©2020 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 2020.04 (last updated on 11/11/2015)
The Branch Information Report contains administrative and other details for the requesting firm's branches.
The Criteria describes the selection criteria used in processing this feed.
The Org node contains the organization's information.
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).
Indicates whether SSN format data (like EIN) would be included in the report.
The Address node contains common address information.
The Branch Offices node contains a collection of branch offices within the requesting firm that hold an active status with any regulator.
Form Version "04/2014" - Question 1.A. Applicant CRD Number.
Form Version "04/2014" - Question 1.A. Applicant Name.
The SEC Number of the applicant firm.
The FINRA District office to which the applicant firm is assigned.
The Branch Offices node contains a collection of branch offices within the requesting firm that hold an active status with any regulator.
The Branch Office node contains information on one of many branch offices within the requesting firm.
The Address node contains common address information.
Lists the deficiency of the branch
Lists the associated individuals of the branch established via Form BR Section 5 or on U4. It will not include Supervisor/PIC's.
The Registrations node contains branch registration status information.
The Type of Office node contains the branch office registration types.
The financial activity node contains a collection of financial activity types for the branch office.
The Supervisor/PICs node contains a collection of Supervisor/PICs for the branch.
The collection of Supervisor(s) associated with the OSJ branch(s) that is supervising this branch.
The Other Business node contains the Other Business Activities/Names/Websites of the branch.
The Arrangements node contains details of any branch office arrangements.
Form Version "04/2014" - Question 1.E. CRD Branch Number assigned by CRD system to identify the branch office.
Form Version "04/2014" - Question 1.D. Branch Code Number.
Note: This is mapped/renamed from the "NYSEBrnchCdNb" field in form version "10/2005".
Form Version "04/2014" - Question 1.C. Firm Billing Code:
Form Version "04/2014" - Question 1.H. Branch Telephone Number of this branch office.
Form Version "04/2014" - Question 1.I. Branch Facsimile Number of this branch office.
Form Version "04/2014" - Question 1.G. Private Residence Check Box.
The FINRA District Office to which the branch office is assigned.
Branch Operational Status.
The financial activity node contains a collection of financial activity types selected for the branch office.
This collection (allowed values - FinActvyCdType) replaces the separate flags represented earlier under OthrBusType.salesFl thru OthrBusType.undrwFl.
Form Version "04/2014" - Question 2.D. Check all applicable types of financial industry activities conducted by the applicant at this branch office:
Note: This type is new in Form Version "04/2014".
The financial activity node contains one of many financial activity types for the branch office.
"Investment Banking" and "Underwriting" flags in "10/2005" version has been merged to a single selection of "Investment Banking/Underwriting" in "04/2014 version.
Form Version "04/2014" - Question 2.D. The financial activity code.
Form Version "04/2014" - Question 2.D. The financial activity "Other" description.
List of deficiencies for the branch
The deficiency of the branch
The deficiency Status
The Branch deficiency details.
The deficiency Date
Lists the associated individuals of the branch established via Form BR Section 5 or on U4. It will not include Supervisor/PIC's.
Form Version "04/2014" - Question 5.
Associated individuals
Form Version "04/2014" - Question 5. Individual CRD Number
Form Version "04/2014" - Question 5. Individual's last name
Form Version "04/2014" - Question 5. Individual's first name
Form Version "04/2014" - Question 5. Individual's middle name
Form Version "04/2014" - Question 5. Individual's suffix name
Indicates if individual is an Independent Contractor as defined on Form U4
The Registration node contains branch registration status information.
Contains branch registration status information.
Form Version "04/2014" - Question 2.A. Register/Notice File Branch Office with SRO/Jurisdiction (regulator code)
The branch registration status code for a regulator.
The branch registration status date for a regulator.
The Type of Office node contains the branch office registration types.
Form Version "04/2014" - Question 2.C. Type of Office - Broker-dealer
Form Version "04/2014" - Question 2.C. Type of Office - Investment Advisor
Form Version "04/2014" - Question 2.E. Is this branch office an Office of Supervisory Jurisdiction (OSJ)?
Note: This attribute is mapped/renamed from "NASDOSJFl".
Form Version "04/2014" - Question 2.F. If the applicant is registered with the Municipal Securities Rulemaking Board (MSRB), is this branch office an Office of Municipal Supervisory Jurisdiction as defined under MSRB rules?
Note: This is a new field in Form Version "04/2014".
The Other Business node contains the type of financial industry activities conducted by the branch.
Form Version "04/2014" - Question 3. Other business activities/names/websites
Form Version "04/2014" - Question 3.A.(1) Does any associated individual conduct, at this branch office, investment-related activity in addition to the activities conducted by the applicant that are identified in Section 2 (Registration/Notice Filing/Type of Office/Activities)?
Note: This was mapped/renamed from "OthrBusType.othrNvsmtFl" in Form Version "10/2005".
Form Version "04/2014" - Question 3.B.(1) Does any associated individual conduct any investment-related activity of the applicant, at this branch office, under any ?doing business as? name other than those names disclosed on the applicant's Form BD or Form ADV?
Form Version "04/2014" - Question 3.C.(1) Does this branch office or any of its associated individuals maintain a website other than the primary website address maintained by the applicant?
The Other Business Names node contains a collection of names at the branch.
Form Version "04/2014" - Question 3.A.(2) If yes, provide all other business names used for any investment-related activity of the applicant by associated individuals at this branch office:
This was duplicated in node "OthrNms" and "OthrBusNm" in form version "10/2005". Removed "OthrNms".
The Other Business Activities node contains a collection of Other Business Activity at the branch.
Form Version "04/2014" - Question 3.A.(1) Does any associated individual conduct, at this branch office, investment-related activity in addition to the activities conducted by the applicant that are identified in Section 2 (Registration/Notice Filing/Type of Office/Activities)?
(2) If yes, provide the following information:
Note: This type is new in Form Version "04/2014".
The Other Webs node contains a collection of website addresses at the branch.
Form Version "04/2014" - Question 3.C.(1) Does this branch office or any of its associated individuals maintain a website other than the primary website address maintained by the applicant?
(2) If yes, provide the website address(es) maintained by this branch office or any of its associated individuals:
The Other business activity contains one of many Other business activities.
Sequence number to identify this record.
Form Version "04/2014" - Question 3.A.(2) Name under which other business activity is conducted.
Note: This was mapped/split from a single description field "OthrBusType.othrNvsmtDesc" in Form Version "10/2005".
Form Version "04/2014" - Question 3.A.(2) Description of Activity
Note: This is a new field in Form Version "04/2014".
Form Version "04/2014" - Question 3.A.(2) Is this activity conducted on behalf of a firm affiliated with the applicant? (Y/N)
Note: This is a new field in Form Version "04/2014".
The Other Business Name contains one of many Other Business Names.
Sequence number to identify this record.
Form Version "04/2014" - Question 3.B.(2) Other business names used.
The Other Web node contains one of many website addresses.
Sequence number to identify this record.
Form Version "04/2014" - Question 3.C.(2) The website address(es) maintained by this branch office or any of its associated individuals
The Arrangements node contains details of any branch office arrangements.
Form Version "04/2014" - Question "4.A. Does this branch office occupy or share space with or jointly market with any other investment-related entity?
Form Version "04/2014" - Question "4.B. Is this branch office a business location that operates pursuant to a written agreement or contract (other than an insurance agency agreement) with the main office?
Form Version "04/2014" - Question "4.C. Does this branch office have primary responsibility for decisions relating to the employment and remuneration of its associated individuals at this location? to "Will branch have primary responsibility for decisions relating to employment?" on form BR.
Form Version "04/2014" - Question "4.D. Does any person other than the applicant have responsibility, directly or indirectly, for paying the expenses of this branch office or otherwise have a financial interest in this branch office or its activities?
Note: This attribute is mapped/renamed from "assmLbltyXpnsFl" to "xpnsRspbyEnttyFl".
Form Version "04/2014" - Question "4.D.(b) Provide an explanation of the expense payment/financial interest arrangement
Note: This attribute is mapped/renamed from "rgmntEnttyDesc" to "xpnsEnttyDesc".
Form Version "04/2014" - Question "4.E Are any of the records pertaining to this branch office maintained at any other location, other than this office, the main office, or in the case of a non-OSJ, its supervisory OSJ?
Note: This is mapped/moved from "NYSEInfo.rcrdsLocFl" in Form Version "10/2005".
The branch office arrangements shared entities node contains a collection of shared entities (EnttyType) for the branch.
Form Version "04/2014" - Question 4.A. Does this branch office occupy or share space with or jointly market with any other investment-related entity?.
If yes, please enter the CRD number (if applicable), Name, and Type of each entity:
Note: This node is new in Form Version "04/2014".
The branch office arrangements shared entity node contains one of many branch office arrangements shared entities for the branch.
Note: This node is new in Form Version "04/2014".
Sequence number to identify this record.
Form Version "04/2014" - Question 4.A. CRD number of this arrangement shared entity record.
Note: This is a new field in Form Version "04/2014".
Form Version "04/2014" - Question 4.A. Name of this arrangement shared entity record.
Note: This was mapped/split from a single description field "RgmntsType.shrOfcNm" in Form Version "10/2005" to a record in "EnttyType.nm" in Form Version "04/2014".
Form Version "04/2014" - Question 4.A. Affiliation Type of this arrangement shared entity record.
Note: This is a new field in Form Version "04/2014".
Contains a collection of entity types that share space with the branch office
Note: This is a new type in Form Version "04/2014".
Contains one of many entity types that share space with the branch office
Note: This is a new type in Form Version "04/2014".
Form Version "04/2014" - Question 4.A. Type of Entity.
Note: This is a new field in Form Version "04/2014" represented as per allowed values defined in ShrdEnttyCdType.
Form Version "04/2014" - Question 4.A. Type of Entity - Other description
Note: This is a new field in Form Version "04/2014".
The branch office arrangements contract entities node contains a collection of contract entities (CntrcEnttyType) for the branch.
Form Version "04/2014" - Question 4.B. Is this branch office a business location that operates pursuant to a written agreement or contract (other than an insurance agency agreement) with the main office?
If yes, enter the CRD number (if applicable), Name, and Type of person(s) (Entity/Individual) with whom the agreement or contract was entered:"
Note: This type is new in Form Version "04/2014".
The branch office arrangements contract entities node contains one of many contract entities for the branch.
Note: This type is new in Form Version "04/2014"
Sequence number to identify this record.
Form Version "04/2014" - Question 4.B. CRD number (if applicable) of person(s) (Entity/Individual)
Note: This is a new field in Form Version "04/2014".
Form Version "04/2014" - Question 4.B. Name of person(s) (Entity/Individual)
Note: This was mapped/split from a single description field "RgmntsType.undrCntrcNm" in Form Version "10/2005" to a record in "CntrcEnttyType.nm" in Form Version "04/2014".
Form Version "04/2014" - Question 4.B. Type of person(s) (Entity/Individual)
Note: This is a new field in Form Version "04/2014".
The Arrangement expense responsibility entities node contains one of many expense responsibility entities (XpnsRspbyEnttyType) information.
Form Version "04/2014" - Question 4.D. Does any person other than the applicant have responsibility, directly or indirectly, for paying the expenses of this branch office or otherwise have a financial interest in this branch office or its activities?
If yes: (a) Provide the following information for each person (Entity/Individual) responsible for expenses or with a financial interest:"
Note: This type is just renamed from "RgmntEnttys" in Form Version "10/2005" to "XpnsRspbyEnttys" in Form Version "04/2014".
The Arrangement Entities node contains one of many arrangement information.
Note: This type is new in Form Version "04/2014".
Sequence number to identify this record.
Form Version "04/2014" - Question 4.D. Name of financial interest entity- firm or individual.
Form Version "04/2014" - Question 4.D. Type of financial interest entity- firm or individual.
Form Version "04/2014" - Question 4.D. Is the entity or individual registered?
Form Version "04/2014" - Question 4.D. CRD# of financial interest entity.
Form Version "04/2014" - Question 4.D. EIN of the financial interest entity.
EIN in SSN format will be included based on the "includeSSN" parameter selection for the firm's EFT feeds.
The Supervisor/PIC's node contains a collection of Supervisor/PIC's for the branch office.
Form Version "04/2014" - Question 2.E. Is this branch office an Office of Supervisory Jurisdiction (OSJ)?
If yes:
(1) Provide the following information for the Supervisor(s) physically located at this OSJ that is responsible for supervising this branch office.
Supervisor Detail:
(3) Provide the Person(s)-In-Charge physically located at this branch office:
Person-In-Charge Detail:
Form Version "04/2014" - Question 2.E. Contains information about one of many Supervisor/PIC's associated with the branch.
Form Version "04/2014" - Question 2.E. Name of the Supervisor/PIC.
Form Version "04/2014" - Question 2.E. The CRD# of the Supervisor/PIC associated with this branch.
Form Version "04/2014" - Question 2.E. The role of the associated individual with the branch office.
The effective date when the individual became a Supervisor/PIC at this branch as reported on the most recent filing. (YYYY-MM-DD)
Form Version "04/2014" - Question 2.E. The Type of Activity for Supervisor/PIC associated with this branch.
Note: This is a new field in Form Version "04/2014".
Indicates if individual is an Independent Contractor as defined on Form U4
The collection of Supervisor(s) associated with the OSJ branch(s) that is supervising this branch.
Form Version "04/2014" - Question 2.E. Is this branch office an Office of Supervisory Jurisdiction (OSJ)?
If yes:
(2) Provide the following information for the OSJ branch office(s) and OSJ Supervisor(s) that have supervisory responsibility for this branch office:
Supervisory OSJ Branch Detail:
The collection of Supervisor(s) associated with the OSJ branch(s) that is supervising this branch.
Form Version "04/2014" - Question 2.E.(2) One of many Supervisor(s) associated with the OSJ branch(s) that is supervising this branch.
Form Version "04/2014" - Question 2.E.(2) OSJ Supervisor Name.
Form Version "04/2014" - Question 2.E.(2) OSJ Branch CRD Number.
Form Version "04/2014" - Question 2.E.(2) OSJ Supervisor CRD Number.
Form Version "04/2014" - Question 2.E.(2) Firm Billing Code of the OSJ Supervisor.
Form Version "04/2014" - Question 2.E.(2) Type of Activity.
This type contains a collection of records locations (RcrdsLocType) pertaining to this office.
Form Version "04/2014" - Question 4.E. Are any of the records pertaining to this branch office maintained at any other location, other than this office, the main office, or in the case of a non-OSJ, its supervisory OSJ?
If yes, provide the address of the location(s) and the contact person?s name and telephone number:
Note: This type is mapped/moved from "NYSEInfo.RcrdsLocs" in Form Version "10/2005".
This type contains one of many records locations (RcrdsLocType) pertaining to this office.
Sequence number to identify this record.
Form Version "04/2014" - Question 4.E. Contact First Name for the Records Location.
Form Version "04/2014" - Question 4.E. Contact Last Name for the Records Location.
Form Version "04/2014" - Question 4.E. Contact Email Address for the Records Location.
Note: This is a new field in Form Version "04/2014".
Form Version "04/2014" - Question 4.E. The phone number for the Records Location.
The Country details.
The Country details.
The street address 1 for the address.
The street address 2 for the address.
The city for the address.
The state code for the address.
The postal code for the address.
The individual's last name.
The individual's first name.
The individual's middle name.
The individual's suffix.
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
The branch participating regulator codes.
Allowed values(code-description) are:
AK-Alaska
AL-Alabama
AR-Arkansas
CT-Connecticut
FINRA-FINRA
FL-Florida
HI-Hawaii
ID-Idaho
IL-Illinois
IN-Indiana
KS-Kansas
ME-Maine
MI-Michigan
NH-New Hampshire
NM-New Mexico
NV-Nevada
NYSE-New York Stock Exchange
OH-Ohio
RI-Rhode Island
SD-South Dakota
TN-Tennessee
TX-Texas
VI-Virgin Islands
VT-Vermont
WA-Washington
WI-Wisconsin
WV-West Virginia
The branch registration status codes.
Allowed values(code-description) are:
CLSD-Closed
CLSDMT-Closed - Mass Transfer
CLSDNOBR-Closed No Form BR Filed
OPEN-Open
ABANDONED-Abandoned
APRVD-Approved
APRVDRSTRD-Restricted Approval
CLSDTRMD-Closed/Termed
CLSDTRMDFTRNOREG-Closed/Termed - Failure to Renew - No Registration
CLSDTRMDMTNOREG-Closed/Termed - Mass Transfer - No Registration
CLSDTRMDNOBR-Closed/Termed - No Form BR
DFCNT-Deficient
DND-Denied
FAILDTORNW-Closed/Termed - Failure to Renew
PNDNG-Pending
RJCTD-Rejected
RVKD-Revoked
SPNDD-Suspended
TERMREQ-Term Requested
TERMREQ-NOREG-Term Requested - No Registration
TRMDMT-Closed/Termed - Mass Transfer
WTHDN-Withdrawn
WTHDNNOBR-Withdrawn - No Form BR Filed
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
Type of financial interest entity.
Allowed values(code-description) are:
FIRM-Firm Entity
INDVL-Individual Entity
Supervisor PIC Code.
Allowed values(code-description) are:
SPRV-Supervisor
PIC-Person-In-Charge
BCK_OFC-Back Office Operations
MM-Market Making/Trading
NVSMT_ADVSR-Investment Advisory Services
NVSMT_BANK_UNDRW-Investment Banking/Underwriting
PBLC_FNNC-Public Finance
RSRCH-Research
SALES-Sales
SALES_INSTL-Institutional
SALES_RTL-Retail
OTHER-Other
BANK-Bank
BD-Broker-Dealer
CMDTY-Commodities
CRDT-Credit Union
IA-Investment Adviser
INSRC-Insurance
OTHERFD-Other federally insured depository institution
RE-Real estate
SVNGSASCTN-Saving association
SVNGSBANK-Savings bank
OTHER-Other