©2022 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 2022.12 (last updated on 04/15/2015) Collection of U4 Bond DRPs U4 Bond DRP Unique number that identifies the disclosure Flag indicating Bond disclosure being filed in response to U4 disclosure question 14L. Bond DRP - 1.Firm Name (Policy Holder) Bond DRP - 2. Bond Company Name Bond DRP - 3. Disposition Type Bond DRP - 4. Disposition Date Bond DRP - 4. Disposition Date Exact Flag Bond DRP - 4. Disposition Date Explanation text Bond DRP - 6. Comment (Optional). You may use this field to provide a brief summary of the circumstances leading to the action as well as the current status or final disposition. Bond DRP - 5A. Payout Amount Bond DRP - 5B. Date Paid Bond DRP - 5B. Date Paid Exact Flag Bond DRP - 5B. Date Paid Explanation text Indication to specify if the disclosure is being Inserted or Updated Allowed vlaues for Disposition Type (Q.3) on Bond DRP Collection of U4 Judgment/Lien DRPs U4 Judgment/Lien DRP Unique number that identifies the disclosure Flag indicating Judgment/Lien disclosure being filed inresponse to U4 disclosure question 14M Judgment/Lien DRP - 2. Judgment/Lien Holder Judgment/Lien DRP - 1. Judgment/Lien Amount Judgment/Lien DRP - 3. Judgment/Lien Type Judgment/Lien DRP - 4A. Date Filed with Court Judgment/Lien DRP - 4A. Date Filed with Court Exact flag Judgment/Lien DRP - 4A. Date Filed with Court Explnation text Judgment/Lien DRP - 7B. How was matter Resolved? (Judgment/Lien Resolution Type) Judgment/Lien DRP - 5. Court action brought in (Court Type: Federal, State, Foreign or Other) Judgment/Lien DRP - Explanation text when Court Type (Q.5) selected is 'Other' Judgment/Lien DRP - 5A. Name of the Court Judgment/Lien DRP - 5B. Location of the Court (City or County and State or Country) Judgment/Lien DRP - 5C. Docket/Case # Judgment/Lien DRP - Flag indication if Docket/case # (Q.5C) is an SSN, a Bank Card number, or a Personal Identification Number Judgment/Lien DRP - 6. Is Judgment/Lien Outstanding? Judgment/Lien DRP - 7A. Status Date (if Judgment/Lien is not outstanding) Judgment/Lien DRP - 7A. Status Date Exact Flag Judgment/Lien DRP - 7A. Status Date Explanation text Judgment/Lien DRP - 4B. Date individual learned of the Judgment/Lien Judgment/Lien DRP - 4B. Date individual learned of the Judgment/Lien Exact Flag Judgment/Lien DRP - 4B. Date individual learned of the Judgment/Lien Explanation text Judgment/Lien DRP - 8. Comment (Optional). You may use this field to provide a brief summary of the circumstances leading to the action as well as the current status or final disposition. Indication to specify if the disclosure is being inserted or updated Allowed values for Judgment/Lien Type (Q.3) on Judgment/Lien DRP Allowed values for Judgement/Lien resolution type (Q.7B) Allowed values for - U4/U5 Criminal DRP (Q.2. Formal Action was brought in), - U4 Civil Judicial DRP (Q.5. Formal Action was brought in ), - U4/U5 Customer Complaint DRP (Q.17. Court in which case was filed , Q.23B. Court appeal filed in) Collection of U4 Termination DRPs U4 Termination DRP Unique number that identifies the disclosure Flag indicating Termination disclosure being filed in response to U4 disclosure question 14J(1) Flag indicating Termination disclosure being filed in response to U4 disclosure question 14J(2) Flag indicating Termination disclosure being filed in response to U4 disclosure question 14J(3) Termination DRP - 1. Firm Name Termination DRP - 2. Termination Type Termination DRP - 3. Termination Date Termination DRP - 3. Termination Date Excact Flag Termination DRP - 3. Termination Date Explanation text Termination DRP - 4. Allegation(s) Termination DRP - 5. Product Type(s) Termination DRP - 6. Comment (Optional). You may use this field to provide a brief summary of the circumstances leading to the termination. Indication to specify if the disclosure is being inserted or updated Collection of U4 Bankruptcy DRPs U4 Bankruptcy DRP Unique number that identifies the disclosure Flag indicating Bankruptcy disclosure being filed in response to U4 disclosure question 14k(1) Flag indicating Bankruptcy disclosure being filed in response to U4 disclosure question 14k(2) Flag indicating Bankruptcy disclosure being filed in response to U4 disclosure question 14k(3) Bankruptcy DRP - 1. Action Type Bankruptcy DRP - 1. Bankruptcy action chapter Type Bankruptcy DRP - Explanation text when Action Type (Q.1) is 'Other' Bankruptcy DRP - 2. Action Date Bankruptcy DRP - 2. Action Date explanation text Bankruptcy DRP - 2. Action Date exact flag Bankruptcy DRP - 3A. Organization Name (If the financial action relates to an organization over which you exercise(d) control) Bankruptcy DRP - 3B. Position, title or relationship Bankruptcy DRP - 3C. Investment-related business Bankruptcy DRP - 4. Court action brought in (Court Type: Federal, State, Foreign or Other) Bankruptcy DRP - Explanation text when Court Type (Q.4) selected is 'Other' Bankruptcy DRP - 4A. Name of Court Bankruptcy DRP - 4B. Location of Court (City or County and State or Country) Bankruptcy DRP - 4C. Docket/Case # Bankruptcy DRP - Flag indication if Docket/ case # (Q.4C) is an SSN, a Bank Card number, or a Personal Identification Number Bankruptcy DRP - 5. Is action currently pending? Bankruptcy DRP - 6. If not pending, provide Disposition Type Bankruptcy DRP - Explanation text when Disposition Type (Q.6) selected is 'Other' Bankruptcy DRP - 7. Disposition Date Bankruptcy DRP - 7. Disposition Date Exact Flag Bankruptcy DRP - 7. Disposition Date Explanation text Bankruptcy DRP - 8A. Name of Creditor (If a compromise with creditors) Bankruptcy DRP - 8B. Original amount owed Bankruptcy DRP - 8C. Terms/Compromise reached with creditor Bankruptcy DRP - 9A. Provide the amount paid or agreed to be paid by you (If a SIPA trustee was appointed or a direct payment procedure was begun) Bankruptcy DRP - 9A. The name of the Trustee Bankruptcy DRP - 9B. Currently Open? Bankruptcy DRP - 9C. Date Direct Payment Initiated/Filed or Trustee Appointed Bankruptcy DRP - 9C. Date Direct Payment Initiated/Filed or Trustee Appointed Exact Flag Bankruptcy DRP - 9C. Date Direct Payment Initiated/Filed or Trustee Appointed Explanation text Bankruptcy DRP - 10. Comment (Optional). You may use this field to provide a brief summary of the circumstances leading to the action as well as the current status or final disposition. Indication to specify if the disclosure is being inserted or updated. Collection of U4 Civil Judicial DRPs U4 Civil Judicial DRP Unique number that identifies the disclosure. Flag indicating Civil Judicial disclosure being filed in response to U4 disclosure question 14H(1)(a) Flag indicating Civil Judicial disclosure being filed in response to U4 disclosure question 14H(1)(b) Flag indicating Civil Judicial disclosure being filed in response to U4 disclosure question 14H(1)(c) Flag indicating Civil Judicial disclosure being filed in response to U4 disclosure question 14H(2) Flag to indicate data on this U4 Civil Judicial disclosure be used to satisfy firm’s reporting obligation pursuant to the applicable provision of FINRA Rule 4530(a)(1) Civil Judicial DRP - 1A. Court Action initiated by Civil Judicial DRP - 1B. Name of party initiating the proceeding Note: On both Initial and amended DRPs, 'InttrTx' must be provided only if the 'InttrTypeCd provided is any value other than 'SEC'. If value provided is 'SEC', this element must not be provided. Civil Judicial DRP - 2. Relief Sought: Cease and Desist Civil Judicial DRP - 2. Relief Sought: Civil and Administrative Penalty(ies)/Fine(s) Civil Judicial DRP - 2. Relief Sought: Disgorgement Civil Judicial DRP - 2. Relief Sought: Injunction Civil Judicial DRP - 2. Relief Sought: Monetary Penalty other than Fines Civil Judicial DRP - 2. Relief Sought: Restitution Civil Judicial DRP - 2. Relief Sought: Restraining Order Civil Judicial DRP - 2. Relief Sought: Other Civil Judicial DRP - 2. Relief Sought: Other explanation text Civil Judicial DRP - 3A. Filing Date of Court Action Civil Judicial DRP - 3A. Filing Date of Court Action Exact Flag Civil Judicial DRP - 3A. Filing Date of Court Action Explanation text Civil Judicial DRP - 3B. Date notice/process was served Civil Judicial DRP - 3B. Date notice/process was served Exact flag Civil Judicial DRP - 3B. Date notice/process was served Explanation text Civil Judicial DRP - 5. Formal Action was brought in (Court type: Federal, State, Foreign, Military or Other) Civil Judicial DRP - 5. Formal Action was brought in - Other type Civil Judicial DRP - 5A. Name of Court Civil Judicial DRP - 5B. Location of Court (City or County and State or Country) Civil Judicial DRP - 5C. Docket/Case# Civil Judicial DRP - 6. Employing Firm when activity occurred which led to the civil judicial action Civil Judicial DRP - 7. Describe the allegations related to this civil action Civil Judicial DRP - 8. Current Status Civil Judicial DRP - 9. Details of limitations or restrictions that are currently in effect, if current status is 'pending'. Civil Judicial DRP - 10A. Name of the court where action is appealed, if current status is 'on appeal'. Civil Judicial DRP - 10B. Court Location Civil Judicial DRP - 10C. Docket/Case # Civil Judicial DRP - 10D. Date appeal filed Civil Judicial DRP - 10D. Date appeal filed exact flag Civil Judicial DRP - 10D. Date appeal filed explanation text Civil Judicial DRP - 10E. Appeal Details Civil Judicial DRP - 10F. Limitations or restrictions currently in effect, if on appeal Civil Judicial DRP - 11A. Resolution Detail: How was matter resolved? Civil Judicial DRP - Explanation text when 'Resolution Detail: How was matter resolved?' (Q.11A) is 'Other' Civil Judicial DRP - 11B. Resolution Date Civil Judicial DRP - 11B. Resolution Date Exact Flag Civil Judicial DRP - 11B. Resolution Date explanation text Civil Judicial DRP - 12A. Sanctions Ordered or Relief Granted - Cease and Desist Civil Judicial DRP - 12A. Sanctions Ordered or Relief Granted - Civil and Administrative Penalty(ies)/Fine(s) Civil Judicial DRP - 12A. Sanctions Ordered or Relief Granted - Disgorgement Civil Judicial DRP - 12A. Sanctions Ordered or Relief Granted - Monetary Penalty other than fines Civil Judicial DRP - 12A. Sanctions Ordered or Relief Granted - Restitution Civil Judicial DRP - 12A. Sanctions Ordered or Relief Granted - Injunction Civil Judicial DRP - 12B. Other Sanctions Civil Judicial DRP - 13. Comment (Optional). You may use this field to provide a brief summary of the circumstances leading to the action, as well as the current status or final disposition and/or finding(s). Indcation to specify if the disclosure is being Inserted or Updated Civil Judicial DRP - 4. Product Type(s) Collection of Injuctions on a U4-Civil Judicial DRP Civil Judicial Injuction Unique number that identifies the Injuction record Civil Judicial Injuction - Registration Capacities Affected Civil Judicial Injuction - Duration Civil Judicial Injuction - Duration Exact flag Civil Judicial Injuction - Duration explanation text Civil Judicial Injuction - Start Date Civil Judicial Injuction - Start Date Exact flag Civil Judicial Injuction - Start Date explanation text Civil Judicial Injuction - End Date Civil Judicial Injuction - End Date exact flag Civil Judicial Injuction - End Date explanation text Indication to specify if the injucrion record is being inserted, updated or deleted. Collection of Monetary Sanctions on a U4-Civil Judicial DRP Civil Judicial Monetary Sanction Unique number that identifies the Monetary Sanction record Civil Judicial Monetary Sanction - Monetary Related Sanction Type Civil Judicial Monetary Sanction - Explanation text when Monetary related Sanction type is 'Other' Civil Judicial Monetary Sanction - Total Amount Civil Judicial Monetary Sanction - Portion levied against you Civil Judicial Monetary Sanction - Date paid by you Civil Judicial Monetary Sanction - Date paid by you Exact flag Civil Judicial Monetary Sanction - Date paid by you Explanation text Civil Judicial Monetary Sanction - Was any portion of penalty waived? Civil Judicial Monetary Sanction - Portion of penalty waived amount Indication to specify if the Monetary sanction record is being inserted, updated or deleted. Allowed values for Civil Judicial - Monetary Related Sanction Type Collection of U4 Criminal DRPs U4 Criminal DRP Unique number that identifies the disclosure Flag indicating Criminal DRP being filed in response to U4 disclosure question 14A(1)(a) Flag indicating Criminal DRP being filed in response to U4 disclosure question 14A(1)(b) Flag indicating Criminal DRP being filed in response to U4 disclosure question 14A(2)(a) Flag indicating Criminal DRP being filed in response to U4 disclosure question 14A(2)(b) Flag indicating Criminal DRP being filed in response to U4 disclosure question 14B(1)(a) Flag indicating Criminal DRP being filed in response to U4 disclosure question 14B(1)(b) Flag indicating Criminal DRP being filed in response to U4 disclosure question 14B(2)(a) Flag indicating Criminal DRP being filed in response to U4 disclosure question 14B(2)(b) Flag to indicate data on this U4 Criminal disclosure be used to satisfy firm’s reporting obligation pursuant to the applicable provision of FINRA Rule 4530(a)(1) Criminal DRP - 1A. Organization Name (If charge(s) were brought against an organization over which you exercise(d) control) Criminal DRP - 1B. Investment-related business? Criminal DRP - 1C. Position, title or relationship Criminal DRP - 2. Formal Action was brought in (Court type: Fedral, State, Military, Foreign or Other) Criminal DRP - Explanation text when Court type (Q.2) selected is 'Other'. Criminal DRP - 2A. Name of Court Criminal DRP - 2B. Location of Court (City or County and State or Country) Criminal DRP - 2C. Docket/Case# Criminal DRP - 3A. Current Status of the Event Criminal DRP - 3B. Event Status Date (complete unless status is pending) Criminal DRP - 3B. Event Status Date tExact flag Criminal DRP - 3B. Event Status Date Explanation text Criminal DRP - 4A. Date First Charged Criminal DRP - 4A. Date First Charged Exact flag Criminal DRP - 4A. Date First Charged explanation text Criminal DRP - 4C. Date of Disposition Criminal DRP - 4C. Date of Disposition Exact flag Criminal DRP - 4C. Date of Disposition explanation text Criminal DRP - 4D. Sentence/Penalty; Duration (if suspension, probation, etc): Start Date of Penalty; End date of Penalty; If Monetary penalty/fine – Amount paid; Date monetary/penalty fine paid; if not exact, provide explanation. Criminal DRP - 5. Comment (Optional). You may use this field to provide a brief summary of the circumstances leading to the charge(s) as well as the current status or final disposition Indication to specify if the disclosure is being inserted or updated. Collection of Criminal Charges on a U4/U5-Criminal DRP Criminal Charge Unique number that identifies the Criminal Charge record. Criminal Charge - Formal Charge/Description Criminal Charge - No. of Counts Criminal Charge - Felony or Misdemeanor Criminal Charge - Plea for each charge Criminal Charge - Disposition of charge Criminal Charge - Explanation text when disposition of charge selected is 'Other'. Criminal Charge - Date of Amended Charge Criminal Charge - If original charge was amended or reduced, specify new charge. Criminal Charge - No. of Counts for amended or reduced charge. Criminal Charge - Specify if amended or reduced charge is a Felony or Misdemeanor Criminal Charge - Explanation text when amended charge selected is 'Other' Criminal Charge - Plea for each amended or reduced charge Criminal Charge - Disposition of amended or reduced charge Criminal Charge - Explanation text when disposition of amended charge selected is 'Other'. Indication to specify if the criminal charge record is being inserted, updated or deleted. Collection of U4 Investigation DRPs U4 Investigation DRP Unique number that identifies the disclosure Flag indicating Criminal DRP being filed in response to U4 disclosure question 14G(2) Investigation DRP - 1A. Investigation initiated by (Notice Received From - Regulator type) Investigation DRP - 1B. Full name of regulator that initiated the investigation Note: On both Initial and amended DRPs, 'InttrTx' must be provided only if the 'InttrTypeCd provided is any value other than 'SEC'. If value provided is 'SEC', this element must not be provided. Investigation DRP - 2. Notice Date Investigation DRP - 2. Notice Date exact flag Investigation DRP - 2. Notice Date explanation text Investigation DRP - 3. Describe briefly the nature of the investigation, if known Investigation DRP - 4. Is investigation pending? Investigation DRP - 5A. Date Closed/Resolved Investigation DRP - 5A. Date Closed/Resolved Exact Flag Investigation DRP - 5A. Date Closed/Resolved explanation text Investigation DRP - 5B. How was investigation resolved? Explanation text when resolution type (Q. 5B) selected is 'Other' Investigation DRP - 6. Comment (Optional). You may use this field to provide a brief summary of the circumstances leading to the investigation, as well as the current status or final disposition and/or finding(s). Indication to specify if the disclosure is being inserted or updated. Collection of U4 Regulatory Action DRPs U4 Regulatory Actipon DRP Unique number that identifies the disclosure Flag indicating regulatory Action DRP being filed in response to U4 disclosure question 14C(1) Flag indicating regulatory Action DRP being filed in response to U4 disclosure question 14C(2) Flag indicating regulatory Action DRP being filed in response to U4 disclosure question 14C(3) Flag indicating regulatory Action DRP being filed in response to U4 disclosure question 14C(4) Flag indicating regulatory Action DRP being filed in response to U4 disclosure question 14C(5) Flag indicating regulatory Action DRP being filed in response to U4 disclosure question 14C(6) Flag indicating regulatory Action DRP being filed in response to U4 disclosure question 14C(7) Flag indicating regulatory Action DRP being filed in response to U4 disclosure question 14C(8) Flag indicating regulatory Action DRP being filed in response to U4 disclosure question 14D(1)(a) Flag indicating regulatory Action DRP being filed in response to U4 disclosure question 14D(1)(b) Flag indicating regulatory Action DRP being filed in response to U4 disclosure question 14D(1)(c) Flag indicating regulatory Action DRP being filed in response to U4 disclosure question 14D(1)(d) Flag indicating regulatory Action DRP being filed in response to U4 disclosure question 14D(1)(e) Flag indicating regulatory Action DRP being filed in response to U4 disclosure question 14D(2)(a) Flag indicating regulatory Action DRP being filed in response to U4 disclosure question 14D(2)(b) Flag indicating regulatory Action DRP being filed in response to U4 disclosure question 14E(1) Flag indicating regulatory Action DRP being filed in response to U4 disclosure question 14E(2) Flag indicating regulatory Action DRP being filed in response to U4 disclosure question 14E(3) Flag indicating regulatory Action DRP being filed in response to U4 disclosure question 14E(4) Flag indicating regulatory Action DRP being filed in response to U4 disclosure question 14E(5) Flag indicating regulatory Action DRP being filed in response to U4 disclosure question 14E(6) Flag indicating regulatory Action DRP being filed in response to U4 disclosure question 14E(7) Flag indicating regulatory Action DRP being filed in response to U4 disclosure question 14F Flag indicating regulatory Action DRP being filed in response to U4 disclosure question 14G(1) Flag to indicate data on this U4 Regulatory Action DRP be used to satisfy firm's reporting obligation pursuant to the applicable provision of FINRA Rule 4530(a)(1) Regulatory Action DRP - 1A. Regulatory Action initiated by Regulatory Action DRP - 1B. Full name of regulator that initiated the action Note: On both Initial and amended DRPs, 'InttrTx' must be provided only if the 'InttrTypeCd provided is any value other than 'SEC'. If value provided is 'SEC', this element must not be provided. Regulatory Action DRP - 2. Sanction(s) Sought: Bar Regulatory Action DRP - 2. Sanction(s) Sought: Cease and Desist Regulatory Action DRP - 2. Sanction(s) Sought: Censure Regulatory Action DRP - 2. Sanction(s) Sought: Civil and Administrative Penalty(ies)/Fine(s) Regulatory Action DRP - 2. Sanction(s) Sought: Denial Regulatory Action DRP - 2. Sanction(s) Sought: Disgorgement Regulatory Action DRP - 2. Sanction(s) Sought: Expulsion Regulatory Action DRP - 2. Sanction(s) Sought: Monetary Penalty other than Fines Regulatory Action DRP - 2. Sanction(s) Sought: Prohibition Regulatory Action DRP - 2. Sanction(s) Sought: Reprimand Regulatory Action DRP - 2. Sanction(s) Sought: Requalification Regulatory Action DRP - 2. Sanction(s) Sought: Rescission Regulatory Action DRP - 2. Sanction(s) Sought: Restitution Regulatory Action DRP - 2. Sanction(s) Sought: Undertaking Regulatory Action DRP - 2. Sanction(s) Sought: Revocation Regulatory Action DRP - 2. Sanction(s) Sought: Suspension Regulatory Action DRP - 2. Sanction(s) Sought: Other Regulatory Action DRP - Explanation text when Sanction(s) Sought (Q.2) selected is 'Other' Regulatory Action DRP - 3. Date Initiated Regulatory Action DRP - 3. Date Initiated Exact flag IRegulatory Action DRP - 3. Date Initiated Explanation text Regulatory Action DRP - 4. Docket/Case # Regulatory Action DRP - 5. Employing Firm when activity occurred which led to the regulatory action Regulatory Action DRP - 7. Describe the allegations related to this regulatory action Regulatory Action DRP - 8. Current Status (Pending, On Appeal, or Final) Regulatory Action DRP - 9. If pending, are there any limitations or restrictions currently in effect? Regulatory Action DRP - Explanation text if there are any limitations or restrictions while the action is pending (Q.9 is Yes) Regulatory Action DRP - 10A. if on appeal, action appealed to (court type) Regulatory Action DRP - Explanation text if coutry type (Q.10A) selected is 'other' Regulatory Action DRP - 10B. Date appeal filed Regulatory Action DRP - 10B. Date appeal filed exact flag Regulatory Action DRP - 10B. Date appeal filed explanation text Regulatory Action DRP - 10C. Are there any limitations or restrictions currently in effect while on appeal? Regulatory Action DRP - Explanation text if there are any limitations or restrictions while on appeal (Q.10C is Yes) Regulatory Action DRP - 11A. If Final or On Appeal, How was matter resolved? Regulatory Action DRP - Explanation text when resolution type (Q.11A) selected is 'Other'. Regulatory Action DRP - 11B. Resolution Date Regulatory Action DRP - 11B. Resolution Date Exact flag Regulatory Action DRP - 11B. Resolution Date explanation text Regulatory Action DRP - 12. Does the order constitute a final order based on violations of any laws or regulations that prohibit fraudulent, manipulative, or deceptive conduct? Regulatory Action DRP - 13A. Sanctions ordered: Bar (Permanent) Regulatory Action DRP - 13A. Sanctions ordered: Bar (Temporary/Time Limited) Regulatory Action DRP - 13A. Sanctions ordered: Cease and Desist Regulatory Action DRP - 13A. Sanctions ordered: Censure Regulatory Action DRP - 13A. Sanctions ordered: Civil and Administrative Penalty(ies)/Fine(s) Regulatory Action DRP - 13A. Sanctions ordered: Denial Regulatory Action DRP - 13A. Sanctions ordered: Disgorgement Regulatory Action DRP - 13A. Sanctions ordered: Expulsion Regulatory Action DRP - 13A. Sanctions ordered: Letter of Reprimand Regulatory Action DRP - 13A. Sanctions ordered: Monetary Penalty other than Fines Regulatory Action DRP - 13A. Sanctions ordered: Prohibition Regulatory Action DRP - 13A. Sanctions ordered: Requalification Regulatory Action DRP - 13A. Sanctions ordered: Rescission Regulatory Action DRP - 13A. Sanctions ordered: Restitution Regulatory Action DRP - 13A. Sanctions ordered: Revocation Regulatory Action DRP - 13A. Sanctions ordered: Suspension Regulatory Action DRP - 13A. Sanctions ordered: Undertaking Regulatory Action DRP - 13B. Other sanctions ordered Regulatory Action DRP - 14. Comment (Optional). You may use this field to provide a brief summary of the circumstances leading to the action as well as the current status or disposition and/or finding(s). Indication to specify if the disclosure is being inserted or updated. Regulatory Action DRP - 6. Product Type(s) Collection of Monetary sanctions on U4/U5 Regulatory Action DRP Regulatory Action Monetary sanction Unique number that identifies the Monetary sanction record Monetary Sanction - Monetary Related Sanction Type Monetary Sanction - Total Amount Monetary Sanction - Portion Levied against you Monetary Sanction - Payment Plan Monetary Sanction - Is Payment Plan Current? Monetary Sanction - Date Paid by you Monetary Sanction - Date Paid by you exact flag Monetary Sanction - Date Paid by you explanation text Monetary Sanction - Was any portion of penalty waived? Monetary Sanction - waived amount Indication to specify if the monetary sanction record is being inserted, updated or deleted. Collection of Requalification items on U4/U5 Regulatory Action DRP Regulatory Action Requalification Unique number that identifies the requalification item Requalification - Requalification Type Requalification - Length of time given to requalify/retrain Requalification - Type of Exam required Requalification - Has condition been satisfied? Requalification - Explanation Indication to specify if the monetary sanction record is being inserted, updated or deleted. Collection of Sanctions on U4/U5 Regulatory Action DRP Regulatory Action Sanction Unique number that identifies the sanction Sanction - Sanction Type Sanction - Registration Capacities affected Sanction - Duration Sanction - Duration exact flag Sanction - Duration explanation text Sanction - Start Date Sanction - Start Date Exact flag Sanction - Start Date explanation text Sanction - End Date Sanction - End Date excat flag Sanction - End Date explanation text Indication to specify if the sanction is being inserted, updated or deleted. Collection of U4 Customer Complaint DRPs U4 Customer Complaint DRP Unique number that identifies the disclosure Flag indicating Criminal DRP being filed in response to U4 disclosure question 14I(1)(a) Flag indicating Criminal DRP being filed in response to U4 disclosure question 14I(1)(b) Flag indicating Criminal DRP being filed in response to U4 disclosure question 14I(1)(c) Flag indicating Criminal DRP being filed in response to U4 disclosure question 14I(1)(d) Flag indicating Criminal DRP being filed in response to U4 disclosure question 14I(2)(a) Flag indicating Criminal DRP being filed in response to U4 disclosure question 14I(2)(b) Flag indicating Criminal DRP being filed in response to U4 disclosure question 14I(3)(a) Flag indicating Criminal DRP being filed in response to U4 disclosure question 14I(3)(b) Flag indicating Criminal DRP being filed in response to U4 disclosure question 14I(4)(a) Flag indicating Criminal DRP being filed in response to U4 disclosure question 14I(4)(b) Flag indicating Criminal DRP being filed in response to U4 disclosure question 14I(5)(a) Flag indicating Criminal DRP being filed in response to U4 disclosure question 14I(5)(b) Flag to indicate data on this U4 Criminal disclosure be used to satisfy firm’s reporting obligation pursuant to the applicable provision of FINRA Rule 4530(a)(1) Customer Complaint DRP - 1. Customer Name(s) Customer Complaint DRP - 2A. Customer(s) State of Residence Customer Complaint DRP - 2B. Other state(s) of residence/detail Customer Complaint DRP - 3. Employing Firm when activities occurred which led to the customer complaint, arbitration, CFTC reparation or civil litigation Customer Complaint DRP - 4. Allegation(s) and a brief summary of events related to the allegation(s) including dates when activities leading to the allegation(s) occurred Customer Complaint DRP - 6. Alleged Compensatory Damage Amount Customer Complaint DRP - 6. Alleged Compensatory Damage Amount Exact flag Customer Complaint DRP - 6. Alleged Compensatory Damage Amount Explanation text Customer Complaint DRP - 7A. Is this an oral complaint? Customer Complaint DRP - 7B. Is this a written complaint? Customer Complaint DRP - 7C. Is this an arbitration/CFTC reparation or civil litigation? Customer Complaint DRP - 7C(i). Arbitration/reparation forum or court name and location Customer Complaint DRP - 7C(ii). Docket/Case# Customer Complaint DRP - 7C(iii). Filing date of arbitration/CFTC reparation or civil litigation Customer Complaint DRP - 7D. Date received by/served on firm Customer Complaint DRP - 7D. Date received by/served on firm Exact flag Customer Complaint DRP - 7D. Date received by/served on firm Explanation text Customer Complaint DRP - 8. Is the complaint, arbitration/CFTC reparation or civil litigation pending? Customer Complaint DRP - 9. Status if the complaint, arbitration/CFTC reparation or civil litigation is not pending: Closed/No Action Customer Complaint DRP - 9. Status if the complaint, arbitration/CFTC reparation or civil litigation is not pending: Withdrawn Customer Complaint DRP - 9. Status if the complaint, arbitration/CFTC reparation or civil litigation is not pending: Denied Customer Complaint DRP - 9. Status if the complaint, arbitration/CFTC reparation or civil litigation is not pending: Settled Customer Complaint DRP - 9. Status if the complaint, arbitration/CFTC reparation or civil litigation is not pending: Arbitration Award/Monetary Judgment (for claimants/plaintiffs) Customer Complaint DRP - 9. Status if the complaint, arbitration/CFTC reparation or civil litigation is not pending: Arbitration Award/Monetary Judgment (for respondents/defendants) Customer Complaint DRP - 9. Status if the complaint, arbitration/CFTC reparation or civil litigation is not pending: Evolved into Arbitration/CFTC reparation (Individual is a named party) Customer Complaint DRP - 9. Status if the complaint, arbitration/CFTC reparation or civil litigation is not pending: Evolved into Civil litigation (Individual is a named party) Customer Complaint DRP - 10. Status Date Customer Complaint DRP - 10. Status Date exact flag Customer Complaint DRP - 10. Status Date explanation text Customer Complaint DRP - 11A. Settlement/Award/Monetary Judgment amount Customer Complaint DRP - 11B. Individual Contribution Amount Customer Complaint DRP - 12A. Arbitration/CFTC reparation claim filed with (FINRA, AAA, CFTC, etc.) Customer Complaint DRP - 12B. Docket/Case# Customer Complaint DRP - 12C. Date notice/process was served Customer Complaint DRP - 12C. Date notice/process was served Exact flag Customer Complaint DRP - 12C. Date notice/process was served Explanation text Customer Complaint DRP - 13. Is arbitration/ CFTC reparation pending? Customer Complaint DRP - 14. Disposition if Arbitration is not pending: Award to Applicant (Agent/Representative) Customer Complaint DRP - 14. Disposition if Arbitration is not pending: Award to Customer Customer Complaint DRP - 14. Disposition if Arbitration is not pending: Denied Customer Complaint DRP - 14. Disposition if Arbitration is not pending: Dismissed Customer Complaint DRP - 14. Disposition if Arbitration is not pending: Judgment (other than monetary) Customer Complaint DRP - 14. Disposition if Arbitration is not pending: No Action Customer Complaint DRP - 14. Disposition if Arbitration is not pending: Settled Customer Complaint DRP - 14. Disposition if Arbitration is not pending: Withdrawn Customer Complaint DRP - 14. Disposition if Arbitration is not pending: Other Explanation text when disposition (Q.14) selected is 'Other' Customer Complaint DRP - 15. Disposition Date Customer Complaint DRP - 15. Disposition Date Exact flag Customer Complaint DRP - 15. Disposition Date Explanation text Customer Complaint DRP - 16A. Monetary Compensation Details - Total Amount Customer Complaint DRP - 16B. Monetary Compensation Details - Individual Contribution amount Customer Complaint DRP - 17. Court in which case was filed, if the matter involves a civil litigation Explanation text when court type (Q.17) selected is 'Other' Customer Complaint DRP - 17A. Name of Court Customer Complaint DRP - 17B. of Court (City or County and State or Country) Customer Complaint DRP - 17C. Docket/Case # Customer Complaint DRP - 18. Date notice/process was served Customer Complaint DRP - 18. Date notice/process was served exact flag Customer Complaint DRP - 18. Date notice/process was served explanation text Customer Complaint DRP - 19. Is the civil litigation pending? Customer Complaint DRP - 20. Disposition (if the civil litigation is not Pending): Denied Customer Complaint DRP - 20. Disposition (if the civil litigation is not Pending): Dismissed Customer Complaint DRP - 20. Disposition (if the civil litigation is not Pending): Judgment (other than monetary) Customer Complaint DRP - 20. Disposition (if the civil litigation is not Pending): Monetary Judgment to Applicant (Agent/Representative) Customer Complaint DRP - 20. Disposition (if the civil litigation is not Pending): Monetary Judgment to Customer Customer Complaint DRP - 20. Disposition (if the civil litigation is not Pending): No Action Customer Complaint DRP - 20. Disposition (if the civil litigation is not Pending): Settled Customer Complaint DRP - 20. Disposition (if the civil litigation is not Pending): Withdrawn Customer Complaint DRP - 20. Disposition (if the civil litigation is not Pending): Other Explanation text when Disposition (Q.20) selected is 'Other' Customer Complaint DRP - 21. Disposition Date Customer Complaint DRP - 21. Disposition Date Exact flag Customer Complaint DRP - 21. Disposition Date Explanation text Customer Complaint DRP - 22A. Monetary Compensation Details Total Amount Customer Complaint DRP - 22B. Monetary Compensation Details - Individual Contribution Amount Customer Complaint DRP - 23A. Enter date appeal filed (If action is currently on appeal) Customer Complaint DRP - 23A. Enter date appeal filed Exact flag Customer Complaint DRP - 23A. Enter date appeal filed explantion text Customer Complaint DRP - 23B. Court appeal filed in Explanation text when court type (Q.23B) selected is 'Other' Customer Complaint DRP - 23B(i). Name of Court Customer Complaint DRP - 23B(ii). Location of Court (City or County and State or Country) Customer Complaint DRP - 23B(iii). Docket/Case # Customer Complaint DRP - 24. Comment (Optional). You may use this field to provide a brief summary of the circumstances leading to the customer complaint, arbitration/CFTC reparation and/or civil litigation as well as the current status or final disposition(s). Customer Complaint DRP - 5. Product types Indication to specify if the disclosure is being inserted or Updated. Allowed values for Initiator type on U4-Civil Judicial DRP (Q.1A) Regulatory Action DRP - Allowed values for Requalification type Regulatory Action DRP - Allowed values for Sanction type regulatory Action DRP - Allowed values for Monetary Related Sanction Type Regulatory Action DRP - Allowed values for Regulatory Action initiated by (Q.1A) Regulatory Action DRP - Allowed values for court type where action appealed to (Q.10A) Regulatory Action DRP - Allowed values for Resolution type code (Q.11A) criminal DRP - Allowed values for Criminal Charge(s), and amended Criminal Charge(s) Criminal DRP - Allowed values for Disposition of Charge(s), and Disposition of amended / reduced charge(s) Allowed values for disclosure current status code on U4-Civil Judicial DRP (Q.8), U4-Criminal DRP (Q.3), U5-Criminal DRP (Q.2) Allowed values for disclosure Resolution detail code on U4-Civil Judicial DRP (Q.11) Allowed values for Termination Type (Q.2) on U4 / U5 Termination DRP Allowed values for Disposition type on U4 Bankruptcy DRP (Q.6) Allowed values for Action Type on U4 Bankruptcy DRP (Q.1) Allowed values for Chapter type when Action Type (Q.1) selected is' Bankruptcy' on U4 Bankruptcy DRP Allowed values for court type on U4-Bankruptcy DRP (Q.4), U4-Judgement Lien DRP (Q.2) Allowed values for Regulator type code (Q.1A) on U4/U5 Investigation DRP Allowed values for Resolution type (Q.5B) on U4/U5 Investigation DRP Allowed Values for Product Type(s) on U4/U5-Termination DRP (Q.5), U4-Civil Judicial DRP (Q.4), U4/U5-Regulatory Action DRP (Q.6), U4/U5 Customer Complain DRP (Q.5) Annuity-Charitable Annuity-Fixed Annuity-Variable Banking Products (other than CDs) CD Commodity Option Debt-Asset Backed Debt-Corporate Debt-Government Debt-Municipal Direct Investment - DPP and LP Interests Derivative Equity Listed (Common and Preferred Stock) Equity-OTC Equipment Leasing Futures Commodity Futures-Financial Index Option Money Market Fund Mutual Fund No Product Insurance Investment Contract Oil and Gas Options Penny Stock Prime Bank Instrument Promissory Note Real Estate Security Security Futures Unit Investment Trust Viatical Settlement Other product Explanation text when product type selected is 'Other' Collection of U5 Internal Review DRPs U5 Internal Review DRP Unique number that identifies the disclosure Flag indicating Criminal DRP being filed in response to U5 disclosure question 7B Internal Review DRP - 1. Notice Received From (Name of firm initiating the internal review) Internal Review DRP - 2. Date internal review initiated Internal Review DRP - 2. Date internal review initiated exact flag Internal Review DRP - 2. Date internal review initiated explanation text Internal Review DRP - 3. Describe briefly the nature of the internal review. Internal Review DRP - 5A.Date internal review concluded Internal Review DRP - 5A.Date internal review concluded Exact flag Internal Review DRP - 5A.Date internal review concluded explanation text Internal Review DRP - 4. Is internal review pending? Internal Review DRP - 5B. How was internal review concluded (provide details of the conclusion)? Internal Review DRP - 6. Comment (Optional). You may use this field to provide a brief summary of the circumstances leading to the action, as well as the current status or final disposition. Internal Review DRP - Part II. Brief summary provided by Individual who is the subject of the internal review. Indication to specify if the disclosure is being updated or deleted. Collection of U5 Investigation DRPs U5 Investigation DRP Unique number that identifies the disclosure Flag indicating Criminal DRP being filed in response to U5 disclosure question 7A Investigation DRP - 1A. Investigation initiated by (Notice Received From - Regulator type) Investigation DRP - 1B. Full name of regulator that initiated the investigation Note: On both Initial and amended DRPs, 'InttrTx' must be provided only if the 'InttrTypeCd provided is any value other than 'SEC'. If value provided is 'SEC', this element must not be provided. Investigation DRP - 2. Notice Date Investigation DRP - 2. Notice Date exact flag Investigation DRP - 2. Notice Date explanation text Investigation DRP - 3. Describe briefly the nature of the investigation, if known Investigation DRP - 4. Is investigation pending? Investigation DRP - 5A. Date Closed/Resolved Investigation DRP - 5A. Date Closed/Resolved Exact Flag Investigation DRP - 5A. Date Closed/Resolved explanation text Investigation DRP - 5B. How was investigation resolved? Explanation text when resolution type (Q. 5B) selected is 'Other' Investigation DRP - 6. Comment (Optional). You may use this field to provide a brief summary of the circumstances leading to the investigation, as well as the current status or final disposition and/or finding(s). Indication to specify if the disclosure is being inserted or updated. Collection of U5 Termination DRPs U5 Termination DRP Unique number that identifies the disclosure Flag indicating Termination disclosure being filed in response to U5 disclosure question 7F(1) Flag indicating Termination disclosure being filed in response to U5 disclosure question 7F(2) Flag indicating Termination disclosure being filed in response to U5 disclosure question 7F(3) Termination DRP - 1. Firm Name Termination DRP - 2. Termination Type Termination DRP - 3. Termination Date Termination DRP - 3. Termination Date Excact Flag Termination DRP - 3. Termination Date Explanation text Termination DRP - 4. Allegation(s) Termination DRP - 5. Product Type(s) Termination DRP - 6. Comment (Optional). You may use this field to provide a brief summary of the circumstances leading to the termination. Indication to specify if the disclosure is being inserted or updated Collection of U5 Criminal DRPs U5 Criminal DRP Unique number that identifies the disclosure Flag indicating Criminal DRP being filed in response to U5 disclosure question 7C(1) Flag indicating Criminal DRP being filed in response to U5 disclosure question 7C(2) Flag indicating Criminal DRP being filed in response to U5 disclosure question 7C(3) Flag indicating Criminal DRP being filed in response to U5 disclosure question 7C(4) Criminal DRP - 1. Formal Action was brought in (Court type: Fedral, State, Military, Foreign or Other) Criminal DRP - Explanation text when Court type (Q.1) selected is 'Other'. Criminal DRP - 1A. Name of Court Criminal DRP - 1B. Location of Court (City or County and State or Country) Criminal DRP - 1C. Docket/Case# Criminal DRP - 2A. Current Status of the Event Criminal DRP - 2B. Event Status Date (complete unless status is pending) Criminal DRP - 2B. Event Status Date tExact flag Criminal DRP - 2B. Event Status Date Explanation text Criminal DRP - 3A. Date First Charged Criminal DRP - 3A. Date First Charged Exact flag Criminal DRP - 3A. Date First Charged explanation text Criminal DRP - 3C. Date of Disposition Criminal DRP - 3C. Date of Disposition Exact flag Criminal DRP - 4C. Date of Disposition explanation text Criminal DRP - 3D. Sentence/Penalty; Duration (if suspension, probation, etc): Start Date of Penalty; End date of Penalty; If Monetary penalty/fine – Amount paid; Date monetary/penalty fine paid; if not exact, provide explanation. Criminal DRP - 4. Comment (Optional). You may use this field to provide a brief summary of the circumstances leading to the charge(s) as well as the current status or final disposition Indication to specify if the disclosure is being inserted or updated. Collection of U5 Customer Complaint DRPs U5 Customer Complaint DRP Unique number that identifies the disclosure Flag indicating Criminal DRP being filed in response to U5 disclosure question 7E(1)(a) Flag indicating Criminal DRP being filed in response to U5 disclosure question 7E(1)(b) Flag indicating Criminal DRP being filed in response to U5 disclosure question 7E(1)(c) Flag indicating Criminal DRP being filed in response to U5 disclosure question 7E(1)(d) Flag indicating Criminal DRP being filed in response to U5 disclosure question 7E(2)(a) Flag indicating Criminal DRP being filed in response to U5 disclosure question 7E(2)(b) Flag indicating Criminal DRP being filed in response to U5 disclosure question 7E(3)(a) Flag indicating Criminal DRP being filed in response to U5 disclosure question 7E(3)(b) Flag indicating Criminal DRP being filed in response to U5 disclosure question 7E(4)(a) Flag indicating Criminal DRP being filed in response to U5 disclosure question 7E(4)(b) Flag indicating Criminal DRP being filed in response to U5 disclosure question 7E(5)(a) Flag indicating Criminal DRP being filed in response to U5 disclosure question 7E(5)(b) Customer Complaint DRP - 1. Customer Name(s) Customer Complaint DRP - 2A. Customer(s) State of Residence Customer Complaint DRP - 2B. Other state(s) of residence/detail Customer Complaint DRP - 3. Employing Firm when activities occurred which led to the customer complaint, arbitration, CFTC reparation or civil litigation Customer Complaint DRP - 4. Allegation(s) and a brief summary of events related to the allegation(s) including dates when activities leading to the allegation(s) occurred Customer Complaint DRP - 6. Alleged Compensatory Damage Amount Customer Complaint DRP - 6. Alleged Compensatory Damage Amount Exact flag Customer Complaint DRP - 6. Alleged Compensatory Damage Amount Explanation text Customer Complaint DRP - 7A. Is this an oral complaint? Customer Complaint DRP - 7B. Is this a written complaint? Customer Complaint DRP - 7C. Is this an arbitration/CFTC reparation or civil litigation? Customer Complaint DRP - 7C(i). Arbitration/reparation forum or court name and location Customer Complaint DRP - 7C(ii). Docket/Case# Customer Complaint DRP - 7C(iii). Filing date of arbitration/CFTC reparation or civil litigation Customer Complaint DRP - 7D. Date received by/served on firm Customer Complaint DRP - 7D. Date received by/served on firm Exact flag Customer Complaint DRP - 7D. Date received by/served on firm Explanation text Customer Complaint DRP - 8. Is the complaint, arbitration/CFTC reparation or civil litigation pending? Customer Complaint DRP - 9. Status if the complaint, arbitration/CFTC reparation or civil litigation is not pending: Closed/No Action Customer Complaint DRP - 9. Status if the complaint, arbitration/CFTC reparation or civil litigation is not pending: Withdrawn Customer Complaint DRP - 9. Status if the complaint, arbitration/CFTC reparation or civil litigation is not pending: Denied Customer Complaint DRP - 9. Status if the complaint, arbitration/CFTC reparation or civil litigation is not pending: Settled Customer Complaint DRP - 9. Status if the complaint, arbitration/CFTC reparation or civil litigation is not pending: Arbitration Award/Monetary Judgment (for claimants/plaintiffs) Customer Complaint DRP - 9. Status if the complaint, arbitration/CFTC reparation or civil litigation is not pending: Arbitration Award/Monetary Judgment (for respondents/defendants) Customer Complaint DRP - 9. Status if the complaint, arbitration/CFTC reparation or civil litigation is not pending: Evolved into Arbitration/CFTC reparation (Individual is a named party) Customer Complaint DRP - 9. Status if the complaint, arbitration/CFTC reparation or civil litigation is not pending: Evolved into Civil litigation (Individual is a named party) Customer Complaint DRP - 10. Status Date Customer Complaint DRP - 10. Status Date exact flag Customer Complaint DRP - 10. Status Date explanation text Customer Complaint DRP - 11A. Settlement/Award/Monetary Judgment amount Customer Complaint DRP - 11B. Individual Contribution Amount Customer Complaint DRP - 12A. Arbitration/CFTC reparation claim filed with (FINRA, AAA, CFTC, etc.) Customer Complaint DRP - 12B. Docket/Case# Customer Complaint DRP - 12C. Date notice/process was served Customer Complaint DRP - 12C. Date notice/process was served Exact flag Customer Complaint DRP - 12C. Date notice/process was served Explanation text Customer Complaint DRP - 13. Is arbitration/ CFTC reparation pending? Customer Complaint DRP - 14. Disposition if Arbitration is not pending: Award to Applicant (Agent/Representative) Customer Complaint DRP - 14. Disposition if Arbitration is not pending: Award to Customer Customer Complaint DRP - 14. Disposition if Arbitration is not pending: Denied Customer Complaint DRP - 14. Disposition if Arbitration is not pending: Dismissed Customer Complaint DRP - 14. Disposition if Arbitration is not pending: Judgment (other than monetary) Customer Complaint DRP - 14. Disposition if Arbitration is not pending: No Action Customer Complaint DRP - 14. Disposition if Arbitration is not pending: Settled Customer Complaint DRP - 14. Disposition if Arbitration is not pending: Withdrawn Customer Complaint DRP - 14. Disposition if Arbitration is not pending: Other Explanation text when disposition (Q.14) selected is 'Other' Customer Complaint DRP - 15. Disposition Date Customer Complaint DRP - 15. Disposition Date Exact flag Customer Complaint DRP - 15. Disposition Date Explanation text Customer Complaint DRP - 16A. Monetary Compensation Details - Total Amount Customer Complaint DRP - 16B. Monetary Compensation Details - Individual Contribution amount Customer Complaint DRP - 17. Court in which case was filed, if the matter involves a civil litigation Explanation text when court type (Q.17) selected is 'Other' Customer Complaint DRP - 17A. Name of Court Customer Complaint DRP - 17B. of Court (City or County and State or Country) Customer Complaint DRP - 17C. Docket/Case # Customer Complaint DRP - 18. Date notice/process was served Customer Complaint DRP - 18. Date notice/process was served exact flag Customer Complaint DRP - 18. Date notice/process was served explanation text Customer Complaint DRP - 19. Is the civil litigation pending? Customer Complaint DRP - 20. Disposition (if the civil litigation is not Pending): Denied Customer Complaint DRP - 20. Disposition (if the civil litigation is not Pending): Dismissed Customer Complaint DRP - 20. Disposition (if the civil litigation is not Pending): Judgment (other than monetary) Customer Complaint DRP - 20. Disposition (if the civil litigation is not Pending): Monetary Judgment to Applicant (Agent/Representative) Customer Complaint DRP - 20. Disposition (if the civil litigation is not Pending): Monetary Judgment to Customer Customer Complaint DRP - 20. Disposition (if the civil litigation is not Pending): No Action Customer Complaint DRP - 20. Disposition (if the civil litigation is not Pending): Settled Customer Complaint DRP - 20. Disposition (if the civil litigation is not Pending): Withdrawn Customer Complaint DRP - 20. Disposition (if the civil litigation is not Pending): Other Explanation text when Disposition (Q.20) selected is 'Other' Customer Complaint DRP - 21. Disposition Date Customer Complaint DRP - 21. Disposition Date Exact flag Customer Complaint DRP - 21. Disposition Date Explanation text Customer Complaint DRP - 22A. Monetary Compensation Details Total Amount Customer Complaint DRP - 22B. Monetary Compensation Details - Individual Contribution Amount Customer Complaint DRP - 23A. Enter date appeal filed (If action is currently on appeal) Customer Complaint DRP - 23A. Enter date appeal filed Exact flag Customer Complaint DRP - 23A. Enter date appeal filed explantion text Customer Complaint DRP - 23B. Court appeal filed in Explanation text when court type (Q.23B) selected is 'Other' Customer Complaint DRP - 23B(i). Name of Court Customer Complaint DRP - 23B(ii). Location of Court (City or County and State or Country) Customer Complaint DRP - 23B(iii). Docket/Case # Customer Complaint DRP - 24. Comment (Optional). You may use this field to provide a brief summary of the circumstances leading to the customer complaint, arbitration/CFTC reparation and/or civil litigation as well as the current status or final disposition(s). Customer Complaint DRP - 5. Product types Indication to specify if the disclosure is being inserted or Updated. Collection of U5 Regulatory Action DRPs U5 Regulatory Action DRP Unique number that identifies the disclosure Flag indicating regulatory Action DRP being filed in response to U5 disclosure question 7A Flag indicating regulatory Action DRP being filed in response to U5 disclosure question 7D Regulatory Action DRP - 1A. Regulatory Action initiated by Regulatory Action DRP - 1B. Full name of regulator that initiated the action Note: On both Initial and amended DRPs, 'InttrTx' must be provided only if the 'InttrTypeCd provided is any value other than 'SEC'. If value provided is 'SEC', this element must not be provided. Regulatory Action DRP - 2. Sanction(s) Sought: Bar Regulatory Action DRP - 2. Sanction(s) Sought: Cease and Desist Regulatory Action DRP - 2. Sanction(s) Sought: Censure Regulatory Action DRP - 2. Sanction(s) Sought: Civil and Administrative Penalty(ies)/Fine(s) Regulatory Action DRP - 2. Sanction(s) Sought: Denial Regulatory Action DRP - 2. Sanction(s) Sought: Disgorgement Regulatory Action DRP - 2. Sanction(s) Sought: Expulsion Regulatory Action DRP - 2. Sanction(s) Sought: Monetary Penalty other than Fines Regulatory Action DRP - 2. Sanction(s) Sought: Prohibition Regulatory Action DRP - 2. Sanction(s) Sought: Reprimand Regulatory Action DRP - 2. Sanction(s) Sought: Requalification Regulatory Action DRP - 2. Sanction(s) Sought: Rescission Regulatory Action DRP - 2. Sanction(s) Sought: Restitution Regulatory Action DRP - 2. Sanction(s) Sought: Undertaking Regulatory Action DRP - 2. Sanction(s) Sought: Revocation Regulatory Action DRP - 2. Sanction(s) Sought: Suspension Regulatory Action DRP - 2. Sanction(s) Sought: Other Regulatory Action DRP - Explanation text when Sanction(s) Sought (Q.2) selected is 'Other' Regulatory Action DRP - 3. Date Initiated Regulatory Action DRP - 3. Date Initiated Exact flag IRegulatory Action DRP - 3. Date Initiated Explanation text Regulatory Action DRP - 4. Docket/Case # Regulatory Action DRP - 5. Employing Firm when activity occurred which led to the regulatory action Regulatory Action DRP - 7. Describe the allegations related to this regulatory action Regulatory Action DRP - 8. Current Status (Pending, On Appeal, or Final) Regulatory Action DRP - 9. If pending, are there any limitations or restrictions currently in effect? Regulatory Action DRP - Explanation text if there are any limitations or restrictions while the action is pending (Q.9 is Yes) Regulatory Action DRP - 10A. if on appeal, action appealed to (court type) Regulatory Action DRP - Explanation text if coutry type (Q.10A) selected is 'other' Regulatory Action DRP - 10B. Date appeal filed Regulatory Action DRP - 10B. Date appeal filed exact flag Regulatory Action DRP - 10B. Date appeal filed explanation text Regulatory Action DRP - 10C. Are there any limitations or restrictions currently in effect while on appeal? Regulatory Action DRP - Explanation text if there are any limitations or restrictions while on appeal (Q.10C is Yes) Regulatory Action DRP - 11A. If Final or On Appeal, How was matter resolved? Regulatory Action DRP - Explanation text when resolution type (Q.11A) selected is 'Other'. Regulatory Action DRP - 11B. Resolution Date Regulatory Action DRP - 11B. Resolution Date Exact flag Regulatory Action DRP - 11B. Resolution Date explanation text Regulatory Action DRP - 12A. Sanctions ordered: Bar (Permanent) Regulatory Action DRP - 12A. Sanctions ordered: Bar (Temporary/Time Limited) Regulatory Action DRP - 12A. Sanctions ordered: Cease and Desist Regulatory Action DRP - 12A. Sanctions ordered: Censure Regulatory Action DRP - 12A. Sanctions ordered: Civil and Administrative Penalty(ies)/Fine(s) Regulatory Action DRP - 12A. Sanctions ordered: Denial Regulatory Action DRP - 12A. Sanctions ordered: Disgorgement Regulatory Action DRP - 12A. Sanctions ordered: Expulsion Regulatory Action DRP - 12A. Sanctions ordered: Letter of Reprimand Regulatory Action DRP - 12A. Sanctions ordered: Monetary Penalty other than Fines Regulatory Action DRP - 12A. Sanctions ordered: Prohibition Regulatory Action DRP - 12A. Sanctions ordered: Requalification Regulatory Action DRP - 12A. Sanctions ordered: Rescission Regulatory Action DRP - 12A. Sanctions ordered: Restitution Regulatory Action DRP - 12A. Sanctions ordered: Revocation Regulatory Action DRP - 12A. Sanctions ordered: Suspension Regulatory Action DRP - 12A. Sanctions ordered: Undertaking Regulatory Action DRP - 12B. Other sanctions ordered Regulatory Action DRP - 13. Comment (Optional). You may use this field to provide a brief summary of the circumstances leading to the action as well as the current status or disposition and/or finding(s). Regulatory Action DRP - 12C. Did the action result in a finding of a willful violation or failure to supervise? Regulatory Action DRP - 12C(1). willfully violated any provision of Acts, rules or regulations? Regulatory Action DRP - 12C(2). willfully aided, abetted, counseled, commanded, induced, or procured the violation by any person of any provision? Regulatory Action DRP - 12C(3). failed reasonably to supervise another person subject to the individual's supervision Indication to specify if the disclosure is being inserted or updated. Regulatory Action DRP - 6. Product Type(s)