©2016 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 2016.05 (last updated on 5/10/2016)
Change History:
11/11/2015 - Corrected capitalization for two country names
11/13/2015 - Data length specifications of certain elements that were out of sync after release 2015.09 were updated to match form filing specifications.
11/17/2015
Effective January 4th 2016, the following changes to registration categories, exams and CE will take place:
- ET and PT positions are retired
- S55 and S56 exams are retired
- New Trader position TD (Securities Trader) is added
- New exam S57 is added
- CE session 501 is retired.
1/15/2016 - Changed the name for SRO MIAX
2/23/2016 -
- OT position is retired
2/23/2016 -
- TA position is retired
- S25 Exam is retired
- New position is added. FL-Floor Clerk - Equities (S19)
- New Exam S19 is added
2/29/2016 - NASDAQ - SRO Long Name changes
3/23/2016 - Update PHLX Long Name to Nasdaq PHLX LLC
5/10/2016 - BATS SROs - Long Name Changes
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