Individual Registration Statuses
Status | Code for Status | Description |
---|---|---|
Abandoned | ABANDONED | A manually set status that indicates requested information has not been submitted to a regulator within a specified time period. The individual cannot conduct business. |
Administrative Termination | ADMTERM | A manually or systematically set status which has been set pursuant to a termination for administrative reasons. The individual cannot conduct business. |
Approved Pending IAR CE | APP_PEND_IARCE | A systematically set status that indicates an individual’s IAR CE requirement was not completed by the annual December deadline (for an IAR CE participating state/jurisdiction). The individual can conduct business. |
Approved Pending Prints | APPRNT | A systematically set, interim status, that indicates a fingerprint card is required for the individual. The status is set when:
The individual can conduct business. |
Approved | APPROVED | A manually or systematically set status indicating a registration is approved with no outstanding or conditional requirements. The individual can conduct business. |
Restricted Approval | APPROVED_RES | A manually set status that indicates that a registration is restricted in some manner to the kinds of business activities that can be transacted. The individual can conduct business with restriction(s) imposed by the regulator. |
Approved Pending Results | APRSLTS | A systematically set status that indicates a fingerprint card has been received and forwarded to the FBI for results. The individual can conduct business. |
Bar | BAR | A manually set status that indicates an individual has been prohibited from membership, participation in or association with a firm. The individual cannot conduct business. |
Inactive - Continuing Education | CE_INACTIVE | A systematically set status that indicates than an individual’s annual Regulatory Element CE requirement was not completed by the annual December deadline. The individual must cease acting in a registered capacity until Regulatory Element CE is completed and registration becomes APPROVED. The individual cannot conduct business. |
Termed CE Two Year Inactive | CE2_YEAR_TRMD | A systematically set status that indicates an individual failed to complete Regulatory Element CE for two consecutive years and was administratively terminated. The individual cannot conduct business. |
Deficient | DEFICIENT | A systematically set status that indicates an individual has yet to satisfy certain requirements as a condition of registration approval (e.g., funds, exams, disclosure, etc.). All deficiencies must be cleared before an approval is granted. The individual cannot conduct business. |
Denied | DENIED | A manually set status that indicates that a regulator has refused a request for registration by way of a formal action. This status is reflected for registrations that were previously PENDING or DEFICIENT. The individual cannot conduct business. |
Terminated Failure to Renew | FTR | A systematically set status that indicates an individual’s firm failed to remit payment by the annual December deadline. Failure to remit payment resulted in the administrative termination of registration. The individual cannot conduct business. |
IAR CE Failed to Renew | IAR_FTR | This status indicates the individual did not complete their annual IAR CE requirements for two consecutive years. Failure to complete required IAR CE resulted in the administrative termination of registration. To reactivate RA registration, the individual must make up the required CE, or requalify by examination, and file a Form U4 to reapply for registration by examination. |
Inactive - Prints | INACTIVE_PRINTS | A systematically set status that indicates a fingerprint card was not received within 30 days from the initial Form U4 filing submission date. The individual cannot conduct business. |
Termed Mass Transfer | MASS_TRNSF | A systematically set status that is set when a mass transfer occurred and an APPROVED registration was transferred to a successor firm. |
Pending | PENDING | A manually or systematically set status that indicates a registration requires manual review. The individual cannot conduct business. |
Purged | PURGED | A systematically set status that indicates a registration request exceeded the allowed deficiency period. To reactivate registration, the individual must file an amended Form U4 and reapply for registration. The individual cannot conduct business. |
Rejected | REJECTED | A manually set status that generally indicates a registration was not approved for technical reasons. The individual cannot conduct business. |
Requalification | REQUAL | A manually set status that indicates an individual must requalify for registration by examination. The individual cannot conduct business. |
Termination Requested | REQUEST_TERM | A systematically generated status that is set when a Form U5 is filed. This status indicates that the registration requires manual review by a regulator prior to being terminated. |
Revoked | REVOKED | A manually set status which reflects revocation of an individual's registration. The individual cannot conduct business. |
Suspended | SUSPENSION | A manually set status which indicates that an individual's registration has been suspended. The individual cannot conduct business. |
Termed-Did Not Mass Transfer | T_NOMT | A systematically generate status that is set when a mass transfer occurred, and an APPROVED registration was not transferred to a successor firm. The registration did not transfer because of a transfer block imposed by a regulator. The individual cannot conduct business. |
Terminated no reg.-Did Not Mass Transfer | T_NOMTNOREG | A systematically generated status that is set when a mass transfer occurred, and a non-APPROVED registration was not transferred to a successor firm. The registration did not transfer because of a transfer block imposed by a regulator. The individual cannot conduct business. |
Termed Without Registration | T_NOREG | A systematically generated status that indicates a non-APPROVED registration status off DEFIENCT, PENDING or PURGED was terminated. The individual cannot conduct business. |
Termed Without Registration during Renewals | T_NOREG_FTR | A systematically set status that indicates an individual’s firm failed to remit payment by the annual December deadline. Failure to remit payment resulted in the administrative termination of non-APPOVED registration. The individual cannot conduct business. |
Termed Without Registration during a Mass Transfer | T_NOREG_MT | This status is set when a mass transfer occurred and the registration status was DEFICIENT, PENDING or PURGED. The individual cannot conduct business. |
Terminated Without U5 | T_NOU5 | A manually set status that indicates an individual's registration was administratively terminated. The individual cannot conduct business. |
Temporary Withdrawal | TEMP_WD | A manually set status that indicates an individual's TEMPREG registration was withdrawn and set to PENDING. The original status line will indicate the approval period with a status of TEMP_WD indicating that the temporary registration was withdrawn, while the second status line will display the new PENDING status. If the PENDING status is subsequently terminated, the final status will be set to T_NOREG. The individual cannot conduct business. |
Temporary Registration | TEMPREG | A systematically set status that indicates since being approved with the regulator, an individual requested state registration, as part of Form U4 relicensing filing, that included new or updated disclosure. Jurisdictions have 30 days to withdraw the registration before a full approval is systematically issued. The individual can conduct business. |
Termed | TERMED | A systematically set status that indicates an individual’s firm filed a Form U5 and the registration is fully terminated. The individual cannot conduct business. |
Transition Filed In Error | TRANS_ERROR | A manually set status that indicates an individual, in error, attempted to transition RA registration onto the CRD system. This occurred as part of the investment adviser representative electronic filing transition to CRD. This status is no longer in use by state regulators. |
Transition Requested | TRANS_RQST | A systematically set status that indicates an individual requested to transition RA registration onto the CRD system, but no action was taken by the regulator. This occurred as part of the investment adviser representative electronic filing transition to CRD. This status is no longer in use by state regulators. |
Transition Terminated | TRANS_TERM | A systematically set status that indicates an individual’s RA transition registration was withdrawn through a Form U5 filing prior to a state reviewing transition request. This occurred as part of the investment adviser representative electronic filing transition to CRD. This status is no longer in use by state regulators. |