©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 05/13/2015)
The POST APPROVALS report contains the requesting firm's individuals having approved-equivalent registration statuses for a specified date for all regulators.
The Criteria describes the selection criteria used to in processing this feed.
The Regulators node contains a collection of individuals having approved-equivalent registration statuses for any regulators who are employed by the requesting firm as of the report day.
The Criteria describes the selection criteria used in processing this feed.
Firm CRD # for processing this feed.
Reporting date for processing this feed (YYYY-MM-DD).
Indicates whether SSN would be included in the report.
The Regulators node contains a collection of individuals having approved-equivalent registration statuses for any regulators who are employed by the requesting firm as of the report day.
The Regulator node contains one of many individuals having approved-equivalent registration statuses for any regulators who are employed by the requesting firm as of the report day.
The Name node contains common name information.
Representative's Employment Billing Code.
Individual's CRD #.
Individual's Social Security #.
Individual's Registration Status with the Regulator.
Regulator Code.
Representative Registration Category/Position with the Regulator.
Status date of the registration.
The approval Date (YYYY-MM-DD).
Date and time the current registration status was updated.
The individual's last name.
The individual's first name.
The individual's middle name.
The individual's suffix.
Regulator Code.
Allowed values(Code-Description) are:
FINRA-FINRA
NYSE-MKT - NYSE MKT LLC
BX-NASDAQ OMX BX, Inc.
CBOE-Chicago Board Options Exchange
CHX-Chicago Stock Exchange
NSX-National Stock Exchange
NYSE-New York Stock Exchange
PHLX-NASDAQ OMX PHLX, Inc.
ARCA-NYSE Arca, Inc.
ISE-International Securities Exchange
NQX-NASDAQ Stock Market
BATS-ZX - BATS-ZX Exchange, Inc.
BATS-YX - BATS-YX Exchange, Inc.
BOX - Boston Options Exchange, LLC
EDGA-EDGA Exchange, Inc.
EDGX-EDGX Exchange, Inc.
MIAX-Miami International Stock Exchange (MIAX), LLC
C2-C2 Options Exchange, Incorporated
ISE GEMINI-ISE Gemini, LLC
ISE MERCURY-ISE Mercury, LLC
IEX-Investors' Exchange LLC
AL-Alabama
AK-Alaska
AZ-Arizona
AR-Arkansas
CA-California
CO-Colorado
CT-Connecticut
DE-Delaware
DC-District of Columbia
FL-Florida
GA-Georgia
HI-Hawaii
ID-Idaho
IL-Illinois
IN-Indiana
IA-Iowa
KS-Kansas
KY-Kentucky
LA-Louisiana
ME-Maine
MD-Maryland
MA-Massachusetts
MI-Michigan
MN-Minnesota
MS-Mississippi
MO-Missouri
MT-Montana
NE-Nebraska
NV-Nevada
NH-New Hampshire
NJ-New Jersey
NM-New Mexico
NY-New York
NC-North Carolina
ND-North Dakota
OH-Ohio
OK-Oklahoma
OR-Oregon
PA-Pennsylvania
PR-Puerto Rico
RI-Rhode Island
SC-South Carolina
SD-South Dakota
TN-Tennessee
TX-Texas
UT-Utah
VT-Vermont
VA-Virginia
WA-Washington
WV-West Virginia
WI-Wisconsin
WY-Wyoming
VI-Virgin Islands
Individual's Registration Status with the Regulator.
Allowed values(code-description) are:
APPRNT-Approved Pending Prints
APPROVED-APPROVED
APPROVED_RES-Restricted Approval
CE_INACTIVE-Inactive - Continuing Education
INACTIVE_PRINTS-Inactive - Prints
REQUAL-Requalification
SUSPENSION-Suspended
TEMPREG-Temporary Registration
APRSLTS-Approved Pending Results
Representative Registration Category/Position with the Regulator.
Allowed values(code-description) are:
AC-Floor Clerk - Options
AG-Agent
AF-Floor Broker - Options
AM-Allied Member
AO-Market Maker - Options
AP-Approved Person
AR-Assistant Representative/Order Processing
BM-Branch Office Manager
CD-Canada-Limited General Securities Registered Representative
CF-Compliance Official Specialist
CN-Canada-Limited General Securities Registered Representative
CO-Compliance Official
CS-Corporate Securities Representative
DP-Direct Participation Program Principal
DR-Direct Participation Program Representative
ET-Equity Trader
FA-Foreign Associate
FE-Floor Employee
FI-Introducing Broker-Dealer/Financial and Operations Principal
FN-Financial and Operations Principal
GP-General Securities Principal
GS-Full Registration/General Securities Representative
IE-United Kingdom - Limited General Securities Registered Representative
IP-Investment Company and Variable Contracts Products Principal
IR-Investment Company and Variable Contracts Products Rep.
LE-Securities Lending Representative
LS-Securities Lending Supervisor
ME-Member Exchange
MP-Municipal Securities Principal
MR-Municipal Securities Representative
OF-Officer
OP-Registered Options Principal
OR-Options Representative
PC-Floor Clerk Conducting Public Business
PG-Government Securities Principal
PM-Floor Member Conducting Public Business
RG-Government Securities Representative
SA-Supervisory Analyst
SM-Securities Manager
SU-General Securities Sales Supervisor
TR-Securities Trader
TS-Trading Supervisor
SF-Single Stock Futures
FP-Municipal Fund
IF-In-Firm Delivery Proctor
RS-Research Analyst
FB-Floor Broker
MB-Market Maker acting as Floor Broker
MM-Market Maker Authorized Trader-Options
RP-Research Principal
SC-Specialist Clerk
TA-Trading Assistant
PR-Limited Representative - Private Securities Offerings
RA-Investment Advisor Representative
MT-Market Maker Authorized Trader-Equities
OT-Authorized Trader
IB-Investment Banking Representative
OS-Operations Professional
PT-Proprietary Trader
TP-Proprietary Trader Principal
CT-Proprietary Trader Compliance Officer