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Version: Release 2025.04.12 (last updated on 04/01/2025) Change History 04/01/2025 - Renamed NYSE-CHI to NYSE-TEX The POST DEFICIENCIES report provides a list of outstanding current deficiencies holding up registration approvals for representatives employed by the requesting firm. The Criteria describes the selection criteria used to in processing this feed. The Deficiencies node contains a collection of Deficiency nodes describing outstanding current deficiencies holding up registration approvals for representatives employed by 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). Indicates whether SSN would be included in the report. The Deficiencies node contains a collection of Deficiency nodes describing outstanding current deficiencies holding up registration approvals for representatives employed by the requesting firm. The Deficiency node contains one of many outstanding current deficiencies holding up registration approvals for representatives employed by the requesting firm. The Deficiency node contains one of many outstanding current deficiencies holding up registration approvals for representatives employed by the requesting firm. The Name node contains common name information. Representative's Employment Billing Code. Individual's CRD #. Individual's Social Security #. The deficiency code. The exam code. Regulator Code. Representative Registration Category/Position with the Regulator. The date the deficiency was created. Date and time the current registration status was updated. The individual's last name. The individual's first name. The individual's middle name. The individual's suffix. The deficiency code. Allowed values(code-description) are: CEINCTV-CE Inactive DUAL_RGSTN-Dual Registration EXAM-Exam 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 DUAL_RGSTN_RA_AG-Dual Registration RA/AG FINRA-FINRA AR-AR Registration FA-FA Registration FINRA-IF-FINRA-IF The exam code. Allowed values(code-description) are: SIE S3-S3 S4-S4 S5-S5 S6-S6 S6TO-S6TO S7-S7 S7TO-S7TO S7A-S7A S7B-S7B S9-S9 S10-S10 S11-S11 S12-S12 S14-S14 S14A-S14A S15-S15 S16-S16 S17-S17 S19-S19 (New Exam Effective 2016_04) S21-S21 S22-S22 S22TO-S22TO S23-S23 S24-S24 S25-S25 (Expired on 2016_04) S26-S26 S27-S27 S28-S28 S30-S30 S31-S31 S32-S32 S33-S33 S34-S34 S37-S37 S38-S38 S39-S39 S42-S42 S44-S44 S45-S45 S46-S46 S48-S48 S49-S49 S50-S50 S51-S51 S52-S52 S52TO-S52TO S53-S53 S54-S54 (effective 11/04/2019) S55-S55 S56-S56 S57-S57 S57TO-S57TO S62-S62 S63-S63 S65-S65 S66-S66 S72-S72 S79-S79 S79TO-S79TO S82-S82 S82TO-S82TO S86-S86 S87-S87 S99-S99 S99TO-S99TO S101-S101 S106-S106 S201-S201 S501-S501 S901-S901 G43-G43 G51-G51 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 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 MIAX SAPPHIRE-MIAX Sapphire 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 Individual's Registration Status with the Regulator. Allowed values(code-description) are: APPRNT-Approved Pending Prints APPROVED-APPROVED APPROVED_RES-Restricted Approval CE_INACTIVE-Inactive - Continuing Education INACTIVE_PRINTS-Inactive - Prints REQUAL-Requalification SUSPENSION-Suspended TEMPREG-Temporary Registration APRSLTS-Approved Pending Results APP_PEND_IARCE - Approved - Pending IAR CE 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 Representative DP-Direct Participation Program Principal DR-Direct Participation Program Representative ET-Equity Trader FA-Foreign Associate FE-Floor Employee FI-Introducing Broker-Dealer/Financial and Operations Principal FN-Financial and Operations Principal GP-General Securities Principal GS-Full Registration/General Securities Representative IE-United Kingdom - Limited General Securities Registered Representative 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-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 Floor Broker MM-Market Maker Authorized Trader-Options RP-Research Principal SC-Specialist Clerk TA-Trading Assistant (Expired on 2016_04) PR-Limited Representative - Private Securities Offerings RA-Investment Advisor Representative MT-Market Maker Authorized Trader-Equities OT-Authorized Trader (Expired on 2016_04) IB-Investment Banking Representative OS-Operations Professional CT-Securities Trader Compliance Officer (name effective 01/04/2016) PT-Proprietary Trader TP-Securities Trader Principal (name effective 01/04/2016) TD-Securities Trader (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)