date field of a Employment history record.
To Date. This information maps to FORM U4 Section 12. Employment History - To date field of a Employment history record.
This information maps to FORM U4 Section 12. Employment History - City, State, Country fields of a Employment History record.
Investment related business indicator. This information maps to Investment-Related Business? field of a FORM U4 Section 12. Employment History record.
Position Held. This information maps to Position Held field of a FORM U4 Section 12. Employment History record.
Contains Street1, Street2, City, State, Postal Code and Country fields and used in a address record.
Address - Street1. This information maps to Address Street1 field of a record.
Address - Street2. This information maps to Address Street2 field of a record.
Address - City. This information maps to Address City field of a record.
Address - State. This information maps to Address State field of a record.
Address - Country. This information maps to Address Country field of a record.
Address Postal Code. This information maps to Address Postal Code field of a record.
Contains City, State, Country fields and used in a address record.
Address - City. This information maps to Address City field of a record.
Address - State. This information maps to Address State field of a record.
Address - Country. This information maps to Address Country field of a record.
The state code
Error number.
Error Type Code. Allowed values (code-description) are:
SCHEMA - Schema Validation
SYSTEM - System Error
Detailed error description. Contact FINRA Gateway Call Center at (301) 869-6699 for General System Error.