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: A Form U4 is filed for a representative and a fingerprint submission has not yet been received. The FBI disposition for the first and second fingerprint submission was classified as “ILEG” or “REJT” and new fingerprints are required. 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.