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Version: Release 2021.12 (last updated on 11/11/2015) The POST BRANCH DEFICIENCIES data download provides a list of outstanding current deficiencies for branches at the requesting firm. The Criteria describes the selection criteria used to in processing this feed. The Branch Offices node contains a collection of Branch Office Status Changes within the requesting firm. The Criteria describes the selection criteria used in processing this feed. Firm CRD # for processing this feed. Reporting date for processing this feed (YYYY-MM-DD). The Branch Offices node contains a collection of Branch Office Status Changes within the requesting firm. The Branch Office node contains one of many Branch Office Status Change within the requesting firm. The Branch Office node contains one of many Branch Office Status Change within the requesting firm. The Address node contains common address information. The OtherNames node contains a collection of names that the branch is using. The Deficiencies node contains branch deficiencies. The branch number assigned by CRD system to identify the branch office The branch code number of the branch office. The firm billing code of this branch office. The FINRA District to which the branch office is assigned. The current branch operational status. The OtherNames node contains a collection of names that the branch is using. The Other Name node contains one of many other names. The Deficiencies node contains branch deficiencies. The Deficiency node contains branch deficiencies. The Branch Deficiency code. The Branch Deficiency Date (YYYY-MM-DD). The Branch deficiency details. The Address node contains common address information. The street1 details. The street2 details. The city details. The state details. The country details. The Postal Code details. The current branch operational status type. Allowed values(code-description) are: ACTV-Active NACTV-Inactive The Branch Deficiency code. Allowed values(code-description) are: PNDNGFIRM-Pending Firm OSJNOSPRVEMPLT-A listed OSJ Supervisor is no longer associated with that OSJ Branch OSJNOSPRV-A listed OSJ Branch has no valid OSJ Supervisor OSJNACTV-A listed OSJ Branch is inactive NYSESPRVPICQUALS-A listed Supervisor or Person-in-Charge for NYSE Branch is no longer qualified NYSEPRNCPLSPRVQUALS-NYSE Branch Supervisor(s) no longer holds principal position NYSEPRNCPLOSJSPRVQL-NYSE OSJ Supervisor(s) no longer holds principal position NYSEOSJSPRVQUALS-NYSE OSJ Supervisor is no longer qualified NOSPRVPIC-The only listed Supervisor or Person-in-Charge is no longer with Branch FUNDS-Funds FINRASPRVPICQUALS-A listed Supervisor or Person-in-Charge for FINRA Branch is no longer qualified FINRAPRNCPLSPRVQUALS-FINRA Branch Supervisor(s) no longer holds FINRA principal position FINRAPRNCPLOSJSPRVQL-FINRA OSJ Supervisor(s) no longer holds FINRA principal position FINRAOSJSPRVQUALS-FINRA OSJ Supervisor is no longer qualified The following Branch Deficiency codes have been retired/renamed. NYSERGLRSPRVQUALS-NYSE Regular Branch Supervisor no longer qualified NYSERGLRNOSPRVEMPLT-NYSE Regular Branch Supervisor no longer employed by that Regular Branch's parent Firm NYSERGLRNOSPRV-NYSE Regular Branch Supervisor no longer with that Regular Branch NYSERGLRNACTV-NYSE Regular Branch is inactive FINRAOSJNOSPRVEMPLT-FINRA OSJ Supervisor no longer employed by that OSJ Branch's Firm FINRAOSJNOSPRV-FINRA OSJ Supervisor no longer with that OSJ Branch FINRAOSJNACTV-FINRA OSJ is inactive The branch deficiency details. Allowed values(code-description) are: PNDNGFIRM-The branch office request made on Form BR filing {1} on {2}, generated a PENDINGFIRM deficiency because the firm is not approved with {3}. OSJNOSPRVEMPLT-Individual {4} listed as OSJ supervisor is no longer associated with the listed OSJ Branch {5} or firm. File a Form BR amendment to change the OSJ Supervisor or the OSJ Branch details. OSJNOSPRV-The OSJ Supervisor(s) previously listed are no longer associated with the OSJ Branch {5}. File a Form BR amendment to change the OSJ Supervisor or the OSJ Branch details. OSJNACTV-The listed OSJ Branch {5} is no longer valid. File a Form BR Amendment to change the OSJ Branch details. NYSESPRVPICQUALS-Individual {4} listed as Supervisor/PIC no longer holds necessary NYSE registration needed to be qualified as a branch Supervisor/PIC. Either file a Form BR amendment to remove this individual from the Supervisor/PIC list or file a Form U4 to request a NYSE registration. NYSEPRNCPLSPRVQUALS-None of the supervisors listed for this branch hold the necessary principal registration. Either file a Form BR amendment to change the supervisor details or file a Form U4 for one of the existing supervisors to request the necessary registrations. NYSEPRNCPLOSJSPRVQL-None of the supervisors at the listed OSJ Branch {5} hold the necessary principal registration. File a Form BR amendment to change the OSJ Supervisor or OSJ branch details. NYSEOSJSPRVQUALS-Individual {4} listed as OSJ Supervisor at OSJ branch {5} no longer holds necessary NYSE registration needed to be qualified as a OSJ Supervisor. File a Form BR amendment to change the OSJ Supervisor or OSJ Branch details. NOSPRVPIC-There is no Supervisor/PIC listed for this branch. File a Form BR amendment to add at least one Supervisor/PIC FUNDS-The branch office request made on Form BR filing {1} on {2}, with {3} generated a FUNDS deficiency because the firm has insufficient funds in their account to process the request. FINRASPRVPICQUALS-Individual {4} listed as Supervisor/PIC no longer holds necessary FINRA registration needed to be qualified as a branch Supervisor/PIC. Either file a Form BR amendment to remove this individual from the Supervisor/PIC list or file a Form U4 to request a FINRA registration. FINRAPRNCPLSPRVQUALS-None of the supervisors listed for this branch hold the necessary FINRA principal registration. Either file a Form BR amendment to change the supervisor details or file a Form U4 for one of the existing supervisors to request the necessary registrations. FINRAPRNCPLOSJSPRVQL-None of the supervisors at the listed OSJ Branch {5} hold the necessary FINRA principal registration. File a Form BR amendment to change the OSJ Supervisor or the OSJ Branch details. FINRAOSJSPRVQUALS-Individual {4} listed as OSJ Supervisor at OSJ branch {5} no longer holds necessary FINRA registration needed to be qualified as a OSJ Supervisor. File a Form BR amendment to change the OSJ Supervisor or OSJ Branch details. The state code type 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 The FINRA District codes to which the branch office is assigned. Allowed values(code-description) are: 10NY-10-New York 11BO-11-Boston 14UN-Unknown District 1SF-1-San Francisco 2LA-2-Los Angeles 3DE-3-Denver 3SE-3-Seattle 4KC-4-Kansas City 5NO-5-New Orleans 6DA-6-Dallas 7AT-7-Atlanta 8CH-8-Chicago 9PH-9-Philadelphia 9WB-9-Woodbridge FLD-Florida 10LI-10-Long Island