©2021 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 2021.12 (last updated on 11/11/2015)
The POST BRANCH DEFICIENCIES data download provides a list of outstanding current deficiencies for branches at the requesting firm.
The Criteria describes the selection criteria used to in processing this feed.
The Branch Offices node contains a collection of Branch Office Status Changes within the requesting firm.
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).
The Branch Offices node contains a collection of Branch Office Status Changes within the requesting firm.
The Branch Office node contains one of many Branch Office Status Change within the requesting firm.
The Branch Office node contains one of many Branch Office Status Change within the requesting firm.
The Address node contains common address information.
The OtherNames node contains a collection of names that the branch is using.
The Deficiencies node contains branch deficiencies.
The branch number assigned by CRD system to identify the branch office
The branch code number of the branch office.
The firm billing code of this branch office.
The FINRA District to which the branch office is assigned.
The current branch operational status.
The OtherNames node contains a collection of names that the branch is using.
The Other Name node contains one of many other names.
The Deficiencies node contains branch deficiencies.
The Deficiency node contains branch deficiencies.
The Branch Deficiency code.
The Branch Deficiency Date (YYYY-MM-DD).
The Branch deficiency details.
The Address node contains common address information.
The street1 details.
The street2 details.
The city details.
The state details.
The country details.
The Postal Code details.
The current branch operational status type.
Allowed values(code-description) are:
ACTV-Active
NACTV-Inactive
The Branch Deficiency code.
Allowed values(code-description) are:
PNDNGFIRM-Pending Firm
OSJNOSPRVEMPLT-A listed OSJ Supervisor is no longer associated with that OSJ Branch
OSJNOSPRV-A listed OSJ Branch has no valid OSJ Supervisor
OSJNACTV-A listed OSJ Branch is inactive
NYSESPRVPICQUALS-A listed Supervisor or Person-in-Charge for NYSE Branch is no longer qualified
NYSEPRNCPLSPRVQUALS-NYSE Branch Supervisor(s) no longer holds principal position
NYSEPRNCPLOSJSPRVQL-NYSE OSJ Supervisor(s) no longer holds principal position
NYSEOSJSPRVQUALS-NYSE OSJ Supervisor is no longer qualified
NOSPRVPIC-The only listed Supervisor or Person-in-Charge is no longer with Branch
FUNDS-Funds
FINRASPRVPICQUALS-A listed Supervisor or Person-in-Charge for FINRA Branch is no longer qualified
FINRAPRNCPLSPRVQUALS-FINRA Branch Supervisor(s) no longer holds FINRA principal position
FINRAPRNCPLOSJSPRVQL-FINRA OSJ Supervisor(s) no longer holds FINRA principal position
FINRAOSJSPRVQUALS-FINRA OSJ Supervisor is no longer qualified
The following Branch Deficiency codes have been retired/renamed.
NYSERGLRSPRVQUALS-NYSE Regular Branch Supervisor no longer qualified
NYSERGLRNOSPRVEMPLT-NYSE Regular Branch Supervisor no longer employed by that Regular Branch's parent Firm
NYSERGLRNOSPRV-NYSE Regular Branch Supervisor no longer with that Regular Branch
NYSERGLRNACTV-NYSE Regular Branch is inactive
FINRAOSJNOSPRVEMPLT-FINRA OSJ Supervisor no longer employed by that OSJ Branch's Firm
FINRAOSJNOSPRV-FINRA OSJ Supervisor no longer with that OSJ Branch
FINRAOSJNACTV-FINRA OSJ is inactive
The branch deficiency details.
Allowed values(code-description) are:
PNDNGFIRM-The branch office request made on Form BR filing {1} on {2}, generated a PENDINGFIRM deficiency because the firm is not approved with {3}.
OSJNOSPRVEMPLT-Individual {4} listed as OSJ supervisor is no longer associated with the listed OSJ Branch {5} or firm. File a Form BR amendment to change the OSJ Supervisor or the OSJ Branch details.
OSJNOSPRV-The OSJ Supervisor(s) previously listed are no longer associated with the OSJ Branch {5}. File a Form BR amendment to change the OSJ Supervisor or the OSJ Branch details.
OSJNACTV-The listed OSJ Branch {5} is no longer valid. File a Form BR Amendment to change the OSJ Branch details.
NYSESPRVPICQUALS-Individual {4} listed as Supervisor/PIC no longer holds necessary NYSE registration needed to be qualified as a branch Supervisor/PIC. Either file a Form BR amendment to remove this individual from the Supervisor/PIC list or file a Form U4 to request a NYSE registration.
NYSEPRNCPLSPRVQUALS-None of the supervisors listed for this branch hold the necessary principal registration. Either file a Form BR amendment to change the supervisor details or file a Form U4 for one of the existing supervisors to request the necessary registrations.
NYSEPRNCPLOSJSPRVQL-None of the supervisors at the listed OSJ Branch {5} hold the necessary principal registration. File a Form BR amendment to change the OSJ Supervisor or OSJ branch details.
NYSEOSJSPRVQUALS-Individual {4} listed as OSJ Supervisor at OSJ branch {5} no longer holds necessary NYSE registration needed to be qualified as a OSJ Supervisor. File a Form BR amendment to change the OSJ Supervisor or OSJ Branch details.
NOSPRVPIC-There is no Supervisor/PIC listed for this branch. File a Form BR amendment to add at least one Supervisor/PIC
FUNDS-The branch office request made on Form BR filing {1} on {2}, with {3} generated a FUNDS deficiency because the firm has insufficient funds in their account to process the request.
FINRASPRVPICQUALS-Individual {4} listed as Supervisor/PIC no longer holds necessary FINRA registration needed to be qualified as a branch Supervisor/PIC. Either file a Form BR amendment to remove this individual from the Supervisor/PIC list or file a Form U4 to request a FINRA registration.
FINRAPRNCPLSPRVQUALS-None of the supervisors listed for this branch hold the necessary FINRA principal registration. Either file a Form BR amendment to change the supervisor details or file a Form U4 for one of the existing supervisors to request the necessary registrations.
FINRAPRNCPLOSJSPRVQL-None of the supervisors at the listed OSJ Branch {5} hold the necessary FINRA principal registration. File a Form BR amendment to change the OSJ Supervisor or the OSJ Branch details.
FINRAOSJSPRVQUALS-Individual {4} listed as OSJ Supervisor at OSJ branch {5} no longer holds necessary FINRA registration needed to be qualified as a OSJ Supervisor. File a Form BR amendment to change the OSJ Supervisor or OSJ Branch details.
The state code type
Elements of this type represent the allowed Current/Old valid Country Codes.
Allowed values (Country code-Country Name) are:
ABW - Aruba
AFG - Afghanistan
AFI - French Afars and Issas
AGO - Angola
AIA - Anguilla
ALA - Aland Islands
ALB - Albania
AND - Andorra
ANT - Netherlands Antilles
ARE - United Arab Emirates
ARG - Argentina
ARM - Armenia
ASM - American Samoa
ATA - Antarctica
ATB - British Antarctic Territory
ATF - French Southern Territories (The)
ATG - Antigua and Barbuda
ATN - Dronning Maud Land
AUS - Australia
AUT - Austria
AZE - Azerbaijan
BDI - Burundi
BEL - Belgium
BEN - Benin
BES - Bonaire, Sint Eustatius and Saba
BFA - Burkina Faso
BGD - Bangladesh
BGR - Bulgaria
BHR - Bahrain
BHS - Bahamas, The
BIH - Bosnia and Herzegovina
BLM - Saint Barthelemy
BLR - Belarus
BLZ - Belize
BMU - Bermuda
BOL - Bolivia
BRA - Brazil
BRB - Barbados
BRD - West Germany
BRN - Brunei
BTN - Bhutan
BUR - Burma
BVT - Bouvet Island
BWA - Botswana
BYS - Byelorussian SSR
CAF - Central African Republic
CAN - Canada
CCK - Cocos (Keeling) Islands
CHE - Switzerland
CHL - Chile
CHN - China
CIV - Cote de Ivoire (Ivory Coast)
CMR - Cameroon
COD - Congo (Democratic Republic or Zaire)
COG - Congo, Republic of
COK - Cook Islands
COL - Colombia
COM - Comoros
CPV - Cape Verde Islands
CRI - Costa Rica
CSK - Czechoslovakia
CTE - Canton and Enderbury Islands
CUB - Cuba
CUW - Curacao
CXR - Christmas Island
CYM - Cayman Islands
CYP - Cyprus
CZE - Czech Republic
DDR - German Democratic Republic (East Germany)
DEU - Germany
DHY - Dahomey
DJI - Djibouti
DMA - Dominica
DNK - Denmark
DOM - Dominican Republic
DZA - Algeria
ECU - Ecuador
EGY - Egypt (United Arab Republic)
ERI - Eritrea
ESH - Western Sahara
ESP - Spain
EST - Estonia
ETH - Ethiopia
FIN - Finland
FJI - Fiji Islands
FLK - Falkland Islands (Islas Malvinas)
FRA - France
FRO - Faroe Islands
FSM - Micronesia, Federated States of
GAB - Gabon
GBR - United Kingdom
GEL - Gilbert and Ellice Islands
GEO - Georgia/Gruzinskaya
GGY - Guernsey
GHA - Ghana
GIB - Gibraltar
GIN - Guinea
GLP - Guadeloupe
GMB - Gambia
GNB - Guinea Bissau
GNQ - Equatorical Guinea
GRC - Greece
GRD - Grenada
GRL - Greenland
GTM - Guatemala
GUF - French Guiana
GUM - Guam
GUY - Guyana
HKG - Hong kong
HMD - Heard Island and McDonald Islands
HND - Honduras
HRV - Croatia
HTI - Haiti
HUN - Hungary
HVO - Upper Volta
IDN - Indonesia
IMN - Isle of Man
IND - India
IOT - British Indian Ocean Territory (The)
IRL - Ireland
IRN - Iran
IRQ - Iraq
ISL - Iceland
ISR - Israel
ITA - Italy
JAM - Jamaica
JEY - Jersey
JOR - Jordan
JPN - Japan
JTN - Johnston Island
KAZ - Kazakhstan
KEN - Kenya
KGZ - Kyrgyzstan
KHM - Cambodia
KIR - Kiribati
KNA - Saint Kitts and Nevis
KOR - Korea, South
KWT - Kuwait
LAO - Laos
LBN - Lebanon
LBR - Liberia
LBY - Libya
LCA - Saint Lucia
LIE - Liechtenstein
LKA - Sri Lanka
LSO - Lesotho
LTU - Lithuania
LUX - Luxembourg
LVA - Latvia
MAC - Macau
MAF - Saint Martin (French part)
MAR - Morocco
MCO - Monaco
MDA - Moldova
MDG - Madagascar
MDV - Maldives
MEX - Mexico
MHL - Marshall Islands
MID - Midway Islands
MKD - Macedonia
MLI - Mali
MLT - Malta
MMR - Burma (Myanmar)
MNE - Montenegro
MNG - Mongolia
MNP - Northern Mariana Islands
MOZ - Mozambique
MRT - Mauritania
MSR - Monteserrat
MTQ - Martinique
MUS - Mauritius
MWI - Malawi
MYS - Malaysia
MYT - Mayotte
NAM - Namibia
NCL - New Caledonia
NER - Niger
NFK - Norfolk Island
NGA - Nigeria
NHB - New Hebrides
NIC - Nicaragua
NIU - Niue
NLD - Netherlands
NON - Other
NOR - Norway
NPL - Nepal
NRU - Nauru
NTZ - Neutral Zone
NZL - New Zealand
OMN - Oman
PAK - Pakistan
PAN - Panama
PCI - Pacific Islands (Trust Territory)
PCN - Pitcairn Islands (Ducie, Henderson, Oeno)
PCZ - Panama Canal Zone
PER - Peru
PHL - Philippines
PLW - Palau
PNG - Papua New Guinea
POL - Poland
PRK - Korea, North
PRT - Portugal
PRY - Paraguay
PSE - Palestine, State of
PUS - United States Miscellaneous Pacific Islands
PYF - French Polynesia
QAT - Qatar
REU - Reunion
ROU - Romania
RUS - Russia
RWA - Rwanda
SAU - Saudi Arabia
SCG - Serbia and Montenegro
SDN - Sudan
SEN - Senegal
SGP - Singapore
SGS - South Georgia/South Sandwich Islands
SHN - Saint Helena
SJM - Svalbard
SKM - Sikkim
SLB - Solomon Islands
SLE - Sierra Leone
SLV - El Salvador
SMR - San Marino
SOM - Somalia
SPM - Saint Pierre and Miquelon
SRB - Serbia
SSD - South Sudan
STP - Sao Tome and Principe
SUN - Soviet Union
SUR - Surinam
SVK - Slovakia
SVN - Slovenia
SWE - Sweden
SWZ - Swaziland
SXM - Sint Maarten (Dutch part)
SYC - Seychelles
SYR - Syria
TCA - Turks and Caicos Islands
TCD - Chad
TGO - Togo
THA - Thailand
TJK - Tajikistan
TKL - Tokelau
TKM - Turkmenistan
TLS - Timor-Leste
TMP - East Timor
TON - Tonga
TTO - Trinidad and Tobago
TUN - Tunisia
TUR - Turkey
TUV - Tuvalu
TWN - Taiwan, Republic of China
TZA - Tanzania
UGA - Uganda
UKR - Ukraine
UMI - United States Minor Outlying Islands (The)
URY - Uruguay
USA - United States
UZB - Uzbekistan
VAT - Holy See (The) [Vatican City State]
VCT - Saint Vincent and The Grenadines
VDR - Viet-Nam, Democratic Republic of
VEN - Venezuela
VGB - British Virgin Islands
VIR - US Virgin Islands
VNM - Vietnam
VUT - Vanuatu
WAK - Wake Island
WLF - Wallis and Futuna
WSM - Samoa
YEM - Yemen
YMD - Yemen, Democratic
YUG - Yugoslavia
ZAF - South Africa
ZAR - Zaire
ZMB - Zambia
ZWE - Zimbabwe
The FINRA District codes to which the branch office is assigned.
Allowed values(code-description) are:
10NY-10-New York
11BO-11-Boston
14UN-Unknown District
1SF-1-San Francisco
2LA-2-Los Angeles
3DE-3-Denver
3SE-3-Seattle
4KC-4-Kansas City
5NO-5-New Orleans
6DA-6-Dallas
7AT-7-Atlanta
8CH-8-Chicago
9PH-9-Philadelphia
9WB-9-Woodbridge
FLD-Florida
10LI-10-Long Island