©2024 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 2024.10 (last updated 10/08/2024) Change History 10/08/2024 - Update CE status code documentation to include "NOTREQUIRED" effective 10/26/24 Continuing education courses for broker dealers. The date of this report was generated. The CRD Number of an individual. The last name of an individual. The first name of an individual. Flag to indicate whether the individual's CE requirement is deferred due to military service. As of 01/01/2023 the possible values for "militaryDeferredFlag" are "YES" and "NO" The date the individual’s military service began. Indicates whether or not annual verification of military service was received. As of 01/01/2023 the possible values for "militaryAnnualVerificationReceivedFlag" are "YES" and "NO" Represents the CRD number of firm. Individual’s billing code. The date the individual’s employment with the firm began. Flag to indicate if the individual is a new hire to the firm or not. As of 01/01/2023 the possible values for "newHireFlag" are "YES" and "NO" Year of Annual Continuing Education requirement for an individual. The current Annual Continuing Education status code for an individual. As of 10/26/2024 the possible values for "ceStatusCode" are "NOCESTATUS", "REQUIRED", "SATISFIED", "CEINACTIVE", "TWOYEARTERMED", "CE2YEARTERMED", and "NOTREQUIRED". The current Annual Continuing Education status description for an individual. As of 10/26/2024 the possible values for "ceStatusDesc" are "No CE Status", "Required", "Satisfied", "CE Inactive", "2 Year Termed", "CE 2 Year Termed" and "Not Required". The date that an individual's status was updated. The date on which an individual's status CE Inactive switched to CE Inactive. The date on which an individual is or will be CE 2-Year Termed. The due date of a course to an individual for a year. The assigned date of a course to an individual for a year. The course id assigned to an individual for a year. The name of the course assigned to an individual for a year. The status code of a course assigned to an individual for a year. As of 01/01/2023 the possible values for "courseStatusCode" are "ASSIGNED", "IN_PROGRESS", "COMPLETE", "NOT_REQUIRED" and "FAILED_TO_COMPLETE" The status description of a course assigned to an individual for a year. As of 01/01/2023 the possible values for "courseStatusDesc" are "Assigned", "In Progress", "Complete", "No Longer Required" and "No Longer Available"