©2015 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 2015.09 (last updated on 07/22/2015)
Change History:
04/07/2015 - Individual Forms Changes:
In EmpLoc element, Renamed existing attribute seqNb to oldSeqNb (temporarily provided inorder to map old sequence number to the new sequence number). Please note that this field will not be available after this employment location is modified and this field will be retired eventually.
Added attribute seqNb (non-registered employments would have new ID values). This new ID should be used for new filings.
In IdentInfoType, added attributes birthStCd, birthPrvnc (split old field birthSt). Added birthCntryCd and renamed old birthCntry to birthCntryOld.
Added cntryCd and renamed old cntry to cntryOld in EmpHist node and in complexType AddrType (used in IAAffltn, EmpLoc and ResHist).
Updated country code list with more new countries supported in CRD system. The new country list affects entire CRD system wherever country dropdown is listed. There are some countries that are expired, but can be selected under personal info and other sections that are not current (used in IAAffltn, EmpLoc and ResHist)
Removed the null value default for following DRP fields
In CvlJud-102005 element, attributes: fine, revocDnl, dsgrgRest, cnsr, injnctn, bar, susp
In RegActn-102005 element, attributes: fnlOrd, fine, revocDnl, dsgrgRest, snctnDtlCnsrFl, injnctn, bar, snctnDtlSpnsnFl
In simpleType stateCodeType, the enumeration value="XX" (N/A) was added and it only applies to the CustComp DRP and Personal Information section.
Including fingerprint section for terminated individuals also based on includeFingerprintInformation criteria.
PROCTOR Appointment updates for Web Delivery (On-line CE).
In complexType ApptType, added attributes stDtl, lastAccsDt for Web Delivery.
In apptStCodeType, added In progress status for Web Delivery.
In VndrNm, added 'Web Delivery' to indicate that on-line CE session.
05/15/2015 - Individual Forms Changes:
In complexType FlngHists/FlngHist,
- renamed node name to EventFlngHists/EventFlngHist
- added new attributes - id, type
- renamed attribute flngDt to dt
- attribute flngType is made optional
The scope of data reported under Event/Filing History has expanded, to also include BR filings that affected individuals which were missing earlier. Ex: New registered office location added to individual's employment via BR Initial; or individual's role changed (from supervisor to PIC) via BR Amednment etc.
Consolidated and defined allowed values for the new simpleType 'eventType'. i.e., Filings, NFI actions, MT, Conversion etc.
Updated allowed values in simpleType formType used in complexType EventFlngHistType. Replaced frmType with formType in complexType DRPType.
In complexType CrntRgstnType,
- renamed attribute u4FlngDt to crtnDt, u5FlngDt to trmnnDt to account for non-filing events also.
05/19/2015 - Individual Forms Changes:
Updated allowed values in simpleTypes filingType, eventType.
07/22/2015 - Added allowed values for simpleType terminationEventType.
The full Individual Information Report contains Administrative and/or Disclosure data for individuals currently employed by the requesting firm. The Individual Information Report Delta contains Administrative and/or Disclosure data for individuals that had a change to their record since the last time this report was run.
The Criteria describes the selection criteria used to generate this report.
Indicates whether the report is for certain individuals or the complete list of individuals for the specified firm.
CRD Number of Requesting Firm
The date the file was created (YYYY-MM-DD)
Include whether or not to include registered individuals.
Indicates whether or not to include Back Office (NRF) employees.
Indicates whether or not to include Schedule A/B.
Indicates whether or not to include Terminated Individuals.
Indicates whether SSN would be included in the report.
Indicates whether or not to include other names in the report.
Indicates whether or not to include Identifying Information.
Indicates whether or not to include Fingerprint Statuses.
Indicates whether or not to include registrations by current employment.
Indicates whether or not to include Professional Designations.
Indicates whether or not to include Residential History.
Indicates whether or not to include Employment History.
Indicates whether or not to include Affiliated Firm Employment.
Indicates whether or not to include Office of Employment History.
Indicates whether or not to include Other Business.
Indicates whether or not to include Exams.
Indicates whether or not to include Exam Waivers.
Indicates whether or not to include CE Information.
Indicates whether or not to include Filing History.
Indicates whether or not to include reportable disclosure information.
Indicates whether or not to include non-reportable disclosure information (information in the regulator archive).
The Individuals node contains a collection of individuals for the firm.
The Individual node contains Administrative and/or Disclosure information for one of many individuals requested by this report.
If Include Terminated Individuals is selected, only three nodes: Composite, Office of Employement Histories, and Current Registrations
are included in this report. Also the Office of Employment Histories is limited to that firm's latest association.
The Composite node contains basic information describing the individual.
Individual Social Security #
Individual's CRD #
Identifies if individual has Reportable Disclosures.
Identifies if individual has Statutory Disqualifications.
Identifies if individual is registered with multiple firms.
Identifies if there is Material Difference In Disclosure.
Billing Code of the individual's employment.
Identifies if the Individual is on Active Military Duty.
The OtherNames node contains a collection of names that an individual has used or is using, or by which they are known or have been known, other their legal name, since the age of 18. This would include, for example, nicknames, aliases, and names used before or after marriage.
The OtherName node contains one of many other names if Other Names have been provided.
The sequence number of each name.
The IAAffltns node contains a collection of IA affiliations for an individual
The IAAffltn node contains one of many IA affiliated firms.
The firm's CRD number.
The firm's name.
The individual's IA affiliation category
The ResidentialHistories node contains a collection individual residential addresses for the past five (5) years.
The ResidentialHistory node contains one of many residential addresses.
The sequence number of each residential history.
This node describes a collection of designations information for the individual.
Specifies the designation(s) an individual currently maintains.
This node describes a one of many designations information for the individual.
The designation code.
Name of the designating authority.
Date of the first filing to include designation (YYYY-MM-DD)
This node describes a collection of continuing education information for the individual.
This node describes a single continuing education event for an individual.
CE Base date (YYYY-MM-DD)
Status of the current CE Event.
This node describes a single continuing education event for an individual.
This node contains a collection of appointments for this active continuing education event.
The enrollment ID for this session.
Type of CE session.
CE Session Requirement Status Type.
Status of CE session.
Date when individual sat for CE (YYYY-MM-DD).
Date when individual's CE information changed (YYYY-MM-DD).
Start date of the CE window date range (YYYY-MM-DD).
End date of the CE window date range (YYYY-MM-DD).
CE Result.
CE Foreign Deferred: Indicates whether CE session is foreign deferred
CE Military Deferred: Indicates whether CE session is military deferred
This node contains a collection of appointments for the exam.
This node contains information about the appointment for the exam.
This node contains information about the appointment for the exam.
Unique ID for the appointment in the CRD system.
Current status for this Appointment.
Current status detail for this exam or session. This field is only provided for Web Delivery.
Date the exam or session taken via Web Delivery was last accessed on. This field is only provided for Web Delivery.
Date the exam or session appointment has been scheduled (YYYY-MM-DD). This field is only provided for appointments scheduled at a test center (non-Web Delivery).
The vendor who scheduled the appointment.
Vendors: PEARSON VUE, PROMETRIC, Web Delivery
Vendor Number confirming the appointment.
Vendor Center ID.
Address of the center - City.
Address of the center - State.
Address of the center - Country.
Date and time the exam appointment was updated.
This node describes a collection of filing histories for the individual.
This node describes a single filing history event for an individual.
This node describes a single filing history event for an individual.
Unique ID for the Filing or non-filing event in the CRD system, most commonly known as 'Filing ID' for filings.
Type of Event (Filing or Non-Filing actions like NFI, MT, etc).
Event/Filing date (YYYY-MM-DD).
Type of form filed.
Type of filing.
Submitting Organization or Regulator Name
This node describes a collection of other businesses for the individual.
This node identifies if the individual is engaged in any other business, either as a proprietor, partner, officer, director, employee, trustee, agent, or otherwise.
Description for other business.
This node describes the identification information for an individual.
The individual's height in feet and inches
The individual's date of birth (YYYY-MM-DD).
The individual's state(code) of birth.
The individual's province Of birth. This was the old free form field birthSt renamed that will now capture the birth province. Any value that was not mapped to the new 'birthStCd' is retained in this field.
The individual's country(code) of birth.
The individual's country of birth. This was the old free form field birthCntry renamed. Any value that was not mapped to the new 'birthCntryCd' is retained in this field.
The individual's gender.
The individual's weight.
The individual's hair color.
The individual's eye color.
This node describes a collection of fingerprint information for the individual.
This node describes a single fingerprint information for an individual.
The name of the firm that submitted the fingerprint.
Bar code of the fingerprint card.
Date fingerprint card was received (YYYY-MM-DD).
Date the status was applied (YYYY-MM-DD).
Status of the fingerprint card.
Position in the Firm.
The Exams node contains a collection of exam nodes each describing details about an individuals exams.
The Exam node contains one of many exam details for the individual.
This node contains a collection of appointments for this scheduled exam.
The enrollment ID for this exam.
The Exam Code.
The current status of the exam.
The status date.(YYYY-MM-DD)
The date the exam was taken.(YYYY-MM-DD)
The grade of the exam / CE.
Allowed Values (Code-Description):
FAILED-Failed
LATE_CANCEL -Late Cancel
NO_SHOW -No Show
PASSED-Passed
CMPLT-Complete
INCMP-Incomplete
The score of the exam.
The Window Begin Date (YYYY-MM-DD).
The Window End Date (YYYY-MM-DD).
Date and time the exam was updated YYYY-MM-DDTHH:MM:SS.
The Exams node contains a collection of examwvr nodes each describing details about an individuals exam waivers.
The Exam Waiver node contains one exam waiver details for the individual.
The enrollment ID for this exam.
The Exam Code.
Regulator that waived the exam.
Waiver Reason Code.
Date exam was waived.(YYYY-MM-DD)
The EmploymentHistories node contains a collection of employment history details for the individual.
The EmploymentHistory node contains one of many employment history details for the individual.
Date range
The sequence number for each employment history.
The organization name
Investment related indicator.
City of Employment.
State of Employment.
Country(code) of Employment.
Country of Employment. This is renamed from old field "cntry".
Postal code of Employment.
Position Held.
The AffiliatedFirms node contains a collection of affiliated firms details for the individual.
The AffiliatedFirm node contains one of many affiliated firm details for the individual.
The firm's name.
The firm's CRD number.
The date of hire by the affiliated firm (YYYY-MM-DD).
Indication if the individual is an Independent Contractor
The OfficeOfEmploymentHistories node contains a collection of employment office history details for the individual.
The OfficeOfEmploymentHistory node contains one of many employment history details for the individual.
Date range
The Employment Locations node contains a collection of Employment Locations details for the individual.
The firm's name.
The firm's CRD number.
The individual's type of employment.
Allowed Values (Code-Description):
BACK OFFICE -Back office
BACK OFFICE/PAGE 2 -Back office/Page 2
IAR -Investment Adviser
IAR/RR -Investment Adviser /Registered Representative
RR -Registered Representative
PAGE 2-Page 2 for BD Schedule A/B
Note: empCntxt attribute will display only for the current active employment
Indication if the individual is an Independent Contractor
Indication of whether the firm association is active or inactive
Termination Date
Reason for Termination
Termination Explanation
Termination Amendment Explanation
Termination Date Amendment Explanation
The CurrentRegistrations node contains a collection of registration details for the individual.
The CurrentRegistration node contains one of many registration details for the individual.
The Deficiencys node contains one of many deficiencies for the individual registration.
The employment start date. (YYYY-MM-DD)
The regulatory Authority.
The Registration Category.
The date when this registration was created either from a filing (U4) or from a non-filing event (NFI/MT, etc). (YYYY-MM-DD)
The date when this registration was terminated either from a filing (U5) or from a non-filing event (NFI/MT, etc). (YYYY-MM-DD)
The date a status change was posted to the system. (YYYY-MM-DD)
The current registration status.
Flag indicating whether or not the registration is active.
The approval date (YYYY-MM-DD).
Date and time the registration status was updated YYYY-MM-DDTHH:MM:SS.
The Associated Individuals node contains a collection of Individuals deficiencies.
The Associated Individual node contains a collection of Individuals deficiencies.
Current Registration Deficiency.
The Exam code.
The date the deficiency was created.
The DRPs node contains a collection of reportable and disclosable DRPs for the individual.
The OccurrenceDisclosureInformation node contains other information associated with the DRP.
The DRPs node contains one of many reportable and disclosable DRPs for the individual.
The occurrence number.
The disclosureType.
The finraPublicDisclosable.
The reportable.
The form type.
The receivedDate (YYYY-MM-DD).
The source.
Allowed Values:
Organization CRD# Number
Regulator Name
The formVersion.
The disclosure questions.
The BankruptcySIPCDRP-102005 node contains one of many BankruptcySIPC DRP-102005 details for the individual.
The DRP Version.
Allowed Value:
10/2005
The event disclosure identifier.
Flag indicating that this DRP is an initial(N) or Amended(Y).
The action type.
The action date (YYYY-MM-DD).
Action Date Exact Flag. Flag indicating that date provided is Exact (Y) or Explanation (N)
The action date explanation.
The organization name over which you exercised control and position, title or relationship.
The organization investment - related.
The court detail text, e.g. the action brought in, name and location of court, docket/case number details
Currently pending indicator.
The disposition type.
The disposition date (YYYY-MM-DD).
Disposition Date Exact Flag. Flag indicating that date provided is Exact (Y) or Explanation (N)
The disposition Date explanation.
The summary of events.
The Trustee Payment.
The currently Open indicator.
The Direct Payment Initiated Date (YYYY-MM-DD).
Direct Payment Date Exact Flag. Flag indicating that date provided is Exact (Y) or Explanation (N)
The Direct Payment Initiated Date explanation.
Comment.
The BankruptcySIPCDRP-052009 node contains one of many BankruptcySIPC DRP-052009 details for the individual.
The DRP Version.
Allowed Values:
05/2009
The event disclosure identifier.
Flag indicating that this DRP is an initial(N) or Amended(Y).
The action type.
Action Type Other Explanation.
The type of Bankruptcy.
The action date (YYYY-MM-DD).
Action Date Exact Flag. Flag indicating that date provided is Exact (Y) or Explanation (N)
The action date explanation.
The organization name over which you exercised control
The position, title, or relationship.
The organization investment - related.
The court action brought in.
Court Type Other Explanation.
Name of Court.
Location of Court.
Docket/Case#.
Check box to flag if Docket/Case# is a SSN, a Bank Card number, or a Personal Identification Number.
Allowed Values (Code-Description):
Y-Box checked
N-Box left blanked
Currently pending indicator.
The disposition type.
Disposition Other Explanation.
The disposition date (YYYY-MM-DD).
Disposition Date Exact Flag. Flag indicating that date provided is Exact (Y) or Explanation (N)
The disposition Date explanation.
Name of creditor.
Original amount owed.
Terms/compromise reached with creditor.
The amount paid or agreed to be paid.
The name of the trustee.
The currently Open indicator.
The Direct Payment Initiated Date (YYYY-MM-DD).
Direct Payment Date Exact Flag. Flag indicating that date provided is Exact (Y) or Explanation (N)
The Direct Payment Initiated Date explanation.
Comment.
The BondDRP-102005 node contains one of many Bond DRP-102005 details for the individual.
The DRP Version.
Allowed Value:
10/2005
The event disclosure identifier.
Flag indicating that this DRP is an initial(N) or Amended(Y).
The Firm Name (Policy Holder).
The Bonding Company Name.
The dispositionType.
The disposition Date (YYYY-MM-DD).
Disposition Date Exact Flag. Flag indicating that date provided is Exact (Y) or Explanation (N)
The disposition Date Explanation.
The payout Amount and Date Paid.
Comment.
The BondDRP-052009 node contains one of many Bond DRP-052009 details for the individual.
The DRP Version.
Allowed Value:
05/2009
The event disclosure identifier.
Flag indicating that this DRP is an initial(N) or Amended(Y).
The Firm Name (Policy Holder).
The Bonding Company Name.
The dispositionType.
The disposition Date (YYYY-MM-DD).
Disposition Date Exact Flag. Flag indicating that date provided is Exact (Y) or Explanation (N)
The disposition Date Explanation.
Disposition Payout Amount.
Disposition Date Paid (YYYY-MM-DD).
Disposition Date Paid Exact Flag. Flag indicating that date provided is Exact (Y) or Explanation (N)
The disposition Date Explanation.
Comment.
The CriminalDRPs-102005 node contains one of many Criminal-102005 details for the individual.
The DRP Version.
Allowed Value:
10/2005
The event disclosure identifier
Flag indicating that this DRP is an initial(N) or Amended(Y).
The organization.
The charges brought in.
The event disclosure detail.
The date First Charged (YYYY-MM-DD).
Date First Charged Exact Flag. Flag indicating that date provided is Exact (Y) or Explanation (N)
The date First Charged Explanation.
The involve a Felony.
Current Status.
The event Status Date (YYYY-MM-DD).
Event Status Date Exact Flag. Flag indicating that date provided is Exact (Y) or Explanation (N)
The event Status Date Explanation.
The disposition Disclosure Detail.
Comment.
The CriminalDRPs-052009 node contains one of many Criminal-052009 details for the individual.
This node describes a collection of Criminal Charges for an individual.
The DRP Version.
Allowed Value:
05/2009
The event disclosure identifier.
Flag indicating that this DRP is an initial(N) or Amended(Y).
The organization name.
Investment-related business.
Position, title, or relationship.
Formal action was brought in.
Court Type Other Explanation.
Name of Court.
Location of Court.
Docket Case#.
The current Status.
The event Status Date (YYYY-MM-DD).
Event Status Date Exact Flag. Flag indicating that date provided is Exact (Y) or Explanation (N)
The event Status Date Explanation.
The date First Charged (YYYY-MM-DD).
Date First Charged Exact Flag. Flag indicating that date provided is Exact (Y) or Explanation (N)
The date First Charged Explanation.
The disposition date (YYYY-MM-DD).
Disposition Date Exact Flag. Flag indicating that date provided is Exact (Y) or Explanation (N)
The disposition date explanation.
Sentence/penalty details.
Comment.
This node describes a collection of Criminal Charges for an individual.
This node describes a single Crminal Charge for an individual.
The sequence number for each criminal charge.
Formal charge/description.
No. of counts.
Felony or misdemeanor.
Plea for each charge.
Disposition of charge.
Disposition of charge Other Explanation.
Date of amended charge (YYYY-MM-DD).
Amended charges.
Amended no. of counts.
Amended felony or misdemeanor.
Amended felony type Other Explanation.
Amended plea.
Disposition of charge.
Disposition of amended or reduced charge Other Explanation.
The CustomerComplaintDRPs-102005 node contains one of many CustomerComplaint DRP-102005 details for the individual.
The DRP Version.
Allowed Value:
10/2005.
The event disclosure identifier.
Flag indicating that this DRP is an initial(N) or Amended(Y).
The customer Names.
The customer State of Residence.
The other States Of Residence Detail.
The employing Firm.
The date Complaint Received (YYYY-MM-DD).
The date Complaint Received Exact Flag. Flag indicating that date provided is Exact (Y) or Explanation (N)
The date Complaint Received Explanation.
The allegations.
The principal Product Type.
The other Product Types.
The alleged Compensatory Damages.
Currently Pending.
Arbitration/Reparation.
Closed No Action.
Denied.
Litigation.
Settled.
Withdrawn.
The Status Date (YYYY-MM-DD).
Status Date Exact Flag. Flag indicating that date provided is Exact (Y) or Explanation (N)
The Status Date Explanation.
The Settlement Amount.
The Individual Contribution Amount.
The arbitration Reparation, claim filed with, docket/case number.
The date Notice Served (YYYY-MM-DD).
The date Notice Served Exact Flag. Flag indicating that date provided is Exact (Y) or Explanation (N)
The date Notice Served Explanation.
The arbitration Reparation Pending.
The arbitration Disposition.
The arbitration Disposition Date (YYYY-MM-DD).
Arbitration Disposition Date Exact Flag. Flag indicating that date provided is Exact (Y) or Explanation (N)
The arbitration Disposition Date Explanation.
The compensation Amount.
The individual Contribution Amount.
The court that the case was filed in and court Docket Case Number.
The date notice/process was served (YYYY-MM-DD).
Court Date Exact Flag. Flag indicating that date provided is Exact (Y) or Explanation (N)
Explanation if the date is not exact.
Is the Litigation Pending.
The litigation Disposition.
The litigation Disposition Date (YYYY-MM-DD).
Litigation Disposition Date Exact Flag. Flag indicating that date provided is Exact (Y) or Explanation (N)
The litigation Disposition Date Explanation.
The compensation Amount.
The individual Contribution Amount.
The appeal Date (YYYY-MM-DD).
Appeal Date Exact Flag. Flag indicating that date provided is Exact (Y) or Explanation (N)
The appealDate Explanation.
Comment
The CustomerComplaintDRPs-052009 node contains one of many CustomerComplaint DRP-052009 details for the individual.
The DRP Version.
Allowed Value:
05/2009
The event disclosure identifier.
Flag indicating that this DRP is an initial(N) or Amended(Y).
The customer Name.
The customer State of Residence.
The other States Of Residence Detail.
The employing Firm.
The allegations.
No Product.
Annuity - Charitable.
Annuity - Fixed.
Annuity - Variable.
Banking Product (other than CDs).
CD
Commodity Option.
Debt - Asset Backed.
Debt - Corporate.
Debt - Government
Debt - Municipal
Derivative
Direct Investment - DPP & LP Interests
Equipment Leasing
Equity Listed (Common & Preferred Stock)
Equity - OTC
Futures Commodity
Futures - Financial
Index Option
Insurance
Investment Contract
Money Market Fund
Mutual Fund
Oil & Gas
Options
Penny Stock
Prime Bank Instrument
Promissory Note
Real Estate Security
Security Futures
Unit Investment Trust
Viatical Statement
Other
Product Other Explanation
The alleged Compensatory Damages.
Alleged compensatory damage amount explanation.
Oral complaint
Written complaint
Arbitration/CFTC reparation or civil litigation
Arbitration/reparation forum or court name and location
Docket/Case#
Arbitration or civil litigation filing date
The date Complaint Received (YYYY-MM-DD)
The date Complaint Received Exact Flag. Flag indicating that date provided is Exact (Y) or Explanation (N)
The date Complaint Received Explanation
Currently Pending
Evolved into Arbitration/CFTC reparation
Closed No Action
Denied
Evolved into Civil litigation
Settled
Withdrawn
Arbitration Award/Monetary Judgment (for claimants/plaintiffs)
Arbitration Award/Monetary Judgment (for respondents/defendants)
The status Date (YYYY-MM-DD)
Status Date Exact Flag. Flag indicating that date provided is Exact (Y) or Explanation (N)
The status Date Explanation
The settlement Amount
The individual Contribution Amount
Arbitration/CFTC reparation claim filed with
Docket/Case#
The date Notice Served (YYYY-MM-DD)
The date Notice Served Exact Flag. Flag indicating that date provided is Exact (Y) or Explanation (N)
The date Notice Served Explanation
The arbitration Reparation Pending
Award to Applicant (Agent/Representative)
Award to Customer
Denied
Dismissed
Judgment
Closed/No Action
Settled
Withdrawn
Other
Arbitration Disposition Other Explanation
The arbitration Disposition Date (YYYY-MM-DD)
Arbitration Disposition Date Exact Flag. Flag indicating that date provided is Exact (Y) or Explanation (N)
The arbitration Disposition Date Explanation
The compensation Amount
The individual Contribution Amount
Court in which case was filed.
Court Other Explanation
Name of Court
Location of Court
Docket/Case#
The date notice/process was served (YYYY-MM-DD)
Court Date Exact Flag. Flag indicating that date provided is Exact (Y) or Explanation (N)
Explanation if the date notice/process was served is not exact
The litigation Pending
Denied
Dismissed
Judgment (other than monetary)
Monetary Judgment to Customer
Monetary Judgment to Applicant (Agent/Representative)
No Action
Settled
Withdrawn
Other
Litigation Disposition Other Explanation
The litigation Disposition Date (YYYY-MM-DD)
Litagation Disposition Date Exact Flag. Flag indicating that date provided is Exact (Y) or Explanation (N)
The litigation Disposition Date Explanation
The compensation Amount
The Individual Contribution Amount
The Appeal Date (YYYY-MM-DD)
Appeal Date Exact Flag. Flag indicating that date provided is Exact (Y) or Explanation (N)
Explanation - If Appeal Date is not Exact
Court appeal filed in.
Court appeal filed in Other Explanation.
Name of court
Location of court
Docket/Case#
Comment
The CivilJudicialDRP-102005 node contains one of many Civil Judicial DRP-102005 details for the individual.
The DRP Version.
The event disclosure identifier.
Flag indicating that this DRP is an initial(N) or Amended(Y).
The court Action initiated By.
The principal Relief Sought.
The other Relief Sought
The filing Date (YYYY-MM-DD).
Filing Date Exact Flag. Flag indicating that date provided is Exact (Y) or Explanation (N)
The filing Date explanation.
The principal Product Type.
The other Product Types.
The formal Action Brought In.
The employing Firm.
The allegations.
The current Status.
The court Date Appealed to.
The date Served (YYYY-MM-DD).
Date Served Exact Flag. Flag indicating that date provided is Exact (Y) or Explanation (N)
The date Served Explanation.
The resolution.
The resolution Date (YYYY-MM-DD).
Resolution Date Exact Flag. Flag indicating that date provided is Exact (Y) or Explanation (N)
The resolution Date explanation.
The monetary Fine.
The amount.
The revocation Expulsion.
The disgorgement Restitution
The censure
The cease and Desist Injunction
Bar
Suspension
The Other Sanctions Ordered
The Sanction Detail
Comment
The CivilJudicialDRP-052009 node contains one of many Civil Judicial DRP-052009 details for the individual.
This node describes a collection of Injunctions for an individual.
This node describes a collection of Monetary Sanctions for an individual.
The DRP Version
Allowed Value: 05/2009
The event disclosure identifier
Flag indicating that this DRP is an initial(N) or Amended(Y).
Court Action initiated by.
Name of party initiating the proceeding
Cease and Desist
Civil and Administrative Fines/Penalty(ies)
Disgorgement
Injunction
Monetary Penalty other than Fines
Restitution
Restraining Order
Other
Relief Sought Other Explanation
The filing Date (YYYY-MM-DD)
Filing Date Exact Flag. Flag indicating that date provided is Exact (Y) or Explanation (N)
The filing Date explanation
Date notice/process was served (YYYY-MM-DD)
Date Served Exact Flag. Flag indicating that date provided is Exact (Y) or Explanation (N)
The Date notice/process served explanation
No Product
Annuity - Charitable
Annuity - Fixed
Annuity - Variable
Banking Product (Other than CD)
CD
Commodity Option
Debt - Asset Backed
Debt - Corporate
Debt - Government
Debt - Municipal
Derivative
Direct Investment - DPP & LP Interest
Equipment Leasing
Equity Listed (Common & Preferred Stock)
Equity - OTC
Futures Commodity
Futures - Financial
Index Option
Insurance
Investment Contract
Money Market Fund
Mutual Fund
Oil & Gas
Options
Penny Stock
Prime Bank Instrument
Promissory Note
Real Estate Security
Security Futures
Unit Investment Trust
Viatical Statement
Other
Product Other Explanation
Formal Action was brought in.
Court Other Explanation
Name of Court
Location of Court
Docket/Case#
The employing Firm
The allegations
The current Status.
Limitations or restrictions while pending
Name of court appealed to
Court Location
Docket/Case#
Date appeal filed (YYYY-MM-DD)
Appeal Date Exact Flag. Flag indicating that date provided is Exact (Y) or Explanation (N)
The appeal Date Explanation
Appeal details
Limitations or restrictions while on appeal
The resolution.
Resolution Other Explanation
The resolution Date (YYYY-MM-DD)
Resolution Date Exact Flag. Flag indicating that date provided is Exact (Y) or Explanation (N)
The resolution Date explanation
Cease and Desist
Civil and Administrative Penalty(ies)/Fine(s)
Disgorgement
Monetary Penalty other than Fines
Restitution
Injunction
Other Sanctions Ordered
Comment
This node describes a collection of Injunctions for an individual.
This node describes a single Injunction for an individual.
The sequence number for each injunction
Registration capacities affected
Duration
Duration date exact flag. Flag indicating that date provided is Exact (Y) or Explanation (N)
Duration date explanation
Start Date (YYYY-MM-DD)
Start Date Exact Flag. Flag indicating that date provided is Exact (Y) or Explanation (N)
Start date explanation
End Date (YYYY-MM-DD)
End Date Exact Flag. Flag indicating that date provided is Exact (Y) or Explanation (N)
End date explanation
This node describes a collection of Monetary Sanctions for an individual.
This node describes a single Monetary Sanction for an individual.
The sequence number for each monetary sanction
Monetary Related Sanction Type.
Monetary Related Sanction Type Other Explanation
Total Amount
Portion levied against you
Date paid by you (YYYY-MM-DD)
Date paid by you Exact Flag. Flag indicating that date provided is Exact (Y) or Explanation (N)
Date paid by you explanation
Portion of penalty waived
Amount
The InternalReviewDRP-102005 node contains one of many Internal Review DRP-102005 details for the individual.
The DRP Version
Allowed Value: 10/2005
The event disclosure identifier
Flag indicating that this DRP is an initial(N) or Amended(Y).
The notice Received From
The initiated Date (YYYY-MM-DD)
Date initiated Exact Flag. Flag indicating that date provided is Exact (Y) or Explanation (N)
The initiated Date Explanation
The details
The concluded Date (YYYY-MM-DD)
Date concluded Exact Flag. Flag indicating that date provided is Exact (Y) or Explanation (N)
The concluded Date Explanation
The summary
The InternalReviewDRP-052009 node contains one of many Internal Review DRP-052009 details for the individual.
The DRP Version
Allowed Value: 05/2009
The event disclosure identifier
Flag indicating that this DRP is an initial(N) or Amended(Y).
The notice Received From
The initiated Date (YYYY-MM-DD)
Date initiated Exact Flag. Flag indicating that date provided is Exact (Y) or Explanation (N)
The initiated Date Explanation
The details
Internal review pending
The concluded Date
Date concluded Exact Flag. Flag indicating that date provided is Exact (Y) or Explanation (N)
The concluded Date Explanation
Internal review resolution
Comment
Part II summary
The InvestigationDRPs-102005 node contains one of many Investigation DRP-102005 details for the individual.
The DRP Version
Allowed Value: 10/2005
The event disclosure identifier
Flag indicating that this DRP is an initial(N) or Amended(Y).
The notice Received from
The notice Date (YYYY-MM-DD)
Notice Date Exact Flag. Flag indicating that date provided is Exact (Y) or Explanation (N)
The notice Date Explanation
The nature Of Investigation
The date Resolved (YYYY-MM-DD)
Date resolved Exact Flag. Flag indicating that date provided is Exact (Y) or Explanation (N)
The date Resolved Explanation
The InvestigationDRPs-052009 node contains one of many Investigation DRP-052009 details for the individual.
The DRP Version
Allowed Value: 05/2009
The event disclosure identifier
Flag indicating that this DRP is an initial(N) or Amended(Y).
The notice Received from.
Full name of regulator (other than SEC) that initiated the investigation
The notice Date (YYYY-MM-DD)
Notice Date Exact Flag. Flag indicating that date provided is Exact (Y) or Explanation (N)
The notice Date Explanation
The nature Of Investigation
Is investigation pending
The date Resolved (YYYY-MM-DD)
Date resolved Exact Flag. Flag indicating that date provided is Exact (Y) or Explanation (N)
The date Resolved Explanation
Investigation resolution.
Investigation resolution Other Explanation
Comment
The JudgmentLienDRP-102005 node contains one of many Judgment/Lien DRP-102005 details for the individual.
The DRP Version
Allowed Value: 10/2005
The event disclosure identifier
Flag indicating that this DRP is an initial(N) or Amended(Y).
The judgment Lien Amount
The judgment Lien Holder
The judgment Lien Type.
The date Filed (YYYY-MM-DD)
Date Filed Exact Flag. Flag indicating that date provided is Exact (Y) or Explanation (N)
The date Filed Explanation
The outstanding
The status Date (YYYY-MM-DD)
Status Date Exact Flag. Flag indicating that date provided is Exact (Y) or Explanation (N)
The status Date Explanation
How was matter resolved?.
The court Name Location/ CaseNumber
Comment
The JudgmentLienDRP-052009 node contains one of many Judgment/Lien DRP-052009 details for the individual.
The DRP Version
Allowed Value: 05/2009
The event disclosure identifier
Flag indicating that this DRP is an initial(N) or Amended(Y).
The judgment Lien Amount
The judgment Lien Holder
The judgment Lien Type
Allowed Values (Code-Description):
CIVIL-Civil
DEFAULT-Default
TAX -Tax
The date Filed with Court (YYYY-MM-DD)
Date Filed with Court Exact Flag. Flag indicating that date provided is Exact (Y) or Explanation (N)
The date Filed with Court Explanation
Date Individual learned of the Judgment/Lien (YYYY-MM-DD)
Date Individual learned of the Judgment/Lien Exact Flag. Flag indicating that date provided is Exact (Y) or Explanation (N)
Date Individual learned of the Judgment/Lien Explanation
Court action brought in.
The court action brought in other (provide other court type)
Name of Court
Location of Court
Case Number
Check box to flag if Docket/Case# is a SSN, a Bank Card number, or a Personal Identification Number
The outstanding
The status Date
Status Date Exact Flag. Flag indicating that date provided is Exact (Y) or Explanation (N)
The status Date Explanation
How was matter resolved?
Comment
The RegulatoryActionDRP-102005 node contains one of many Regulatory Action DRP-102005 details for the individual.
The DRP Version
Allowed Value: 10/2005
The event disclosure identifier
Flag indicating that this DRP is an initial(N) or Amended(Y).
The regulatory Action Initiated By.
Full name of regulator
The principal Sanction.
The other Sanctions
The date Initiated (YYYY-MM-DD)
The date Initiated Exact Flag. Flag indicating that date provided is Exact (Y) or Explanation (N)
The date Initiated Explanation
The docket Case Number
The employing Firm
The principal Product Type
The other Product Types
The allegations
The current Status
The appealed To
The resolution
The final order
The resolution Date
Resolution Date Exact Flag. Flag indicating that date provided is Exact (Y) or Explanation (N)
The resolution Date Explanation
The monetary Fine
The amount
The revocation Expulsion Denial
The disgorgement Restitution
The censure
The cease And Desist Injunction
The bar
The suspension
The other Sanctions Ordered
The sanction Detail
Comment
The RegulatoryActionDRP-052009 node contains one of many Regulatory Action DRP-052009 details for the individual.
This node describes a collection of Sanctions for an individual.
This node describes a collection of Regulatory Action Requalifications for an individual.
This node describes a collection of Regulatory Action Monetary Sanctions for an individual.
The DRP Version
Allowed Value: 05/2009
The event disclosure identifier
Flag indicating that this DRP is an initial(N) or Amended(Y).
The regulatory Action Initiated By.
Full name of regulator
Bar
Cease and Desist
Censure
Civil and Administrative Penalty(ies)/Fine(s)
Denial
Disgorgement
Expulsion
Monetary Penalty other than Fines
Prohibition
Reprimand
Requalification
Rescission
Restitution
Undertaking
Revocation
Suspension
Other
Sanction Sought Other Explanation
The date Initiated (YYYY-MM-DD)
The date Initiated Exact Flag. Flag indicating that date provided is Exact (Y) or Explanation (N)
The date Initiated Explanation
Docket/Case#
URL for Regulatory Action
The employing Firm
No Product
Annuity - Charitable
Annuity - Fixed
Annuity - Variable
Banking Product (other than CDs)
CD
Commodity Option
Debt - Asset Backed
Debt - Corporate
Debt - Government
Debt - Municipal
Derivative
Direct Investment - DPP & LP Interests
Equipment Leasing
Equity Listed (Common & Preferred Stock)
Equity - OTC
Futures Commodity
Futures - Financial
Index Option
Insurance
Investment Contract
Money Market Fund
Mutual Fund
Oil & Gas
Options
Penny Stock
Prime Bank Instrument
Promissory Note
Real Estate Security
Security Futures
Unit Investment Trust
Viatical Statement
Other
Other Product - Explanation
The allegations
The current Status.
Limitations or restrictions while pending
Limitations or restrictions while pending details
Appealed to.
Appealed Court Other Explanation
Date appeal filed (YYYY-MM-DD)
Appeal Date Exact Flag. Flag indicating that date provided is Exact (Y) or Explanation (N)
The appeal date explanation
Limitations or restrictions while on appeal
Limitations or restrictions while on appeal details
The resolution
Resolution Other Explanation
The resolution Date (YYYY-MM-DD)
Resolution Date Exact Flag. Flag indicating that date provided is Exact (Y) or Explanation (N)
The resolution Date Explanation
The final order
Bar (Permanent)
Bar (Temporary/Time Limited)
Cease and Desist
Censure
Civil and Administrative Penalty(ies)/Fine(s)
Denial
Disgorgement
Expulsion
Monetary Penalty other than Fines
Prohibition
Letter of Reprimand
Requalification
Rescission
Restitution
Revocation
Suspension
Undertaking
The other Sanctions Ordered
Indicates whether the action result in a finding of a willful violation or failure to supervise
Indicates whether individual willfully violated provision
Indicates whether individual willfully aided
Indicates whether individual failed to supervise
Comment
This node describes a collection of Regulatory Action Sanctions for an individual.
This node describes one of many Regulatory Action Sanctions for an individual.
The sequence number for each regulatory action sanction
The Regulatory Action Sanction Type
Registration Capacities Affected
Duration
Duration Date Exact Flag. Flag indicating that date provided is Exact (Y) or Explanation (N)
Duration, if not Exact - Explanation
Start Date
Start Date Exact Flag. Flag indicating that date provided is Exact (Y) or Explanation (N)
Start Date, if not Exact - Explanation
End Date
End Date Exact Flag. Flag indicating that date provided is Exact (Y) or Explanation (N)
End Date, if not Exact - Explanation
This node describes a collection of Regulatory Action Requalifications for an individual.
This node describes one of many Regulatory Action Requalifications for an individual.
The sequence number for each regulatory action requalification
Requalification type.
Length of time given to requalify/retrain
Type of exam required
Whether the condition was satisfied
Requalification explanation
This node describes a collection of Regulatory Action Monetary Sanctions for an individual.
This node describes a single Regulatory Action Monetary Sanction for an individual.
The sequence number for each regulatory action monetary sanction
Monetary related sanction type.
Total amount
Portion levied
Payment plan
Whether the payment plan is current
Date paid by individual (YYYY-MM-DD)
Date paid by individual Exact Flag. Flag indicating that date provided is Exact (Y) or Explanation (N)
Date paid explanation
Whether any portion of penalty was waived
Amount
The SROArbitrationReparationDRP-102005 node contains one of many SRO Arbitration/Reparation DRP-102005 details for the individual.
The DRP Version Allowed Value: 10/2005
The event disclosure identifier
Flag indicating that this DRP is an initial(N) or Amended(Y).
The case Name
The arbitration Reparation Filed With
The arbitration Reparation Filed With
The caseNumber
The employingFirm
The allegations
The principal Product Type
The other Product Types
The alleged compensatory Damages
The currently Pending Resolution
The resolution
The date Resolved (YYYY-MM-DD)
The disposition Details
The SROArbitrationReparationDRP-052009 node contains one of many SRO Arbitration/Reparation DRP-052009 details for the individual.
The DRP Version
Allowed Value: 05/2009
The event disclosure identifier
The case Name
Flag indicating that this DRP is an initial(N) or Amended(Y).
The arbitration Reparation Filed With
The date Case Initiated (YYYY-MM-DD)
The caseNumber
The employing Firm
The allegations
No Product
Annuity - Charitable
Annuity - Fixed
Annuity - Variable
Banking Product (other than CDs)
CD
Commodity Option
Debt - Asset Backed
Debt - Corporate
Debt - Government
Debt - Municipal
Derivative
Direct Investment - DPP & LP Interests
Equipment Leasing
Equity Listed (Common & Preferred Stock)
Equity - OTC
Futures Commodity
Futures - Financial
Index Option
Insurance
Investment Contract
Money Market Fund
Mutual Fund
Oil & Gas
Options
Penny Stock
Prime Bank Instrument
Promissory Note
Real Estate Security
Security Futures
Unit Investment Trust
Viatical Statement
Other
Other Product - Explanation
The alleged compensatory Damages
The currently Pending Resolution
The resolution
The date Resolved (YYYY-MM-DD)
The disposition Details
Comment
The TerminationDRPs-102005 node contains one of many SRO Termination DRP-102005 details for the individual.
The DRP Version
Allowed Value: 10/2005
The event disclosure identifier
Flag indicating that this DRP is an initial(N) or Amended(Y).
The firm
The type of termination.
The termination Date (YYYY-MM-DD)
Termination Date Exact Flag. Flag indicating that date provided is Exact (Y) or Explanation (N)
The termination Date Explanation
The allegations
The principal Product Type
The other Product Types
Comment
The TerminationDRPs-052009 node contains one of many SRO Termination DRP-052009 details for the individual.
The DRP Version
Allowed Value: 05/2009
The event disclosure identifier
Flag indicating that this DRP is an initial(N) or Amended(Y).
The firm
The type of termination.
The termination Date (YYYY-MM-DD)
Termination Date Exact Flag. Flag indicating that date provided is Exact (Y) or Explanation (N)
The termination Date Explanation
The allegations
No Product
Annuity - Charitable
Annuity - Fixed
Annuity - Variable
Banking Product (other than CDs)
CD
Commodity Option
Debt - Asset Backed
Debt - Corporate
Debt - Government
Debt - Municipal
Derivative
Direct Investment - DPP & LP Interests
Equipment Leasing
Equity Listed (Common & Preferred Stock)
Equity - OTC
Futures Commodity
Futures - Financial
Index Option
Insurance
Investment Contract
Money Market Fund
Mutual Fund
Oil & Gas
Options
Penny Stock
Prime Bank Instrument
Promissory Note
Real Estate Security
Security Futures
Unit Investment Trust
Viatical Statement
Other
Product Other Explanation
Comment
The Employment Location node contains a collection of Employment Location details for the individual.
The Employment Location node contains one of many Employment Location details for the individual.
The sequence number (unique ID) for each Employment Location record. This is the number that should be used on U4, U5 filings (starting Release 2015.3) while updating both registered and non-registered employment records.
This is the old sequence number that used to uniquely identify an Employment Location record. This is temporarily provided inorder to map old sequence number to the new sequence number. Please note that this will not be available after this employment location is modified and this field will be retired eventually.
The CRD Number of the branch office.
Branch Code Number of the branch office.
The firm billing code of the branch office.
Private Residence flag for the branch office.
Registered Location Flag
Main Office Flag
IA Main Office Flag
Located At Flag
Supervised Flag
From Date
To Date
From Date
To Date
Address - Street1
Address - Street2
City
State
Country(code).
Country(old free form text). This is renamed from old field "cntry". In residential and employment history, any country value that was not mapped to the new 'cntryCd' is retained in this field.
Postal Code
Last Name
First Name
Middle Name
Suffix
Height - Feet
Height - Inches
Allowed Values (Code-Description):
FULL-report includes complete list of individuals for the specified firm
DELTA-report includes certain list of individuals that had some change since the last run for the specified firm
The state code type.
The enumeration value="XX" (N/A) only applies to the CustComp DRP and Personal Information section, as these are the only two sections that allow N/A to be selected as a US State.
The individual's gender.
Allowed Values (Code-Description):
M-Male
F-Female
The designation code.
Allowed values(Code-Description) are:
CFP-Certified Financial Planner
ChFC-Chartered Financial Consultant
PFS-Personal Financial Specialist
CFA-Chartered Financial Analyst
CIC-Chartered Investment Counselor
Name of the designating authority.
Allowed Values:
Certified Financial Planner Board of Standards
The American College
American Institute of Certified Public Accountants
Investment Counsel Association of America
CFA Institute
The Status of the current CE Event.
Allowed values(Code-Description) are:
CE2YEARTERMED-CE 2 Year Termed
CEINACTIVE-CE Inactive
NOCESTATUS-No CE Status
REQUIRED-Required
SATISFIED-Satisfied
2YEARTERMED-2 Year Termed from Industry
Type of CE session.
Allowed values(Code-Description) are:
101-Registered Representative Session
106-Series 6 Investment Representative Session
201-Principal Session
501-Proprietary Trader Session
901-Operations Professional Regulatory Element Program
The CE Session Requirement Status Type.
Allowed values(Code-Description) are:
ACTIVE-Active
FUTURE-The next anniversary requirement for the individual
OBSOLETE_2YR_TERMED-OBSOLETE_2YR_TERMED
PREVIOUS-The individual's previous requirement
SUSPENDED-Suspended
The Status of CE session.
Allowed values(Code-Description) are:
CE2YEARTERMED-CE 2 Year Termed
CEINACTIVE-CE Inactive
GRADUATED-Graduated
NOCESTATUS-No CE Status
REQUIRED-Required
SATISFIED-Satisfied
2YEARTERMED-2 Year Termed from Industry
The CE Result.
Allowed values(Code-Description) are:
ADMIN_COMPLETE-Administrative Completion
CMPLT-Complete
FOREIGN_DEFERRAL - Foreign Deferral (Note: This is a only used in Previous CE Sessions. Current CE sessions use the frgnDfrdFl attribute)
MILITARY_DEFERRAL - Military Deferral (Note: This is a only used in Previous CE Sessions. Current CE sessions use the mltryDfrdFl attribute)
GRDTD-Graduated (Note: This is a legacy CRD status only used in old converted records)
INCMP-Incomplete
LCNS-Late, Cancel/NoShow
SPNDD - Suspended (Note: This applies only for historical records)
The type of event.
Allowed values(Code-Description) are:
FLNG - Filing
MT - Mass Transfer
ORGTERM - Organization Termination
INDVLBRNCHLNK - U4 Individual Branch Link
IARTRANSITION - U4 RA Transition
NRFTERMDTAMEND - NRF Term Date Amendment
WLFLREGACTNQSTNS - U4 Willful Questions Update
BRFLNG - BR Filling
RESADDRUPDT - Residential Address Update
U4CNVRN - U4 Conversion
U5CNVRN - U5 Conversion
U6CNVRN - U6 Conversion
BDCNVRN - BD Conversion
NFIADDRGSTN - NFI Registration Addition
NFITERMRGSTN - NFI Registration Termination
NFITERMNRF - NFI NRF Termination
NFIUPDTBRNCH - NFI Branch Update
NFIUPDTRGSTN - NFI Registration Update
NFIOFCEMPUPDT - NFI Office of Employment Update
FTR - Failed to Renew
The type of form filed.
Allowed values(Code-Description) are:
NRF-Nonregistered fingerprint Form NRF
U4-Individual Form U4
U5-Individual Form U5
U6-Individual Form U6
BR-Form BR
The IA Affiliation category.
Allowed values(Code-Description) are:
Control Person
Indirect Owner
Direct Owner
DRP Advisory Affiliate
The type of filing.
Allowed values(Code-Description) are:
AMENDMENT - Amendment
CLOSURE - Closure
CLOSWITH - Closure/Withdraw
CONCURRENCE - Concurrence
CONVERSION - Conversion
DUAL - Dual
FULL - Full
INITIAL - Initial
NONREGINDVL - Disclosure Only Individual
NONREGORG - Disclosure Only Organization
P2BDAMEND - Page 2 BD Amendment
P2BDINITIAL - Page 2 BD Initial
PARTIAL - Partial
REGINDVL - CRD Individual
REGORG - CRD/IARD Organization
RELICENSE - Relicense All
RELICENSEBD - Relicense CRD
RELICENSEIA - Relicense IA
SCHEDEBDAMEND - Schedule E
WITHDRAW - Withdraw
The individual's hair color.
Allowed values(Code-Description) are:
BAL-Bald
BLK-Black
BLN-Blond or Strawberry
BRO-Brown
GRY-Gray or Partially Gray
RED-Red or Auburn
SDY-Sandy
WHI-White
BLU-Blue
GRN-Green
ONG-Orange
PNK-Pink
PLE-Purple
The individual's eye color.
Allowed values(Code-Description) are:
BLK-Black
BLU-Blue
BRO-Brown
GRY-Gray
GRN-Green
HAZ-Hazel
MAR-Maroon
MUL-Multicolored
PNK-Pink
Status of the fingerprint card.
Allowed values(Code-Description) are:
CDPD - Firm provided barcode on form filing, and FINRA is awaiting receipt of fingerprints for processing
CLER - FBI result indicating No Data was identified for fingerprints submitted
CLRX - FBI result indicating No Data was identified based on Name Check search
CMPX - FINRA staff has completed review of CHRI identified by the FBI following Name Check search
COMP - FINRA staff has completed review of CHRI identified by the FBI in response to fingerprints submitted
EXCX - FBI result indicating no match after Name Check search due to excessive candidates
ILEG - FBI result indicating fingerprints submitted were determined to be illegible (by the FBI)
LGCY - Fingerprint status provided prior to August 1999 conversion to Web CRD
NMCK - Individual is undergoing a Name Check search based on FBI determination that previous fingerprint submissions were illegible
RAPP - FBI result indicating CHRI was identified for fingerprints submitted
RAPX - FBI result indicating CHRI was identified based on a Name Check search
RECC - Fingerprints received at FINRA and forwarded to the FBI for processing
RECD - FINRA received fingerprint card that is missing information required for processing
RECP - Fingerprints were processed through another Self Regulatory Organization (SRO) and the FBI identified No Data
RECR - Fingerprints were processed through another SRO and CHRI was identified
RECT - A third fingerprint record was submitted to the FBI because fingerprints previously submitted were illegible
RECV - A second fingerprint record was submitted to the FBI because fingerprints previously submitted were illegible
RECX - Fingerprints were received and processed by FINRA
REJT - Fingerprints were rejected by the FBI because required information was missing
TERM - Fingerprint record reflects termination based on form filing or other process
XMPT - Individual is exempt from fingerprinting requirement (SEA Rule 17f-2) based on illegible prints or other criteria in Rule 17f-2
The Deficiency Code
Allowed values are:
AR - AR Registration
CEINCTV - CE Inactive
DUAL_RGSTN - Dual Registration
DUAL_RGSTN_RA_AG - Dual Registration RA/AG
EXAM - Exam
FA - FA Registration
FINRA - FINRA
FINRA-IF - FINRA-IF
FNGPR - Fingerprint
FORM - Form
FRGN - Foreign
FUNDS - Funds
PNDNG - Pending Firm Approval
PSTN - Position: Prerequisite Deficiency
SRR_RVW - Disclosure Review
SUSP - Firm Suspended Status
The Exam Code.
Allowed values(Code-Description) are:
S00-S00
S1-S1
S2-S2
S8-S8
S10-S10
S101-S101
S106-S106
S11-S11
S12-S12
S14-S14
S14A-S14A
S15-S15
S16-S16
S17-S17
S201-S201
S501-S501
S901-S901
S22-S22
S24-S24
S26-S26
S27-S27
S28-S28
S3-S3
S30-S30
S31-S31
S32-S32
S33-S33
S34-S34
S37-S37
S38-S38
S39-S39
S4-S4
S42-S42
S5-S5
S52-S52
S53-S53
S55-S55
S56-S56
S6-S6
S62-S62
S63-S63
S65-S65
S66-S66
S7-S7
S72-S72
S23-S23
S9-S9
S82-S82
S51-S51
S86-S86
S87-S87
S44-S44
S45-S45
S46-S46
S7A-S7A
S7B-S7B
S21-S21
S25-S25
S79-S79
S99-S99
G43-G43
G51-G51
101-101
F04-F04
FOR-FOR
G1-G1
G12-G12
G16-G16
G2-G2
G24-G24
G53-G53
G27-G27
G4-G4
G52-G52
G54-G54
G6-G6
G7-G7
G72-G72
GNY-GNY
GGA-GGA
GAL-GAL
GAR-GAR
GAK-GAK
GAZ-GAZ
GCA-GCA
GCO-GCO
GCT-GCT
GDC-GDC
GDE-GDE
GFL-GFL
GIA-GIA
GID-GID
GIL-GIL
GIN-GIN
GKY-GKY
GLA-GLA
GMA-GMA
GMD-GMD
GMI-GMI
GMN-GMN
GMO-GMO
GMT-GMT
GNC-GNC
GND-GND
GNE-GNE
GNH-GNH
GNM-GNM
GNV-GNV
GOK-GOK
GOR-GOR
GPA-GPA
GRI-GRI
GTN-GTN
GTX-GTX
GUT-GUT
GVA-GVA
GWA-GWA
GWI-GWI
GWV-GWV
GWY-GWY
PC-PC
V06-V06
W1-W1
W12-W12
W2-W2
W22-W22
W24-W24
W27-W27
W39-W39
W4-W4
W52-W52
W53-W53
W54-W54
W6-W6
W7-W7
201-201
501-501
901-901
G51-G51
GKS-GKS
GMS-GMS
GOK-GOK
GOR-GOR
GSC-GSC
NASD-NASD
S000-S000
S18-S18
S20-S20
S40-S40
S41-S41
S43-S43
S48-S48
S49-S49
S54-S54
S64-S64
S7A-S7A
S7B-S7B
S90-S90
S91-S91
WSC-WSC
The current status of the exam.
Allowed values(Code-Description) are:
DEVELOPED_NEED-Developed A Need
EXAM_PRVLY_TAKEN-Exams Previously Taken
EXPIRED - Window Expired
OFFICIAL_RESULT-Official Result
OFFICIAL_WAIVR-Official Waiver
REQUESTED-Request
SCHEDULED-Scheduled
WITHDRAW-Withdraw
FUNDS_DEFICIENT-Funds Deficient
The Exam Wavier Reason Code.
Allowed values(Code-Description) are:
[Blank]-[No Reason]
RNSTTD-Reinstated
UNCNTLWVR-Unconditional Waiver
CNDTLWVR-Conditional Waiver
D86-Designation
GRNDFTHRD-Grandfathered
Statutory Disqualifications Code.
Allowed values(Code-Description) are:
CLEAR-Clear
SDYESLMTD-Yes - Limited
SDAPPRV-Yes - Approved
SDNO-No
SDADPNDNG-Yes - Approval/Denial Pending
SDUNDRVW-Under Review
BLNK-Blank
SDDND-Yes - Denied
SDYES-Yes
SDRQRSRVW-Requires Review
SDTMSPNSNBAR-Timed Suspension/Bar
SDYESAPRVLDNLPNDNGTIER1-Yes - Approval/Denial Pending Tier 1
SDYESAPRVLDNLPNDNGTIER2-Yes - Approval/Denial Pending Tier 2
SDYESAPRVLDNLPNDNGTIER3-Yes - Approval/Denial Pending Tier 3
SDYESAPRVDTIER1-Yes - Approved - Tier 1
SDYESAPRVDTIER2-Yes - Approved - Tier 2
SDYESAPRVDTIER3-Yes - Approved - Tier 3
SDYESLTDTIER1-Yes - Limited - Tier 1
SDYESLTDTIER3-Yes - Limited - Tier 3
SDYESSOXTIER1-Yes - SOX - Tier 1
SDYESSOXTIER3-Yes - SOX - Tier 3
SDYESSOXAPRVLDNLPNDNGTIER1-Yes - SOX Approval/Denial Pending - Tier 1
SDYESSOXAPRVLDNLPNDNGTIER3-Yes - SOX Approval/Denial Pending - Tier 3
SDYESSOXAPRVDTIER1-Yes - SOX Approved - Tier 1
SDYESSOXAPRVDTIER3-Yes - SOX Approved - Tier 3
SDYESTIER1-Yes - Tier 1
SDYESTIER2-Yes - Tier 2
SDYESTIER3-Yes - Tier 3
SDYESWLLFLTIER1-Yes - Willful - Tier 1
SDYESWLLFLTIER3-Yes - Willful - Tier 3
SDYESWLLFLAPRVLDNLPNDNGTIER1-Yes - Willful Approval/Denial Pending - Tier 1
SDYESWLLFLAPRVLDNLPNDNGTIER3-Yes - Willful Approval/Denial Pending - Tier 3
SDYESWLLFLAPRVDTIER1-Yes - Willful Approved - Tier 1
SDYESWLLFLAPRVDTIER3-Yes - Willful Approved - Tier 3
Regulator Code.
Allowed values(Code-Description) are:
FINRA-FINRA
NYSE-MKT - NYSE MKT LLC
BX-NASDAQ OMX BX, Inc.
CBOE-Chicago Board Options Exchange
CHX-Chicago Stock Exchange
NSX-National Stock Exchange
NYSE-New York Stock Exchange
PHLX-NASDAQ OMX PHLX, Inc.
ARCA-NYSE Arca, Inc.
ISE-International Securities Exchange
NQX-NASDAQ Stock Market
BATS-ZX - BATS-ZX Exchange, Inc.
BATS-YX - BATS-YX Exchange, Inc.
BOX - Boston Options Exchange, LLC
EDGA-EDGA Exchange, Inc.
EDGX-EDGX Exchange, Inc.
MIAX-Miami International Stock Exchange (MIAX), LLC
C2-C2 Options Exchange, Incorporated
ISE GEMINI-ISE Gemini, LLC
ISE MERCURY-ISE Mercury, LLC
IEX-Investors' Exchange LLC
AL-Alabama
AK-Alaska
AZ-Arizona
AR-Arkansas
CA-California
CO-Colorado
CT-Connecticut
DE-Delaware
DC-District of Columbia
FL-Florida
GA-Georgia
HI-Hawaii
ID-Idaho
IL-Illinois
IN-Indiana
IA-Iowa
KS-Kansas
KY-Kentucky
LA-Louisiana
ME-Maine
MD-Maryland
MA-Massachusetts
MI-Michigan
MN-Minnesota
MS-Mississippi
MO-Missouri
MT-Montana
NE-Nebraska
NV-Nevada
NH-New Hampshire
NJ-New Jersey
NM-New Mexico
NY-New York
NC-North Carolina
ND-North Dakota
OH-Ohio
OK-Oklahoma
OR-Oregon
PA-Pennsylvania
PR-Puerto Rico
RI-Rhode Island
SC-South Carolina
SD-South Dakota
TN-Tennessee
TX-Texas
UT-Utah
VT-Vermont
VA-Virginia
WA-Washington
WV-West Virginia
WI-Wisconsin
WY-Wyoming
VI-Virgin Islands
Representative Registration Category/Position with the Regulator..
Allowed values(Code-Description) are:
AC-Floor Clerk - Options
AG-Agent
AF-Floor Broker - Options
AM-Allied Member
AO-Market Maker - Options
AP-Approved Person
AR-Assistant Representative/Order Processing
BM-Branch Office Manager
CD-Canada-Limited General Securities Registered Representative
CF-Compliance Official Specialist
CN-Canada-Limited General Securities Registered Representative
CO-Compliance Official
CS-Corporate Securities Represent
DP-Direct Participation Programs Principal
DR-Direct Participation Programs
ET-Equity Trader
FA-Foreign Associate
FE-Floor Employee
FI-Introducing BD/Finan Operation Principal
FN-Financial and Operations Principal
GP-General Securities Principal
GS-General Securities Representative
IE-International - Limited Registration
IP-Investment Company and Variable Contracts Products Principal
IR-Investment Company and Variable Contracts Products Rep.
LE-Securities Lending Representative
LS-Securities Lending Supervisor
ME-Member Exchange
MP-Municipal Securities Principal
MR-Municipal Securities Representative
OF-Officer
OP-Registered Options Principal
OR-Registered Options Representative
PC-Floor Clerk Conducting Public Business
PG-Government Securities Principal
PM-Floor Member Conducting Public Business
RG-Government Securities Representative
SA-Supervisory Analyst
SM-Securities Manager
SU-General Securities Sales Supervisor
TR-Securities Trader
TS-Trading Supervisor
SF-Single Stock Futures
FP-Municipal Fund
IF-In-Firm Delivery Proctor
RS-Research Analyst
FB-Floor Broker
MB-Market Maker acting as a Floor Broker
MM-Market Maker Authorized Trader-Options
RP-Research Principal
SC-Front Line Specialist Clerk
TA-Trading Assistant
PR-Limited Representative-Prvt Scrts Ofrngs
RA-Investment Advisor Representative
MT-Market Maker Authorized Trader-Equities
OT-Authorized Trader
IB-Investment Banking Representative
CP-Compliance Reg Options Principal
DROP-D Registered Options Principal
EX-EX
FC-Foreign Currency Options Representative
FM-Municipal Sec. Fin. and Operations
IAR-Investment Adviser Representative
LR-Limited Representative
MJ-Manager Office Supervisory Jurisdiction
SP-Sole Proprietor
SR-Senior Registered Options Principal
ST-Securities Trader
OS-Operations Professional
CT-Proprietary Trader Compliance Officer
PT-Proprietary Trader
TP-Proprietary Trader Principal
UNKNCONV-Unknown - CRD Data Conversion
The registration status type.
Allowed values(Code-Description) are:
ABANDONED-Abandoned
ADMTERM-Administrative Termination
APPRNT-Approved Pending Prints
APPROVED-Approved
APPROVED_RES-Restricted Approval
APRSLTS-Approved Pending Results
BAR-Bar
CE2_YEAR_TRMD-Termed CE Two Year Inactive
CE_INACTIVE-Inactive - Continuing Education
DEFICIENT-Deficient
DENIED-Denied
FTR-Terminated Failure to Renew
INACTIVE_PRINTS-Inactive - Prints
MASS_TRNSF-Termed Mass Transfer
PENDING-Pending
PURGED-Purged
REJECTED-Rejected
REQUAL-Requalification
REQUEST_TERM-Termination Requested
REVOKED-Revoked
SUSPENSION-Suspended
T_NOREG-Termed Without Registration
T_NOREG_FTR-Terminated no registration Renewals
T_NOREG_MT-Terminated no registration Mass Transfer
T_NOU5-Terminated Without U5
T_NOMT-Termed-Did Not Mass Transfer
T_NOMTNOREG-Terminated no reg.-Did Not Mass Transfer
TEMPREG-Temporary Registration
TEMP_WD-Temporary Withdrawal
TERMED-Termed
TRANS_TERM-Transition Terminated
TRANS_ERROR-Not Transitioned - Filed In Error
The disclosureType.
Allowed Values (Code-Description):
ARBTN -Arbitration
BANKRUPT -Bankruptcy
BOND -Bond
CIVLJUDC-Civil Judicial Action
CRIMINAL-Criminal
CUSTCOMP -Customer Complaint
INTRNRVW -Internal Review
INVSTGTN-Investigation
JUDGEMNT -Judgment/Lien
REGLACTN -Regulatory Action
TRMNATON-Termination
The disposition type. Allowed values are:
DENIAL-Denied
PAYOUT-Payout
REVOCATN-Revoked
The Bankruptcy action type.
Allowed values(Code-Description) are:
BKRPT-Bankruptcy
CMPRMISE-Compromise
DCLRTION-Declaration
LQDTION-Liquidated
OTHER-Other
RCEIVSHP-Receivership
The Bankruptcy action type.
Allowed values(Code-Description) are:
BKRPT-Bankruptcy
CMPRMISE-Compromise
DCLRTION-Declaration
LIQUIDATION-Liquidation
OTHER-Other
RCEIVSHP-Receivership
The type of Bankruptcy.
Allowed values(Code-Description) are:
CHAP07-Chapter 7
CHAP11-Chapter 11
CHAP13-Chapter 13
OTHER-Other
The Bankruptcy disposition type. Allowed values are:
DISCHRGE-Discharged
DISMISSL-Dismissed
DISSLUTN-Dissolved
DPP-Direct Payment Procedure
OTHER-Other
RELEASE-Satisfied/Released
SIPATTE-SIPA Trustee Appointed
The court action brought in.
Allowed values(Code-Description) are:
FEDRL-Federal Court
STATE-State Court
FORGN-Foreign Court
OTHER-Other
The court action brought in.
Allowed values(Code-Description) are:
FEDRL-Federal Court
STATE-State Court
FORGN-Foreign Court
MLTRY-Military Court
OTHER-Other
The current Status.
Allowed values(Code-Description) are:
FINAL-Final
ONAPPEAL-On Appeal
PENDING-Pending
UNKNOWN-Unknown
The current Status.
Allowed values(Code-Description) are:
FINAL-Final
ONAPPEAL-On Appeal
PENDING-Pending
The felony type. Allowed values are:
FELONY-Felony
MISDEMEANOR-Misdemeanor
The Appointment Status. Allowed values are:
CANCEL - Cancel
INPROGRESS - In progress
LATECANCEL - Late Cancel
NOSHOW - No Show
OFFICIAL_RESULT - Official Result
OFFICIAL_WAIVR - Official Waiver
RESCHEDULED - Rescheduled
SCHEDULED - Scheduled
WITHDRAW - Withdraw
The amended felony type. Allowed values are:
FELONY-Felony
MISDEMEANOR-Misdemeanor
OTHER-Other
The disposition type. Allowed values are:
ACQUITTED - Acquitted
AMENDED - Amended
CONVICTED - Convicted
DEFERREDADJUDICATION - Deferred Adjudication
DISMISSED - Dismissed
FOUNDNOTGUILTY - Found not guilty
PLEDGUILTY - Pled guilty
PLEDNOTGUILTY - Pled not guilty
PRETRIALINTERVENTION - Pre-trial Intervention
REDUCED - Reduced
OTHER - Other (requires explanation)
The Resolution Detail.
Allowed values(Code-Description) are:
CONSENT-Consent
DECSNREN-Judgment Rendered
DISMISSD-Dismissed
OPINION-Opinion
OTHER-Other
SETTLMNT-Settled
WITHDRWN-Withdrawn
The Resolution Detail.
Allowed values(Code-Description) are:
CONSENT-Consent
DECSNREN-Judgment Rendered
DISMISSD-Dismissed
OTHER-Other
SETTLMNT-Settled
WITHDRWN-Withdrawn
VACATED-Vacated
VACATEDNPT-Vacated Nunc Pro Tunc / ab initio
The Relief Sought.
Allowed values(Code-Description) are:
CEASEDES-Cease and Desist
CIVPENAL-Civil Penalty(ies)/Fine(s)
DISGORG-Disgorgement
INJ-Injunction
MONDAM-Money Damages (Private/Civil Complaint)
OTHER-Other
RESTITTN-Restitution
TRO-Restraining Order
The Monetarty Sanction Type.
Allowed values(Code-Description) are:
MONETARYFINE-Monetary Fine
DISGORGEMENT-Disgorgement
RESTITUTION-Restitution
OTHER-Other (requires explanation)
The arbitration Disposition.
Allowed values(Code-Description) are:
AWARDAGE-Award to Applicant
AWARDCUS-Award to Customer
DECAPPL-Decision for Applicant
DECUST-Decision for Customer
DENIED-Denied
DISMISSL-Dismissed
JUDGMENT-Judgement(other than monetary)
NOACTION-No Action
OTHER-Other
SETTLMNT-Settled
WITHDRAW-Withdrawn
STPAWARD-Stipulated Award
The litigation Disposition.
Allowed values(Code-Description) are:
DECAPPL-Decision for Applicant
DECUST-Decision for Customer
DENIED-Denied
DISMISSL-Dismissed
JUDGMENT-Judgment (other than monetary)
MONJUDAPP-Monetary Judgment to Applicant
MONJUDCUS-Monetary Judgment to Customer
NOACTION-No Action
OTHER-Other
SETTLMNT-Settled
WITHDRAW-Withdrawn
Investigation initiated by: Notice Received From.
Allowed values(Code-Description) are:
SRO-SRO
FFRA-Foreign Financial Regulatory Authority
JRSDN-Jurisdiction
SEC-SEC
OFA-Other Federal Agency
OTHER-Other
The Investigation resolution.
Allowed values(Code-Description) are:
CLSDNOACTN-Closed Without Further Action
CLSDWTHREGACTN-Closed - Regulatory Action Initiated
OTHER-Other
The judgment lien type.
Allowed values(Code-Description) are:
CIVIL-Civil
DEFAULT-Default
TAX-Tax
The judgment lien type.
Allowed values(Code-Description) are:
CIVIL-Civil
TAX-Tax
How was matter resolved?.
Allowed values(Code-Description) are:
DISCHRGD-Discharged
PAID-Satisfied
RELEASED-Released
REMOVED-Removed
The Regulatory Action initiated by.
Allowed values(Code-Description) are:
SEC-Securities and Exchange Commission
FEDREGAGNCY-Other Federal Agency
FOREIGNREGAUTH-Foreign Financial Regulatory Authority
STATEJURIS-Jurisdiction
FIRM-Firm
PRVTPLNTF-Private Plaintiff
The Regulatory Action initiated by.
Allowed values(Code-Description) are:
FEDREG-Federal Regulator
FOREIGNREG-Foreign Regulator
SEC-Securities and Exchange Commission
SRO-Self Regulatory Organization
STATEREG-State Regulator
FBA-Federal Banking Agency
NCUA-National Credit Union Administration
OTHER-Other
The Regulatory Action initiated by.
Allowed values(Code-Description) are:
SEC-Securities and Exchange Commission
SRO-Self Regulatory Organization
FBA-Federal Banking Agency
NCUA-National Credit Union Administration
OTHER-Other
FEDREGAGNCY-Other Federal Agency
FOREIGNREGAUTH-Foreign Financial Regulatory Authority
STATEJURIS-Jurisdiction
CFTC-CFTC
The Sanctions Sought.
Allowed values(Code-Description) are:
BAR-Bar
CEASEDES-Cease and Desist
CENSURE-Censure
DENIAL-Denial
DISGRGMT-Disgorgement
EXPULS-Expulsion
INJ-Injunction
OTHER-Other
PROHIBTN-Prohibition
REPRIM-Reprimand
RESTITTN-Restitution
REVOC-Revocation
SUS-Suspension
UNDERTAKING-Undertaking
CIVILADM-Civil and Administrative Penalt(ies) /Fine(s)
Action appealed to.
Allowed values(Code-Description) are:
CFTC-CFTC
SEC-SEC
SRO-SRO
FEDRL-Federal Court
STCOM-State Agency or Commission
STATE-State Court
OTHER-Other
The Current Status.
Allowed values(Code-Description) are:
AWC-Acceptance, Waiver & Consent(AWC)
CONSENT-Consent
DECISION-Decision
DISMISSD-Dismissed
OFFERSETTLE-Decision & Order of Offer of Settlement
ORDER-Order
OTHER-Other
SETTLMNT-Settled
STIPCONS-Stipulation and Consent
VACATED-Vacated
WITHDRWN-Withdrawn
The Current Status.
Allowed values(Code-Description) are:
AWC-Acceptance, Waiver & Consent(AWC)
CONSENT-Consent
DECISION-Decision
DISMISSD-Dismissed
OFFERSETTLE-Decision & Order of Offer of Settlement
ORDER-Order
OTHER-Other
SETTLMNT-Settled
STIPCONS-Stipulation and Consent
VACATED-Vacated
WITHDRWN-Withdrawn
VACATEDNPT-Vacated Nunc Pro Tunc/ab initio
The Sanction Type.
Allowed values(Code-Description) are:
BARPERM-Bar (Permanent)
BARTEMP-Bar (Temporary/Time Limited)
SUS-Suspension
The Requalification Type.
Allowed values(Code-Description) are:
REQUALIFICATION-Requalification by Exam
RETRAINING-Re-Training
OTHER-Other
The Monetary Sanction Type.
Allowed values(Code-Description) are:
CIVILADMINFINE-Civil and Administrative Penalty(ies)/Fine(s)
DISGORGEMENT-Disgorgement
MONETARYNOTFINE-Monetary Penalty other than Fines
RESTITUTION-Restitution
The SRO Arbitration resolution type code.
Allowed values(Code-Description) are:
AWARDAGE-Award
DENIED-Denied
DISMISSL-Dismissed
OTHER-Other
SETTLMNT-Settled
WITHDRAW-Withdrawn
The SRO Arbitration resolution type code.
Allowed values(Code-Description) are:
AWARDAGE-Award
DENIED-Denied
DISMISSL-Dismissed
OTHER-Other
SETTLMNT-Settled
WITHDRAW-Withdrawn
STPAWARD-Stipulated Award
The termination type code.
Allowed values(Code-Description) are:
DISCHGED-Discharged
PERMTRES-Permitted to Resign
VOLUNTRY-Voluntary Resignation
The termination reason type code.
Allowed values(Code-Description) are:
ADMTERM - Administrative Termination
DECEASED - Deceased
DISCHARGE - Discharged
OTHER - Other
RESIGNED - Permitted to Resign
TATNONDCPLN - TAT/Non-Disciplinary
UNKNCONV - Unknown Conversion
VOLUNTARY - Voluntary
The principal Product Type.
Allowed values(Code-Description) are:
CDMNYMKT-CD(s)
COMODFUT-Futures - Commodity
COMODOPT-Commodity Option(s)
DEBTASET-Debt - Asset Backed
DEBTCORP-Debt - Corporate
DEBTGOVT-Debt - Government
DEBTMUNI-Debt - Municipal
DIRECTINV-Direct Investment(s) - DPP & LP Interest(s)
DRVTV-Derivative(s)
EQUITLST-Equity Listed (Common & Preferred Stock)
EQUITOTC-Equity - OTC
FUTFIN-Futures - Financial
INSNONA-Annuity(ies) - Fixed
INSUR-Insurance
INTXOPT-Index Option(s)
INVSTCON-Investment Contract(s)
MONMARK-Money Market Fund(s)
MTUALFND-Mutual Fund(s)
NOPROD-No Product
OPTIONS-Options
OTHER-Other
PENNST-Penny Stock(s)
UNITINVS-Unit Investment Trust(s)
VARANNUT-Annuity(ies) - Variable
BANKPROD-Banking Products (Other than CD(s))
Indication of whether the firm association is active or inactive
Allowed values(Code-Description) are:
ACTIVE-ACTIVE
INACTIVE-INACTIVE
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