Web EFT Schema Documentation and Schema Files
These documents provide a formatted version and explanatory text for firms to follow in building batch forms and retrieving reports. These documents are updated periodically to reflect any changes to the Web CRD form filing and Web EFTTM reports schemas.
Web EFT requires all data in XML format. Any form filings submitted via Web EFT must also comply with Web CRD's completeness checks and business rules.
U4/U5/NRF and BR Schema Files (.XSD format)
The form filing schema files may be downloaded to a user's computer and loaded locally into a user's XML editing software. This permits the user to validate files against the CRD Form Filing schema immediately, without the need to repeatedly upload batch form filings and wait for the results.
- Form Filing U4 (XSD)
- Form Filing U5 (XSD)
- Form Filing NRF (XSD)
- Form Filing DRP (XSD)
- Form Filing BR (XSD)
- Form Filing Common Types (XSD)
- Form Filing Results (XSD)
As a courtesy, generic sample form filings are provided below. Please note that these are not intended to serve as templates, but rather to provide a visual representation of what filings may look like in the updated format. Additionally, we have provided a link to the blank versions of the forms and the accompanying instructions for reference purposes.
- Sample U4 Upload with DRPs (TXT)
- Sample U5 Upload with DRPs (TXT)
- Sample NRF (TXT)
- Sample BR Upload (TXT)
- Blank Forms and Instructions
Reports Schema Files (.XSD format)
The following reports schema files provide the basic data elements to help users build their tables.
- Branch Information Report Schema
- Individual Information Report Schema
- Post Accounting Report Schema
- Post Annual Continuing Education Report Schema
- Post Appointments Report Schema
- Post Approvals Report Schema
- Post Branch Deficiencies Report Schema
- Post Branch Individual Report Schema
- Post Branch Status Report Schema
- Post Deficiencies Report Schema
- Post Enrollment Report Schema
- Post Exams Report Schema
- Post Fingerprint Report Schema
- Post Investment Adviser Continuing Education Report Schema
- Post Pending Report Schema
- Post Terminations Report Schema
For questions regarding Web EFT or to report issues, please contact the FINRA Support Center at (800) 321-6273 or by email.