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Version: Release 2016.12 (last updated on 12/09/2016)
Change History
12/09/2016 - Cleaned up TerminationeventType annotations.
The Post Termination Report file contains the requesting firm's postings of representative registration terminations for a specified date for any regulator (SRO or State).
The Criteria describes the selection criteria used to in processing this feed.
The TerminationTransactions contains a collection of TerminationTransaction nodes describing a registration termination.
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 TerminationTransactions contains a collection of TerminationTransaction nodes describing a registration termination.
The TerminationTransaction node contains a registration termination by the requesting firm.
The Name node contains common name information.
Representative's Employment Billing Code.
Individual's CRD #.
Individual's Social Security #.
Status date of the registration.
Type of termination event (U5 Filing or Non-Filing actions like NFI, MT, etc).
Non-filing event date or U5 filing date (YYYY-MM-DD).
U5 filing type.
Date and time the current registration status was terminated.
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 BX, Inc.
CBOE-Chicago Board Options Exchange
CHX-Chicago Stock Exchange
NSX-National Stock Exchange
NYSE-New York Stock Exchange
PHLX-Nasdaq PHLX LLC
ARCA-NYSE Arca, Inc.
ISE-International Securities Exchange
NQX-Nasdaq Stock Market
BATS-ZX-Bats BZX Exchange, Inc.
BATS-YX-Bats BYX Exchange, Inc.
BOX - Boston Options Exchange, LLC
EDGA-Bats EDGA Exchange, Inc.
EDGX-Bats EDGX Exchange, Inc.
MIAX OPTIONS-Miami International Securities Exchange, LLC
MIAX PEARL-MIAX PEARL, LLC
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:
ADMTERM-Administrative Termination
BAR-BAR
CE2_YEAR_TRMD-Termed CE Two Year Inactive
DENIED-Denied
FTR-Terminated Failure to Renew
MASS_TRNSF-Termed Mass Transfer
PURGED-Purged
REJECTED-Rejected
REQUEST_TERM-Termination Requested
REVOKED-Revoked
TERMED-Termed
T_NOREG-Termed Without Registration
T_NOREG_FTR-Terminated no registration Renewals
T_NOREG_MT-Terminated no registration Mass Transfer
T_NOU5-Terminated Without U5
ABANDONED-Abandoned
TEMP_WD-Temporary Withdrawal
T_NOMT-Termed-Did Not Mass Transfer
T_NOMTNOREG-Terminated no reg.-Did Not Mass Transfer
TRANS_TERM-Transition Terminated
TRANS_ERROR-Not Transitioned - Filed In Error
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 (Expired on 2016.09)
PR-Limited Representative - Private Securities Offerings
RA-Investment Advisor Representative
MT-Market Maker Authorized Trader-Equities
OT-Authorized Trader (Expired on 2016.09)
IB-Investment Banking Representative
OS-Operations Professional
CT-Securities Trader Compliance Officer (name effective 01/04/2016)
PT-Proprietary Trader
TP-Securities Trader Principal (name effective 01/04/2016)
TD-Securities Trader (effective 01/04/2016)
FL-Floor Clerk - Equities (new position effective 2016.09)
The type of event.
Allowed values(Code-Description) are:
FLNG - Filing
MT - Mass Transfer
ORGTERM - Organization Termination
U5CNVRN - U5 Conversion
NFITERMRGSTN - U5 ADMIN
NFIUPDTRGSTN - ADMIN
FTR - Failed to Renew
Type of U5 filed.
Allowed values(code-description) are:
FULL - Full
PARTIAL - Partial
AMENDMENT - Amendment
CONVERSION - Conversion