CRD number of the firm for whom this filing is being made. On inbound files, this field is reserved for future use (will allow submitter of amendment to link back to specific FINRA filing). On outbound files (e.g., reports sent back to submitters), this field will contain the FINRA Filing ID for the extension request. On inbound files, this field is reserved for future use (will allow submitter of amendment to link back to specific FINRA filing). On outbound files (e.g., reports sent back to submitters), this field will contain the FINRA Filing ID for the extension request. Used to indicate if the current extension request is an Amendment or a New extension request. Note that if Amendment is selected, it means the submitter is correcting an error in a previously submitted extension request. Creating a "follow-on" (or "subsequent extension," "second extension," "third extension," ...) for an expired extension request is NOT an Amendment. It is considered a New extension request (albeit a new extension request that is requesting additional time for the expired request). Note that Amendments for an extension request are expected to be submitted within one business day following the submission of the original extension request. Relevant paragraph of SEC Rule 15c3-3 to which this extension request relates. See enumeration list for valid values. Should equal date of the submission. On "Subsequent", "Secondary", or "Follow-On" requests, RequestDate must reflect the RequestDate *of the original filing.* A RequestNumber greater than 1 reflects a "Subsequent", "Secondary" or "Follow-On" request to an original extension of time request. On a Follow-On request, *only the following fields may differ from their values in the original request*: DaysRequested, SubmitterFilingReferenceID, ShareQuantity and ShareAmount (both of which may only be less than or equal to their values in original filing), Comment, and ReasonCode (in some cases only). Comment is required if this filing is an Amendment; if filing is not an Amendment, this element may be left blank. Submitters must include in this field a detailed explanation of the reason for the amendment. For XML Batch submissions, this should always be BatchV2 Should be set to True when a firm is withdrawing a previously submitted extension request. A withdrawal is considered an amendment, and therefore the submitter must complete the Submitter Comment field as to why the extension request is being withdrawn. This field should be set to False unless the intent is to withdraw the extension request. Allows submitter to include its own identifier for this extension request for firm internal tracking purposes. Maintained and may be available for searching by FINRA systems, but otherwise unused. The type of product traded for which an extension of payment is being requested (e.g., the type of product identified by the Issue Symbol/CUSIP field value). Firms must select one of the following values: Equity, Option, Derivative, Mutual fund, Bond. In the case of multiple trades, firms must choose one product code, Issue Symbol/CUSIP, and share amount, and enter the aggregate value of all of the trades in the submission for that account. Empty value is allowed to accomodate 4210. In the event of multiple trades executed for same customer account on same trade date: The amount field should be populated with the net debit created on that trade date. For Regulation T extension requests, if this total amount is $1000 or less, then no extension request is required. If a secondary extension request is made, the total dollar amount must not exceed the value on the original request. The quantity and issue symbol/CUSIP fields need only be populated with the details from one of the transactions, regardless of whether different securities or issuers are involved. See documentation for IssueSymbol element. The total dollar amount of credit extended to this account for the specified trade date. For Regulation T extension requests, if less than or equal to $1000, no extension request is necessary. On a second ("secondary", "follow-on" or "subsequent") extension request for a given transaction, the total dollar amount must not exceed the value on the original request. In the case of multiple transactions for same customer on same date, enter just the number of shares or contracts associated with the IssueSymbol or CUSIP entered above. Corresponds to the "New Issue?" question on the UI. For New issues (IssueStatus = true/yes), RequestDate should be 5 days from SettlementDate Firms must indicate if the extension is being submitted on behalf of a correspondent firm. This element is a modification of the Correspondent Firm Flag data element present in the legacy Reg T system. Firms must select one of the following values: Domestic (if this value is selected, the Correspondent Firm CRD Number, the Correspondent Branch CRD Number, Customer Contact CRD Type and, possibly, Customer Contact CRD ID fields must be completed); Foreign (if this value is selected, the name of the foreign correspondent broker-dealer must be submitted in the new Foreign IB Name data field); or None (if this value is selected, the Branch CRD Number of the clearing firm, Customer Contact CRD Type and, possibly, Customer Contact CRD ID fields must be completed). See notes for CorrespondentFirmType field. Required for all Regulation T and SEC Rule 15c3-3(m) requests when CorrespondentFirmType = "Domestic." Branch CRD number depending on value of CorrespondentFirmType - if CorrespondentFirmType = "Domestic," this is the Correspondent Firm branch ID; if CorrespondentFirmType = "None," this is the Clearing firm branch ID. If CorrespondentFirmType = "Foreign," then this field will be empty. Indicates the type of ID of the individual assigned to the account, if any. Firms must select one of the following values: RegisteredRep (if this value is selected, the Registered Representative's CRD number must be provided in the Customer Contact ID field); or SelfDirected (this option is reserved explicitly for online accounts that are self directed and do not have a Registered Representative assigned to the account). If the extension of time request relates to paragraph (d)(2),(d)(3), or (h) of SEA Rule 15c3-3 this field is not required. This field is also not required when the Correspondent Firm Type is Foreign. ID of the Registered Rep who is the point of contact for the customer account. Required for all Regulation T and SEC Rule 15c3-3(m) requests. Foreign correspondent firm name must be provided if the extension is being requested on behalf of a foreign correspondent firm and the Correspondent Firm Type indicator has been set to Foreign. It is important to be consistent when submitting names in this field. For example, please do not use "Acme, Inc." in one extension request, and "Acme, Incorporated" in another extension request for the same firm. Required for all Regulation T and SEC Rule 15c3-3(m) requests. Required for all Regulation T and SEC Rule 15c3-3(m) requests, where CustomerType = "DomesticIndividual" or "DomesticCompany"; for the former, this field should contain SSN; for the latter, this field should contain TIN. The customer account number at the broker-dealer filing the extension request. Required for all Regulation T and SEC Rule 15c3-3(m) requests Required if CustomerType is DomesticIndividual or ForeignIndividual. Middle initial only - note length restriction Required if CustomerType is DomesticIndividual or ForeignIndividual. Required if CustomerType is DomesticCompany or ForeignCompany. Required for SEC Rule 15c3-3(d)(2) or (d)(3) extension requests. Reflects the date that the firm discovered the deficiency. Deficiency date should be one or two business day prior to the extension request date. Date on which dividends are to be paid if RuleType is (d)(3). Name of the party from whom the dividend, stock split, etc. is due if RuleType is (d)(3). This field is a modification of the Contra Broker Dealer CRD Number field from the legacy Reg T system. This field indicates the type of identification number provided for the broker-dealer failing to deliver the securities. Firms must select one of the following values: CRD (if this value is selected, the Contra ID field must contain the CRD number of the contra firm) OR DTCC (if this value is selected, the Contra ID field must contain the DTCC number of the contra firm). For filings of RuleType (d)(2), this field will contain CRD or NSCC number (depending upon value of ContraIDCode field) of the broker-dealer failing to deliver the securities. Per the June 2014 Notice to Members, entry 08-32: Firms must indicate the relevant paragraph (d)(2),(d)(3),(d)(4),(h) or (m) of SEC Rule 15c3-3 to which the extension of time request relates. This field indicates the Share Quantity allocated to the Proprietary Accounts of the Broker Dealer. Per the June 2008 Notice to Members, entry 08-32: Firms must indicate the relevant paragraph (d)(2),(d)(3),(h) or (m) of SEC Rule 15c3-3 to which the extension of time request relates. Paragraph (d)(4) Paragraph (d)(3) Paragraph (d)(2) Paragraph (h) Paragraph (m) Legacy flat file format - FINRA converts flat file to XML; the BatchV1 value is only applied to those XML files generated by FINRA from a legacy flat file submission. In other words, an XML submitter will never set ReceivedBy to BatchV1 value. XML format initial version Filings that came over from the legacy REGT system during the initial data migration on go-live. Note that there are restrictions on which ReasonCode values can be used with which RequestType. As a general rule, 001 through 021 are appropriate for Regulation T filings ("REGT"), and 040 and higher are used with SEC Rule 15c3-3 ("15C3"). There is No Registered Rep No = Existing Issue Yes = New Issue Intended use: Listed Options Intended use: OTC Derivatives Use Amend for ANY amendment, including: withdrawals and amendments to follow-ons. Use New for brand new requests and for follow-ons. There is a DOMESTIC correspondent firm There is a FOREIGN correspondent firm There is NO correspondent firm Union of xs:date and empty xs:string to allow empty elements Union of xs:positiveInteger and empty xs:string to allow empty elements Assigned by the batch processing routine. Optional value that can be provided by the submitter in batch file at BatchJob/@SubmitterJobReferenceID - it's the submitter's internal reference ID for this batch run. For batch submitted requests, this is the SFTP user. Name of the file that contained this filing data. Not present for UI-submitted requests. For batch submitted files, this is the time (mtime) of the submitted file (indicates when file was completely transferred to FINRA server. FINRA systems track the rejected and draft filings and can provide greater details on a rejected/draft filing based on this ID. Provides some basic information regarding the reason the filing was rejected or left in draft mode. FINRA-generated internal value that is used as a surrogate key for the logical key fields to this filing. For UI submitted filings, this is an EWS ID For UI-submitted files, this is the time stamp of when the filing was submitted.