©2023 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 2023.02 (last updated on 02/10/2023) Change History 12/30/2022 - Changed element type for "individualCRDNumber" to "xs:int". 12/30/2022 - Added minOccurs="0" maxOccurs="1" to applicable fields. 01/27/2023 - Updated the default namespace for the XSD 02/10/2023 - Added possible values to "requirementStatusCodeForYearType", "requirementStatusDescForYear", "iaCeStatusCode", and "iaCeStatusDesc". Continuing education statuses for investment advisors. The date of this report generation. Represents the CRD number of firm. The CRD Number of an individual. The last name of an individual. The first name of an individual. The Products and Practices Credits Completed by an individual for a year. The Total Credits Completed by an individual for a year. The requirement status code of an individual for a year. As of 01/01/2023 the possible values for "requirementStatusCodeForYear" are "INCOMPLETE", "NOTREQUIRED", and "COMPLETE". The requirement status description of an individual for a year. As of 01/01/2023 the possible values for "requirementStatusDescForYear" are "Incomplete", "Not Required", and "Complete". The Ethics and Professional Responsibility (EPR) Credits Completed by an individual for a year. The current Investment Adviser Continuing Education status code associated with an individual. As of 01/01/2023 the possible values for "iaCeStatusCode" are "REQUIRED", "NOTREQUIRED", "SATISFIED", "INACTIVE", "FAILTORENEW" and "TERMED". Year of Investment Adviser Continuing Education for an individual. The current Investment Adviser Continuing Education status description associated with an individual. As of 01/01/2023 the possible values for "iaCeStatusDesc" are "IARCE Required ", "IARCE Not Required", "IARCE Satisfied", "IARCE Inactive", "IARCE Fail to Renew" and "IARCE Termed".