{"datasetGroup":"REGISTRATION","datasetName":"PREREGISTRATIONINDIVIDUALMOCK","description":"The Pre-registration Individual dataset enables firms to automate the due diligence portion of their hiring processes by providing them with information about their candidates. The dataset can only be queried by submitting at minimum one of the following combination of data points on the individual: (date of birth AND social security number) OR (date of birth AND last name) OR (date of birth AND first name).  If all four of the data points are provided, they will be used in the same order as the paired combinations just listed","fields":[{"name":"individualCrdNumber","type":"Number","description":"Individual's CRD ID number."},{"name":"firstName","type":"String","description":"Individual's primary first name."},{"name":"middleName","type":"String","description":"Individual's primary middle name."},{"name":"lastName","type":"String","description":"Individual's primary last name."},{"name":"suffixName","type":"String","description":"Individual's primary suffix"},{"name":"statutoryDisqualificationCode","type":"String","description":"The individual’s statutory disqualification status or type if the individual is associated in any business or financial activity with any person who is subject to a statutory disqualification"},{"name":"militaryDeferredFlag","type":"String","description":"This flag indicates whether individual's CE requirement has been deferred due to military service."},{"name":"statutoryDisqualificationStatusDate","type":"String","description":"Date on which the individual’s statutory disqualification became effective"},{"name":"personalInformation.countryOfBirthCode","type":"String","description":"Code for the individual’s country of birth."},{"name":"personalInformation.stateOfBirthCode","type":"String","description":"Code for the individual’s state of birth."},{"name":"personalInformation.stateProvinceOfBirthCode","type":"String","description":"Code for the individual’s state or province of birth."},{"name":"disclosures.occurrenceNumber","type":"String","description":"Uniquely identifier of a disclosure event. Occurrences numbers are created during the disclosure review process and as such, multiple DRPs can be related to a single event"},{"name":"disclosures.disclosureTypeCode","type":"String","description":"Code that defines the type of disclosure."},{"name":"disclosures.reportableFlag","type":"String","description":"This indicates whether or not the occurrence is reportable. The setting on this field is used in VOI to determine if and where (Current Disclosures or Reg Archive Disclosures) the occurrence should be displayed."},{"name":"disclosures.publiclyDisclosableFlag","type":"String","description":"This flag indicates whether the record is Eligible for Public Disclosure. This applies to Archived Disclosures and indicates whether or not an archived, customer complaint/arbitration/civil litigation occurrence may be eligible to be disclosed through the FINRA BrokerCheck Program"},{"name":"disclosures.archiveReasonType","type":"String","description":"Reason for archiving."},{"name":"disclosures.questionAnsweredText","type":"String","description":"List of disclosure questions answered yes."},{"name":"disclosures.eventDate","type":"String","description":"The date on which the event that required disclosure occurred."},{"name":"disclosureFilings.eventDate","type":"String","description":"The date on which the event that required disclosure occurred."},{"name":"disclosureFilings.formTypeCode","type":"String","description":"Code for the type of form on which the disclosure was submitted; U4, U5, U6, BD."},{"name":"disclosureFilings.filingNumber","type":"Number","description":"An unique number through which all records related to a particular filing are identified."},{"name":"disclosureFilings.filingDate","type":"Number","description":"The filing date for the form filing ID associated with the disclosure."},{"name":"disclosureFilings.filedByRegulatorCode","type":"Number","description":"The Code of the regulator that submitted the Filing on which the disclosure was reported."},{"name":"disclosureFilings.filedByFirmCrdNumber","type":"Number","description":"The CRD# of the organization that submitted the Filing on which the disclosure was reported."},{"name":"disclosureFilings.occurrenceNumber","type":"String","description":"Uniquely identifier of a disclosure event. Occurrences numbers are created during the disclosure review process and as such, multiple DRPs can be related to a single event"},{"name":"otherNames.firstName","type":"String","description":"The individual's other first name."},{"name":"otherNames.lastName","type":"String","description":"The individual's other last name."},{"name":"otherNames.middleName","type":"String","description":"The individual's other middle name."},{"name":"otherNames.suffixName","type":"String","description":"The individual's other suffix."},{"name":"outsideBusinessFlag","type":"String","description":"A flag to indicate if the individual conducts business outside of the registered firm."},{"name":"otherBusiness","type":"String","description":"This describes the business conducted by the individual outside of the registered firm. It includes: the name and address of the other business; the nature of the other business, including whether it is investmentrelated; the position, title, or association with the other business, including duties; the start date of the relationship with the other business; the approximate number of hours per month devoted to the other business; and the number of hours devoted to the other business during securities trading hours."},{"name":"investmentAdvisorAffiliations.affiliationType","type":"String","description":"Identifies the type of IA affiliation."},{"name":"investmentAdvisorAffiliations.affiliationFirmCrdNumber","type":"String","description":"The CRD ID for the affiliated IA firm."},{"name":"investmentAdvisorAffiliations.affiliationFirmName","type":"String","description":"The name of the affiliated IA firm."},{"name":"professionalDesignations.designationTypeCode","type":"String","description":"The individual's professional designation type code."},{"name":"professionalDesignations.designationTypeName","type":"String","description":"The individual's professional designation type name."},{"name":"professionalDesignations.designationAuthorityName","type":"String","description":"The name of the organization that grants the professional designation to the individual e.g. CFP awarded by Certified Financial Planner Board of Standards."},{"name":"professionalDesignations.firstFilingDate","type":"String","description":"The date of the first filing of the individual's professional designation."},{"name":"professionalDesignations.lastFilingDate","type":"String","description":"The date of the most recent filing of the individual's professional designation."},{"name":"professionalDesignations.firstFilingType","type":"String","description":"The type of form used for the last filing."},{"name":"professionalDesignations.lastFilingType","type":"String","description":"The type of last filing of the designation."},{"name":"professionalDesignations.firstFormTypeCode","type":"String","description":"The code for the form U4 filing type that lists the designation of the individual."},{"name":"professionalDesignations.lastFormTypeCode","type":"String","description":"The type of form used for the last filing in which the designation of the individual is listed."},{"name":"residentialLocations.addressStartDate","type":"String","description":"Start date of individual residency at the address."},{"name":"residentialLocations.addressEndDate","type":"String","description":"End date of individual residency at the address."},{"name":"residentialLocations.addressLine1","type":"String","description":"Residence street address – line 1."},{"name":"residentialLocations.addressLine2","type":"String","description":"Residence street address – line 2."},{"name":"residentialLocations.cityName","type":"String","description":"Residence city."},{"name":"residentialLocations.stateCode","type":"String","description":"Residence state."},{"name":"residentialLocations.postalCode","type":"String","description":"Residence postal code."},{"name":"residentialLocations.countryCode","type":"String","description":"Residence country code."},{"name":"registrations.filingDate","type":"String","description":"The date the registration filing occurred."},{"name":"registrations.registrationCategoryCode","type":"String","description":"The code for the registered individual's position."},{"name":"registrations.registrationStatusCode","type":"String","description":"Individual's registration status code."},{"name":"registrations.registrationBeginDate","type":"String","description":"The date the registration began."},{"name":"registrations.registrationEndDate","type":"String","description":"The date the individual's registration ended."},{"name":"registrations.statusEffectiveDate","type":"String","description":"The date the registration became effective."},{"name":"registrations.regulatorCode","type":"String","description":"The regulator code assigned to the individual's registrationn"},{"name":"deficiencies.firmCrdNumber","type":"Number","description":"CRD number of firm associated with the deficiency"},{"name":"deficiencies.examCode","type":"String","description":"The specific exam codes if the deficiency type is Exam."},{"name":"deficiencies.registrationCategoryCode","type":"String","description":"The registration category associated with registration deficiency."},{"name":"deficiencies.regulatorCode","type":"String","description":"Regulator code for the regulator associated with the registration deficiency."},{"name":"deficiencies.deficiencyCleared","type":"String","description":"Flag the indicates whether a deficiency has been cleared."},{"name":"deficiencies.deficiencyDescription","type":"String","description":"A detailed description of the deficiency."},{"name":"deficiencies.registrationDeficiencyClearedTimestamp","type":"String","description":"Date and time when the deficiency was cleared."},{"name":"deficiencies.registrationDeficiencyCreatedTimestamp","type":"String","description":"Date and time when the record of the deficiency was created."},{"name":"employments.firmCrdNumber","type":"String","description":"Employing firm's CRD number"},{"name":"employments.isActive","type":"String","description":"Flag to indicated whether the individual’s employment is active or not."},{"name":"employments.individualBillingCode","type":"String","description":"The billing code associated with the individual."},{"name":"employments.employmentStartDate","type":"String","description":"Date employment started."},{"name":"employments.employmentEndDate","type":"String","description":"Date employment ended."},{"name":"employments.employmentTypeCode","type":"String","description":"Employment Type Code."},{"name":"employments.independentContractorFlag","type":"String","description":"Flag indicating whether the person is an independent contractor."},{"name":"employments.terminationReasonDescription","type":"String","description":"This is the description of the reason for termination."},{"name":"employments.terminationReasonExplanation","type":"String","description":"This is the explanation of the reason for termination."},{"name":"employments.dualInvestmentAdvisorFlag","type":"String","description":"Flag indicating that the individual is registered as an investment advisor with two unaffiliated firms."},{"name":"employments.firmAddress.addressLine1","type":"String","description":"Address line 1 of a location"},{"name":"employments.firmAddress.addressLine2","type":"String","description":"Address line 2 of a location"},{"name":"employments.firmAddress.cityName","type":"String","description":"City name of a location"},{"name":"employments.firmAddress.stateName","type":"String","description":"State name of a location"},{"name":"employments.firmAddress.postalCode","type":"String","description":"Postal code of a location"},{"name":"employments.firmName","type":"String","description":"Name of the firm"},{"name":"branchOfficeLocations.branchCrdNumber","type":"String","description":"CRD number of the registered branch"},{"name":"branchOfficeLocations.nonRegisteredBranchIdentifier","type":"String","description":"CRD number of the non-registered branch"},{"name":"branchOfficeLocations.firmCrdNumber","type":"String","description":"Firm CRD Number"},{"name":"branchOfficeLocations.registeredLocationFlag","type":"String","description":"Flag to denote whether the branch is a registered location or not."},{"name":"branchOfficeLocations.branchAddress.addressLine1","type":"String","description":"Branch street address – line 1"},{"name":"branchOfficeLocations.branchAddress.addressLine2","type":"String","description":"Branch street address – line 2"},{"name":"branchOfficeLocations.branchAddress.cityName","type":"String","description":"Branch city name."},{"name":"branchOfficeLocations.branchAddress.stateCode","type":"String","description":"Branch state code."},{"name":"branchOfficeLocations.branchAddress.postalCode","type":"String","description":"Branch postal code."},{"name":"branchOfficeLocations.branchAddress.countryCode","type":"String","description":"Branch country."},{"name":"branchOfficeLocations.officeLocationType","type":"String","description":"Branch type indicator."},{"name":"branchOfficeLocations.officeLocationStartDate","type":"String","description":"The date individual started working at the branch office."},{"name":"branchOfficeLocations.officeLocationEndDate","type":"String","description":"The date individual stopped working at the branch office."},{"name":"branchOfficeLocations.branchBillingCode","type":"String","description":"The branch billing code."},{"name":"branchOfficeLocations.privateResidenceFlag","type":"String","description":"Flag to indicate whether the branch location is a private residence"},{"name":"nonIndustryEmployments.firmName","type":"String","description":"The name of the non-investment related organization that employed the individual."},{"name":"nonIndustryEmployments.employmentStartDate","type":"String","description":"Date employment started at an organization that is not investment related."},{"name":"nonIndustryEmployments.employmentEndDate","type":"String","description":"Date employment ended at an organization that is not investment related."},{"name":"nonIndustryEmployments.investmentRelatedIndicator","type":"String","description":"Flag to indicated whether the individual is employed by an organization that is not investment related."},{"name":"nonIndustryEmployments.positionDescription","type":"String","description":"Description of the position held by the individual at a non-investment related organization."},{"name":"nonIndustryEmployments.address.cityName","type":"String","description":"Name of the city where the non-investment related firm that employed the individual is located."},{"name":"nonIndustryEmployments.address.stateCode","type":"String","description":"Code for the state where the non-investment related firm that employed the individual is located."},{"name":"ceStatus","type":"String","description":"The current CE status associated with an individual."},{"name":"ceStatusDate","type":"String","description":"The date associated with current CE Status."},{"name":"ceSessions.windowBeginDate","type":"String","description":"The begin date of CE window. The individual is required to complete the CE starting from this date."},{"name":"ceSessions.windowEndDate","type":"String","description":"The end date of CE window. The individual is required to complete the CE by this date."},{"name":"ceSessions.nextWindowBeginDate","type":"String","description":"The begin date of next CE window. The individual is required to complete the next CE starting from this date."},{"name":"ceSessions.gradeCode","type":"String","description":"The code for exam grade for the exam completed by the individual."},{"name":"ceSessions.sessionTypeCode","type":"String","description":"The code of the CE session targeted to the particular set of registrations an individual holds."},{"name":"ceSessions.militaryDeferredFlag","type":"String","description":"This flag indicates whether individual's CE requirement has been deferred due to military service."},{"name":"ceSessions.requirementType","type":"String","description":"The CE requirement type."},{"name":"ceSessions.appointmentStatusCode","type":"String","description":"The Individual's CE appointment status code."},{"name":"ceSessions.appointmentProgress","type":"String","description":"The Progress of the individual's CE Training."},{"name":"ceSessions.onlineLastAccessedDate","type":"String","description":"The date individual last accessed online CE for this session."},{"name":"ceInactiveHistory.fromDate","type":"String","description":"Date from which the individual was CE inactive."},{"name":"ceInactiveHistory.toDate","type":"String","description":"Date when the individual stopped being CE inactive."},{"name":"cePreviousRequirements.windowBeginDate","type":"String","description":"The begin date of CE window. The individual is required to complete the CE starting from this date."},{"name":"cePreviousRequirements.windowEndDate","type":"String","description":"The end date of CE window. The individual is required to complete the CE by this date."},{"name":"cePreviousRequirements.gradeCode","type":"String","description":"Code indicating the Continuing Education (CE) Session Grade associated with this record."},{"name":"cePreviousRequirements.ceSessionTimePeriodCode","type":"String","description":"Code indicating the Continuing Education (CE) session time period associated with this record."},{"name":"cePreviousRequirements.sessionTypeCode","type":"String","description":"The code of the CE session targeted to the particular set of registrations an individual holds."},{"name":"cePreviousRequirements.militaryDeferredFlag","type":"String","description":"This flag indicates whether individual's CE requirement has been deferred due to military service."},{"name":"cePreviousRequirements.requirementType","type":"String","description":"The CE requirement type."},{"name":"exams.appointmentDate","type":"String","description":"The individual's exam appointment date."},{"name":"exams.appointmentStatusCode","type":"String","description":"The individual's exam appointment status code."},{"name":"exams.testCenterCity","type":"String","description":"The city where the test center is located."},{"name":"exams.testCenterCountryName","type":"String","description":"The country where the test center is located."},{"name":"exams.testCenterState","type":"String","description":"The state where the test center is located."},{"name":"exams.vendor","type":"String","description":"The individual's exam appointment test vendor."},{"name":"exams.ConfirmationNumber","type":"String","description":"Individual's Proctor exam appointment confirmation number"},{"name":"exams.examCode","type":"String","description":"The code for an exam taken by an individual."},{"name":"exams.examGradeCode","type":"String","description":"The code for exam grade for the exam completed by the individual."},{"name":"exams.examStatus","type":"String","description":"The status of the exam completed by the individual."},{"name":"exams.examStatusDate","type":"String","description":"The date the exam status was created."},{"name":"exams.examTakenDate","type":"String","description":"The date the exam was last taken by the individual."},{"name":"exams.examValidityFlag","type":"String","description":"Flag to indicate if this exam can be included for exam validity evaluation."},{"name":"exams.examValidityStatus","type":"String","description":"The validity status for an exam taken by an individual."},{"name":"exams.examValidityUntilDate","type":"String","description":"The validity date for an exam taken by an individual."},{"name":"exams.examPersonIdentifier","type":"String","description":"Unique identifier assigned to the individual taking the exam."},{"name":"exams.examScore","type":"String","description":"The score for the exam completed by the individual."},{"name":"exams.waiverReasonCode","type":"String","description":"Code indicating the waiver reason type."},{"name":"exams.waiverReasonName","type":"String","description":"The name of the waiver reason type"},{"name":"exams.windowBeginDate","type":"String","description":"The begin date of exam window. The individual is required to complete the exams starting from this date."},{"name":"exams.windowEndDate","type":"String","description":"The end date of exam window. The individual is required to complete the exam by this date."}]}