©2025 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 2025.04.12 (last updated on 04/01/2025) Change History: 04/01/2025 - Renamed NYSE-CHI to NYSE-TEX 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 four nodes: Composite, Fingerprint Information, 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). Yes - Indicates exam qualifies for a registration currently held and may qualify for one or more eligible registrations not currently held. No - Indicates the exam no longer qualifies a person for a registration because the period of validity has ended. Absence of 'exmValidFl' indicates validity is not calculated and not applicable due to exam status being other than "Passed" (Ex; Failed, Withdrawn etc.) or because the exam does not qualify for any registration in CRD (Ex: S3, S50 etc.). Validity is also not calculated for Series 66 exam, because there is more than one registration category (AG, RA) associated with it. Indicates the exam remains eligible for registration if sought before the date listed. Attribute is not provided for exams that are currently held, exams that are already expired, or exams for which validity is not calculated (see 'exmValidFl' above). 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. Include whether or not the exam is valid If the exam is valid, indicates the exam expiration date 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_09) 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 NOTREQUIRED-Not Required 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 U4RSLRSPNS - RSL Data Fix 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 IARCE_INACTIVE - IAR CE Inactive PNDNG - Pending Firm Approval PSTN - Position: Prerequisite Deficiency SRR_RVW - Disclosure Review SUSP - Firm Suspended Status The Exam Code. Allowed values(Code-Description) are: SIE-SIE 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 S19-S19 (New Exam effective 2016_04) S201-S201 S501-S501 S901-S901 S22-S22 S22TO-S22TO 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 S52TO-S52TO S53-S53 S54-S54 (effective 11/04/2019) S55-S55 S56-S56 S57-S57 S57TO-S57TO S6-S6 S6TO-S6TO S62-S62 S63-S63 S65-S65 S66-S66 S7-S7 S7TO-S7TO S72-S72 S23-S23 S9-S9 S82-S82 S82TO-S82TO S50-S50 S51-S51 S86-S86 S87-S87 S44-S44 S45-S45 S46-S46 S7A-S7A S7B-S7B S21-S21 S25-S25 (Expired on 2016_04) S79-S79 S79TO-S79TO S99-S99 S99TO-S99TO 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 S54FN-S54FN 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 CREDIT - Credit EVEP_CREDIT - EVEP Credit 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 SDNO-No BLNK-Blank SDDND-Yes - Denied SDRQRSRVW-Requires Review SDSPNSN - Suspension SDYESAPRVLDNLPNDNG - Yes - Approval/Denial Pending SDYESAPRVDTIER1 - Yes-Approved- Tier 1 SDYESAPRVDTIER2 - Yes-Approved-Tier 2 SDYESAPRVDTIER3 - Yes-Approved-Tier 3 SDYESLTD - Yes-Limited SDYESLTDTIER3-Yes - Limited-Tier 3 SDYESSOX - Yes-SOX SDYESSOXTIER3 - Yes-SOX-Tier 3 SDYESSOXAPRVLDNLPNDNG - Yes-SOX Approval/Denial Pending SDYESSOXAPRVDTIER1-Yes - SOX Approved - Tier 1 SDYESSOXAPRVDTIER3-Yes - SOX Approved - Tier 3 SDYES - Yes SDYESWLLFL - Yes-Willful SDYESWLLFLTIER3-Yes - Willful - Tier 3 SDYESWLLFLAPRVLDNLPNDNG - Yes-Willful Approval/Denial Pending SDYESWLLFLAPRVDTIER1-Yes - Willful Approved - Tier 1 SDYESWLLFLAPRVDTIER3-Yes - Willful Approved - Tier 3 Regulator Code. Allowed values(Code-Description) are: FINRA-FINRA NYSE-AMER - NYSE American LLC BX-Nasdaq BX, Inc. CBOE - Cboe Exchange, Inc. NYSE-TEX - NYSE Texas, Inc. NYSE-NAT - NYSE National, Inc. NYSE-New York Stock Exchange PHLX-Nasdaq PHLX LLC NYSE-ARCA - NYSE Arca, Inc. ISE-Nasdaq ISE, LLC NQX-Nasdaq Stock Market CBOE BZX - Cboe BZX Exchange, Inc. CBOE BYX - Cboe BYX Exchange, Inc. BOX - BOX Exchange LLC CBOE EDGA - Cboe EDGA Exchange, Inc. CBOE EDGX - Cboe EDGX Exchange, Inc. MIAX EMERALD-MIAX Emerald, LLC MIAX OPTIONS-Miami International Securities Exchange, LLC MIAX PEARL-MIAX PEARL, LLC MIAX SAPPHIRE-MIAX Sapphire CBOE C2 - Cboe C2 Exchange, Inc. ISE GEMX-Nasdaq GEMX, LLC ISE MRX-Nasdaq MRX, LLC IEX-Investors' Exchange LLC LTSE-Long-Term Stock Exchange, Inc. MEMX-MEMX 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 (Expired on 2016_04) PR-Limited Representative-Prvt Scrts Ofrngs RA-Investment Advisor Representative MT-Market Maker Authorized Trader-Equities OT-Authorized Trader (Expired on 2016_04) 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-Securities Trader Compliance Officer (name change effective 01/04/2016) PT-Proprietary Trader TP-Securities Trader Principal (name change effective 01/04/2016) TD-Securities Trader (new position effective 01/04/2016) FL-Floor Clerk - Equities (new position effective 2016_04) BP-Investment Banking Principal (new position effective 2018_10) PO-Private Securities Offerings Principal (new position effective 2018_10) CR-Compliance Officer (new position effective 2018_10) OM-Options Member (new position effective 2018_10) 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 APP_PEND_IARCE - Approved - Pending IAR CE IAR_FTR - IAR CE Fail to Renew 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