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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 PENDING report provides information on those representatives having a "pending" registration for any regulator (SRO or State) who are employed by the requesting firm as of the report day. The Criteria describes the selection criteria used to in processing this feed. The PendingRegistrations node contains a collection of representatives having a "pending" registration for any regulator (SRO or State) who are employed by the requesting firm as of the report day. 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 PendingRegistrations node contains a collection of representatives having a "pending" registration for any regulator (SRO or State) who are employed by the requesting firm as of the report day. The PendingRegistration node contains one of many representatives having a "pending" registration for any regulator (SRO or State) who are employed by the requesting firm as of the report day. The PendingRegistration node contains one of many representatives having a "pending" registration for any regulator (SRO or State) who are employed by the requesting firm as of the report day. The Name node contains common name information. Representative's Employment Billing Code. Individual's CRD #. Individual's Social Security #. The U4 Filing Date (YYYY-MM-DD). 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. Regulator Code. Allowed values(code-description) are: SEC-United States Securities and Exchange Commission 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 GU-Guam 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)