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Version: Release 2023.01 (last updated 01/27/2023)
Change History
12/30/2022 - Changed element type for "individualCRDNumber" to "xs:int".
12/30/2022 - Added minOccurs="0" maxOccurs="1" to applicable fields.
12/30/2022 - xs:sequence minOccurs="0" was added to the "PostAnnualContinuingEducationReportType" section.
01/27/2023 - Updated the default namespace for the XSD
Continuing education courses for broker dealers.
The date of this report was generated.
The CRD Number of an individual.
The last name of an individual.
The first name of an individual.
Flag to indicate whether the individual's CE requirement is deferred due to military service.
As of 01/01/2023 the possible values for "militaryDeferredFlag" are "YES" and "NO"
The date the individual’s military service began.
Indicates whether or not annual verification of military service was received.
As of 01/01/2023 the possible values for "militaryAnnualVerificationReceivedFlag" are "YES" and "NO"
Represents the CRD number of firm.
Individual’s billing code.
The date the individual’s employment with the firm began.
Flag to indicate if the individual is a new hire to the firm or not.
As of 01/01/2023 the possible values for "newHireFlag" are "YES" and "NO"
Year of Annual Continuing Education requirement for an individual.
The current Annual Continuing Education status code for an individual.
As of 01/01/2023 the possible values for "ceStatusCode" are "NOCESTATUS", "REQUIRED", "SATISFIED", "CEINACTIVE", "TWOYEARTERMED"
and "CE2YEARTERMED"
The current Annual Continuing Education status description for an individual.
As of 10/24/2022 the possible values for "ceStatusDesc" are "No CE Status", "Required", "Satisfied", "CE Inactive", "2 Year
Termed" and "CE 2 Year Termed"
The date that an individual's status was updated.
The date on which an individual's status CE Inactive switched to CE Inactive.
The date on which an individual is or will be CE 2-Year Termed.
The due date of a course to an individual for a year.
The assigned date of a course to an individual for a year.
The course id assigned to an individual for a year.
The name of the course assigned to an individual for a year.
The status code of a course assigned to an individual for a year.
As of 01/01/2023 the possible values for "courseStatusCode" are "ASSIGNED", "IN_PROGRESS", "COMPLETE", "NOT_REQUIRED" and
"FAILED_TO_COMPLETE"
The status description of a course assigned to an individual for a year.
As of 01/01/2023 the possible values for "courseStatusDesc" are "Assigned", "In Progress", "Complete", "No Longer Required" and
"No Longer Available"