©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 09/03/2013) The POST FINGERPRINT report provides a list of fingerprint statuses for individuals employed by the requesting firm. The Criteria describes the selection criteria used to in processing this feed. The Fingerprints node contains a collection of Fingerprint nodes describing fingerprint statuses for individuals 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 Fingerprints node contains a collection of Fingerprint nodes describing fingerprint statuses for individuals employed by the requesting firm. The Fingerprint node contains one of many fingerprint statuses for individuals by the requesting firm. The Fingerprint node contains one of many fingerprint statuses for individuals by the requesting firm. The Name node contains common name information. Individual's CRD #. Individual's Social Security #. Individual's Fingerprint Barcode Number. The fingerprint status codes. Individual's Fingerprint Status Date (YYYY-MM-DD). The registration type. The individual's last name. The individual's first name. The individual's middle name. The individual's suffix. The fingerprint status codes. 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 registration type. Allowed values(code-description) are: Registered - Registered Representative N/R - Not Registered Fingerprint Person