©2022 Financial Industry Regulatory Authority, Inc. (FINRA). All rights reserved. Materials may not be reprinted or republished without the express permission of FINRA. This document contains FINRA Confidential and Proprietary information. FINRA provides this information to member firms only for the firms' internal assessment or use of the FINRA CRD Batch Filing and Data Download transfer program. Any other use is strictly prohibited by FINRA. FINRA reserves the right to seek all injunctive and equitable relief available to it in the event FINRA Confidential or Proprietary information is released to a third party by a member firm. A firm's use of this document demonstrates its acknowledgement that this document contains FINRA Confidential and Proprietary information, agreement that the firm will not reprint, republish or otherwise disclose this information to any third party and its agreement that FINRA may protect its rights, including but not limited to intellectual property rights. Version: Release 2022.12 (last updated on 08/28/2019) The POST ENROLLMENTS report contains information about a firm's representative's exam enrollments or exam enrollment window changes for a specified date. All exam enrollments, including voluntary Continuing Education sessions are reported. The Criteria describes the selection criteria used to in processing this feed. The Enrollments node contains a collection firm representative's exam enrollments. 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 Enrollments node contains a collection firm representative's exam enrollments. The Enrollment node contains one of many firm's representative's exam enrollments. The Name node contains common name information. The enrollment ID for this exam or session. Representative's Employment Billing Code. Individual's CRD #. Individual's Social Security #. The exam code. The Exam Status. The window begin date (YYYY-MM-DD). The window end date (YYYY-MM-DD). The individual's last name. The individual's first name. The individual's middle name. The individual's suffix. The exam code. Allowed values(code-description) are: SIE-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 The Exam Status. Allowed values(code-description) for Scheduled exams are: DEVELOPED_NEED-Developed A Need REQUESTED-Request SCHEDULED-Scheduled FUNDS_DEFICIENT-Funds Deficient Allowed values(code-description) for Continuing Education sessions are: REQUIRED-Required CEINACTIVE-CE Inactive SATISFIED-Satisfied