Only relevant for batch submitted files if the ENTIRE FILE is rejected. Typical reasons for an entire file to be rejected: empty file, unreadable/garbled file, or the submitter is trying to submit data for an invalid CRD number or for a CRD number that the submitter is not allowed to submit filings for.
Only relevant for batch submitted files; this container lists the individual *filings* that got rejected during the load. Typical reasons for a filing to be rejected include: bad XML, weird characters.
For firms that submit extension requests only for themselves, there will be one PerFirmReport element contained herein for their firm. For Service Providers that submit extension requests for multiple firms, there will be one PerFirmReport element contained herein for each of the firms that that Service Provider services.
This container lists the extension requests submitted via UI during the period covered by the report.
This element contains the extension request content - the information that the firm provided in the UI submission, enriched with a few values added by the FINRA process such as SubmissionDateTime and the FINRA filing ID and version number assigned to this request.
This element contains information regarding the current, and, if present, previous dispositions assigned to this request. This element will be populated only if the request passed all validations necessary to allow it to be "SUBMITTED." Expiration date for the request is included in this node.
This element, if present, contains any processing messages that were generated as the system validated this request.
See the individual elements contained herein for details.
This container lists the extension requests submitted via batch during the period covered by the report.
This element contains the extension request content - the information that the firm provided in the batch submission, enriched with a few values added by the FINRA process such as SubmissionDateTime and the FINRA filing ID and version number assigned to this request. If an individual extension request failed syntax validation to the point that the FINRA system could not read the request in, this element will not be populated for that request.
This element contains information regarding the current, and, if present, previous dispositions assigned to this request. This element will be populated only if the request passed all validations necessary to allow it to be "SUBMITTED." Expiration date for the request is included in this node.
This element, if present, contains any processing messages that were generated as the system validated this request.
See the individual elements contained herein for details.
This container lists the extension requests whose Disposition was changed by FINRA during the period covered by the report.
This element contains the extension request content - the information that the firm provided in the submission, enriched with a few values added by the FINRA process such as SubmissionDateTime and the FINRA filing ID and version number assigned to this request.
This element contains information regarding the current, and, if present, previous dispositions assigned to this request. This element will be populated only if the request passed all validations necessary to allow it to be "SUBMITTED." Expiration date for the request is included in this node.
Only relevant for batch submitted files; this container lists the individual *filings* that were left in draft mode during the load. These filings may be resubmitted via batch or corrected via the UI. Typical reasons for a filing to end up in draft mode include: missing required fields, date ordering issues, many others.
This container holds two sub-containers, each providing the relevant information for 0 or more customers of a given type who are "finalized" as of the date this report was run. "Finalized" means that the customer has reached the defined limit on the number of extension requests that may be submitted for that customer.
CustomerType should be either DomesticIndividual or DomesticCompany in this container.
This is the date upon which firms may once again file an extension request for this customer.
Optional element - will be present and have a value if this intance of this report is being delivered to the firm at which this customer was finalized - i.e., this will identify the filing that brought this customer to the limit.
See comment above for FINRAFilingID
CustomerType should be ForeignIndividual or ForeignCompany in this container. Because we cannot recognize foreign individuals/companies across firms (no common identifier such as SSN or TIN), it will always be the case that this individual/company has been finalized by the firm for whom this report is being run. Therefore, we can include FINRAFilingID and FINRAVersionID for all of these entries.
This is the date upon which firms may once again file an extension request for this customer.
Branch CRD number depending on value of CorrespondentFirmFlag - if CorrespondentFirmType = Domestic, this is the Correspondent Firm branch ID; if CorrespondentFirmType = None, this is the Clearing firm branch ID. If CorrespondentFirmType = Foreign, this field will be empty.
This field is relevant if the trade involves a foreign introducing broker; otherwise, leave blank.
First, Middle, Last will be provided when CustomerType is ForeignIndividual
CompanyName will be provided when CustomerType is ForeignCompany
See comment above for FINRAFilingID
See comment above for FINRAFilingID
CRD number of the firm for whom this container of reports is relevant.