{"datasetGroup":"REGISTRATION","datasetName":"PREREGISTRATIONINDIVIDUALV2MOCK","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":"dateOfBirth","type":"String","description":"individual dateOfBirth"},{"name":"individualCrdNumber","type":"Number","description":"The unique identifier assigned to an individual by the Central registration Depository"},{"name":"drpTermination.200905.drpIdentifierDetails.disclosureIdentifier","type":"Number","description":"Unique number that identifies a disclosure. Will be the same if Disclosure Reporting Page (DRP) is ammended."},{"name":"drpTermination.200905.drpIdentifierDetails.occurrenceIdentifier","type":"Number","description":"Unique identifier of the occurrence associated with this disclosure."},{"name":"drpTermination.200905.drpIdentifierDetails.filingIdentifier","type":"Number","description":"The unique identifier assigned to the current filing associated with this disclosure."},{"name":"drpTermination.200905.reportableFlag","type":"Boolean","description":"Flag set during disclosure review indicating whether the occurrence is reportable."},{"name":"drpTermination.200905.formU4Termination.terminationAllegation","type":"String","description":"Description of the allegations related to this termination, as specified on Termination Disclosure Reporting Page"},{"name":"drpTermination.200905.formU4Termination.employingFirmName","type":"String","description":"Name of the firm where the individual's employment was terminated, as specified on Termination Disclosure Reporting Page for U4 or U5 (Q1)."},{"name":"drpTermination.200905.formU4Termination.productTypeOtherText","type":"String","description":"Describes the product type that applies to this disclosure when the product type is flagged as Other, as specified on Termination Disclosure Reporting Page for U4 or U5 (Q5)."},{"name":"drpTermination.200905.formU4Termination.terminationTypeCode","type":"String","description":"Code indicating the type of the termination, as specified on Termination Disclosure Reporting Page for U4 or U5 (Q2). Valid Values: DISCHARGED, PERMITRESIGN, VOLUNTARYRESIGN."},{"name":"drpTermination.200905.formU4Termination.disclosureEventDateDetails.date","type":"String","description":"Termination date in YYYY-MM-DD format"},{"name":"drpTermination.200905.formU4Termination.disclosureEventDateDetails.exactDate","type":"Boolean","description":"Flag indicating that the date is exact and not estimated or approximated."},{"name":"drpTermination.200905.formU4Termination.disclosureEventDateDetails.dateExplanation","type":"String","description":"Explanation, if date is not exact."},{"name":"drpTermination.200905.formU4Termination.terminationU4DisclosureQuestionSelection","type":"String","description":"Indicates the Form U4 disclosure question(s) that are applicable to this termination disclosure reporting page (DRP)."},{"name":"drpTermination.200905.formU4Termination.commentText","type":"String","description":"You may use this field to provide a brief summary of the circumstances leading to the termination. Your information must fit within the space provided."},{"name":"drpTermination.200905.formU4Termination.productType","type":"String","description":"Product Type Details"},{"name":"drpTermination.200905.disclosureVersion","type":"String","description":"Version of Disclosure Reporting Page (DRP). Values include 05/2009 and 10/2005"},{"name":"drpTermination.200905.id","type":"String","description":"Unique identifier for items in a collection. It is in UUID version 4 format."},{"name":"drpTermination.200905.baseline","type":"Boolean","description":"Field that identifies any value in a collection as baseline"},{"name":"drpTermination.200905.discloseToPublicFlag","type":"Boolean","description":"flag indicating if this is disclosed to public"},{"name":"drpTermination.200510.drpIdentifierDetails.disclosureIdentifier","type":"Number","description":"Unique number that identifies a disclosure. Will be the same if Disclosure Reporting Page (DRP) is ammended."},{"name":"drpTermination.200510.drpIdentifierDetails.occurrenceIdentifier","type":"Number","description":"Unique identifier of the occurrence associated with this disclosure."},{"name":"drpTermination.200510.drpIdentifierDetails.filingIdentifier","type":"Number","description":"The unique identifier assigned to the current filing associated with this disclosure."},{"name":"drpTermination.200510.reportableFlag","type":"Boolean","description":"Flag set during disclosure review indicating whether the occurrence is reportable."},{"name":"drpTermination.200510.formU4Termination.terminationAllegation","type":"String","description":"Description of the allegations related to this termination, as specified on Termination Disclosure Reporting Page"},{"name":"drpTermination.200510.formU4Termination.employingFirmName","type":"String","description":"Name of the firm where the individual's employment was terminated, as specified on Termination Disclosure Reporting Page for U4 or U5 (Q1)."},{"name":"drpTermination.200510.formU4Termination.productTypeOtherText","type":"String","description":"Describes the product type that applies to this disclosure when the product type is flagged as Other, as specified on Termination Disclosure Reporting Page for U4 or U5 (Q5)."},{"name":"drpTermination.200510.formU4Termination.terminationTypeCode","type":"String","description":"Code indicating the type of the termination, as specified on Termination Disclosure Reporting Page for U4 or U5 (Q2). Valid Values: DISCHGD, PERMTRES, VOLUNTRY."},{"name":"drpTermination.200510.formU4Termination.disclosureEventDateDetails.date","type":"String","description":"Termination date in YYYY-MM-DD format"},{"name":"drpTermination.200510.formU4Termination.disclosureEventDateDetails.exactDate","type":"Boolean","description":"Flag indicating that the date is exact and not estimated or approximated."},{"name":"drpTermination.200510.formU4Termination.disclosureEventDateDetails.dateExplanation","type":"String","description":"Explanation, if date is not exact."},{"name":"drpTermination.200510.formU4Termination.terminationU4DisclosureQuestionSelection","type":"String","description":"Indicates the Form U4 disclosure question(s) that are applicable to this termination disclosure reporting page (DRP)."},{"name":"drpTermination.200510.formU4Termination.commentText","type":"String","description":"You may use this field to provide a brief summary of the circumstances leading to the termination. Your information must fit within the space provided."},{"name":"drpTermination.200510.formU4Termination.productType","type":"String","description":"Product Type Details"},{"name":"drpTermination.200510.disclosureVersion","type":"String","description":"Version of Disclosure Reporting Page (DRP). Values include 05/2009 and 10/2005"},{"name":"drpTermination.200510.id","type":"String","description":"Unique identifier for items in a collection. It is in UUID version 4 format."},{"name":"drpTermination.200510.baseline","type":"Boolean","description":"Field that identifies any value in a collection as baseline"},{"name":"drpTermination.200510.discloseToPublicFlag","type":"Boolean","description":"flag indicating if this is disclosed to public"},{"name":"drpCivilJudicial.200905.drpIdentifierDetails.disclosureIdentifier","type":"Number","description":"Unique number that identifies a disclosure. Will be the same if Disclosure Reporting Page (DRP) is ammended."},{"name":"drpCivilJudicial.200905.drpIdentifierDetails.occurrenceIdentifier","type":"Number","description":"Unique identifier of the occurrence associated with this disclosure."},{"name":"drpCivilJudicial.200905.drpIdentifierDetails.filingIdentifier","type":"Number","description":"The unique identifier assigned to the current filing associated with this disclosure."},{"name":"drpCivilJudicial.200905.reportableFlag","type":"Boolean","description":"Flag set during disclosure review indicating whether the occurrence is reportable."},{"name":"drpCivilJudicial.200905.disclosureVersion","type":"String","description":"Version of Disclosure Reporting Page (DRP). Values include 05/2009 and 10/2005"},{"name":"drpCivilJudicial.200905.formU4CivilJudicial.courtCaseNumber","type":"String","description":"The court docket or case number"},{"name":"drpCivilJudicial.200905.formU4CivilJudicial.orderedSanctionType","type":"String","description":"Sanctions Ordered or Relief Granted?"},{"name":"drpCivilJudicial.200905.formU4CivilJudicial.sanctionMonetaryDetails.sanctionMonetaryCollectedDateDetails.date","type":"String","description":"Date the monetary-related sanction was paid for this civil judicial action, as specified on Civil Judicial Disclosure Reporting Page for U4 in YYYY-MM-DD format"},{"name":"drpCivilJudicial.200905.formU4CivilJudicial.sanctionMonetaryDetails.sanctionMonetaryCollectedDateDetails.exactDate","type":"Boolean","description":"Flag indicating that the date is exact and not estimated or approximated."},{"name":"drpCivilJudicial.200905.formU4CivilJudicial.sanctionMonetaryDetails.sanctionMonetaryCollectedDateDetails.dateExplanation","type":"String","description":"Explanation, if date is not exact."},{"name":"drpCivilJudicial.200905.formU4CivilJudicial.sanctionMonetaryDetails.sanctionMonetaryCollectedAmount","type":"String","description":"Total amount collected from the individual for the monetary-related sanction, as specified on U4 - Civil Judicial Disclosure Reporting Page (Q12.D)."},{"name":"drpCivilJudicial.200905.formU4CivilJudicial.sanctionMonetaryDetails.sanctionMonetarySequenceNumber","type":"Number","description":"Sequence number identifying each monetary sanction, as specified on U4 - Civil Judicial Disclosure Reporting Page (Q12.C). This question will only be populated if civil judicial action status is Final or On Appeal and sanction type is Injunction."},{"name":"drpCivilJudicial.200905.formU4CivilJudicial.sanctionMonetaryDetails.monetarySanctionTypeOtherText","type":"String","description":"Description of monetary sanction, as specified on U4 or U6 - Civil Judicial Disclosure Reporting Page"},{"name":"drpCivilJudicial.200905.formU4CivilJudicial.sanctionMonetaryDetails.sanctionMonetaryWaivedAmount","type":"String","description":"Amount waived for the monetary-related sanction, as specified on U4 - Civil Judicial Disclosure Reporting Page (Q12.D)."},{"name":"drpCivilJudicial.200905.formU4CivilJudicial.sanctionMonetaryDetails.monetarySanctionType","type":"String","description":"Monetary-related sanctions ordered for the civil judicial action described in this disclosure, as specified on Civil Judicial Disclosure Reporting Page for U4 (12.D). Valid Values: MONETARYFINE, DISGORGEMENT, RESTITUTION, OTHER."},{"name":"drpCivilJudicial.200905.formU4CivilJudicial.sanctionMonetaryDetails.id","type":"String","description":"Sequence number identifying each monetary sanction, as specified on U4 - Civil Judicial Disclosure Reporting Page (Q12.C). This question will only be populated if civil judicial action status is Final or On Appeal and sanction type is Injunction."},{"name":"drpCivilJudicial.200905.formU4CivilJudicial.sanctionMonetaryDetails.sanctionMonetaryTotalAmount","type":"String","description":"Total amount ordered for the monetary-related sanction, as specified on U4 - Civil Judicial Disclosure Reporting Page (Q12.D)."},{"name":"drpCivilJudicial.200905.formU4CivilJudicial.sanctionMonetaryDetails.sanctionMonetaryWaivedFlag","type":"Boolean","description":"Indicates if any portion of the monetary-related sanction was waived for this civil judicial action, as specified on U4 - Civil Judicial Disclosure Reporting Page"},{"name":"drpCivilJudicial.200905.formU4CivilJudicial.courtTypeCode","type":"String","description":"Code indicating the type of court. Values include FEDRL, STATE, FORGN, MLTRY, OTHER."},{"name":"drpCivilJudicial.200905.formU4CivilJudicial.disclosureEventDetailText","type":"String","description":"Description of the allegations related to this civil judicial action, as specified on Civil Judicial Disclosure Reporting Page U4 (Q7)."},{"name":"drpCivilJudicial.200905.formU4CivilJudicial.commentText","type":"String","description":"You may use this field to provide a brief summary of the circumstances leading to the action as well as the current status or final disposition and/or findings. Your information must fit within the space provided."},{"name":"drpCivilJudicial.200905.formU4CivilJudicial.courtName","type":"String","description":"Name of Court (Federal, State, Foreign or Other)"},{"name":"drpCivilJudicial.200905.formU4CivilJudicial.employingFirmName","type":"String","description":"Name of the firm where the individual's employment was terminated, as specified on Termination Disclosure Reporting Page for U4 or U5 (Q1)."},{"name":"drpCivilJudicial.200905.formU4CivilJudicial.productTypeOtherText","type":"String","description":"Describes the product other than the principal product that apply to this civil judicial action, as specified on U4 - Civil Judicial Disclosure Reporting Page (Q4)."},{"name":"drpCivilJudicial.200905.formU4CivilJudicial.soughtReliefSanctionType","type":"String","description":"Relief type sought for the civil judicial action described in this disclosure, as specified on Civil Judicial Disclosure Reporting Page for U4 (Q2). This will only indicate the principal relief sought."},{"name":"drpCivilJudicial.200905.formU4CivilJudicial.civilJudicialU4DisclosureQuestionSelection","type":"String","description":"Indicates the Form U4 disclosure question(s) that are applicable to this civil judicial disclosure reporting page"},{"name":"drpCivilJudicial.200905.formU4CivilJudicial.noticeServedDateDetails.date","type":"String","description":"Date notice/process was served for the civil judicial action, as specified on Civil Judicial Disclosure Reporting Page in YYYY-MM-DD format."},{"name":"drpCivilJudicial.200905.formU4CivilJudicial.noticeServedDateDetails.exactDate","type":"Boolean","description":"Flag indicating that the date is exact and not estimated or approximated."},{"name":"drpCivilJudicial.200905.formU4CivilJudicial.noticeServedDateDetails.dateExplanation","type":"String","description":"Explanation, if date is not exact."},{"name":"drpCivilJudicial.200905.formU4CivilJudicial.sanctionInjunctionDetails.sanctionDurationExplanation","type":"String","description":"Reason if date is not exact"},{"name":"drpCivilJudicial.200905.formU4CivilJudicial.sanctionInjunctionDetails.injunctionStartDateDetails.date","type":"String","description":"Start date of the injunction for this civil judicial action, as specified on Civil Judicial Disclosure Reporting Page for U4 in YYYY-MM-DD format."},{"name":"drpCivilJudicial.200905.formU4CivilJudicial.sanctionInjunctionDetails.injunctionStartDateDetails.exactDate","type":"Boolean","description":"Flag indicating that the date is exact and not estimated or approximated."},{"name":"drpCivilJudicial.200905.formU4CivilJudicial.sanctionInjunctionDetails.injunctionStartDateDetails.dateExplanation","type":"String","description":"Explanation, if date is not exact."},{"name":"drpCivilJudicial.200905.formU4CivilJudicial.sanctionInjunctionDetails.sanctionDurationText","type":"String","description":"Describes the length of time the sanction shall be in effect, as specified on Regulatory Action Disclosure Reporting Page"},{"name":"drpCivilJudicial.200905.formU4CivilJudicial.sanctionInjunctionDetails.sanctionCapacitiesAffectedText","type":"String","description":"Describes the length of time the injunction shall be in effect, as specified on U4 - Civil Judicial Disclosure Reporting Page (Q12.C). This question will only be populated if civil judicial action status is Final or On Appeal and sanction type is Injunction."},{"name":"drpCivilJudicial.200905.formU4CivilJudicial.sanctionInjunctionDetails.id","type":"String","description":"Sequence number identifying each injunction, as specified on U4 - Civil Judicial Disclosure Reporting Page"},{"name":"drpCivilJudicial.200905.formU4CivilJudicial.sanctionInjunctionDetails.sanctionInjunctionSequenceNumber","type":"Number","description":"Sequence number identifying each injunction, as specified on U4 - Civil Judicial Disclosure Reporting Page (Q12.C). This question will only be populated if civil judicial action status is Final or On Appeal and sanction type is Injunction."},{"name":"drpCivilJudicial.200905.formU4CivilJudicial.sanctionInjunctionDetails.sanctionDurationExactFlag","type":"Boolean","description":"Whether the duration is exact or explanation, as specified on Regulatory Action Disclosure Reporting Page for U4 (13.C), U5 (12.D) or U6 (13.D)."},{"name":"drpCivilJudicial.200905.formU4CivilJudicial.sanctionInjunctionDetails.injunctionEndDateDetails.date","type":"String","description":"End date of the injunction for this civil judicial action, as specified on Civil Judicial Disclosure Reporting Page in YYYY-MM-DD format."},{"name":"drpCivilJudicial.200905.formU4CivilJudicial.sanctionInjunctionDetails.injunctionEndDateDetails.exactDate","type":"Boolean","description":"Flag indicating that the date is exact and not estimated or approximated."},{"name":"drpCivilJudicial.200905.formU4CivilJudicial.sanctionInjunctionDetails.injunctionEndDateDetails.dateExplanation","type":"String","description":"Explanation, if date is not exact."},{"name":"drpCivilJudicial.200905.formU4CivilJudicial.orderedSanctionTypeOtherText","type":"String","description":"Other sanctions ordered"},{"name":"drpCivilJudicial.200905.formU4CivilJudicial.appealDetailText","type":"String","description":"Details of the appeal including status, as specified on U4 or U6 - Civil Judicial Disclosure Reporting Page (Q10.E)."},{"name":"drpCivilJudicial.200905.formU4CivilJudicial.disclosureEventDateDetails.date","type":"String","description":"Date complaint, arbitration/CFTC reparation or civil litigation was received by or served on firm, as specified on Customer Complaint Disclosure Reporting Pages in YYYY-MM-DD format"},{"name":"drpCivilJudicial.200905.formU4CivilJudicial.disclosureEventDateDetails.exactDate","type":"Boolean","description":"Flag indicating that the date is exact and not estimated or approximated."},{"name":"drpCivilJudicial.200905.formU4CivilJudicial.disclosureEventDateDetails.dateExplanation","type":"String","description":"Explanation, if date is not exact."},{"name":"drpCivilJudicial.200905.formU4CivilJudicial.dispositionDetails.dispositionTypeOtherText","type":"String","description":"Describes the regulatory action resolution type when the disposition type code is set as Other"},{"name":"drpCivilJudicial.200905.formU4CivilJudicial.dispositionDetails.dispositionTypeCode","type":"String","description":"How was matter resolved?"},{"name":"drpCivilJudicial.200905.formU4CivilJudicial.dispositionDetails.dispositionDateDetails.date","type":"String","description":"Date the civil judicial action was resolved, as specified on Civil Judicial Disclosure Reporting Page for U4 in YYYY-MM-DD format."},{"name":"drpCivilJudicial.200905.formU4CivilJudicial.dispositionDetails.dispositionDateDetails.exactDate","type":"Boolean","description":"Flag indicating that the date is exact and not estimated or approximated."},{"name":"drpCivilJudicial.200905.formU4CivilJudicial.dispositionDetails.dispositionDateDetails.dateExplanation","type":"String","description":"Explanation, if date is not exact."},{"name":"drpCivilJudicial.200905.formU4CivilJudicial.courtTypeOtherText","type":"String","description":"The court type description when court type code is Other."},{"name":"drpCivilJudicial.200905.formU4CivilJudicial.productType","type":"String","description":"Product Type Details"},{"name":"drpCivilJudicial.200905.formU4CivilJudicial.disclosureEventStatusType","type":"String","description":"Code indicating the current status of the court or regulatory action described in this disclosure. Valid Values: PENDING, ONAPPEAL and FINAL. Legacy Values: UNKNOWN."},{"name":"drpCivilJudicial.200905.formU4CivilJudicial.appealDateDetails.date","type":"String","description":"Date appeal was filed for this civil judicial action, as specified on Civil Judicial Disclosure Reporting Page in YYYY-MM-DD format."},{"name":"drpCivilJudicial.200905.formU4CivilJudicial.appealDateDetails.exactDate","type":"Boolean","description":"Flag indicating that the date is exact and not estimated or approximated."},{"name":"drpCivilJudicial.200905.formU4CivilJudicial.appealDateDetails.dateExplanation","type":"String","description":"Explanation, if date is not exact."},{"name":"drpCivilJudicial.200905.formU4CivilJudicial.initiatorName","type":"String","description":"Court Action initiated by: (Name of regulator, foreign financial regulatory authority, SRO, commodities exchange, Agency, Firm, Private Plaintiff, etc.)"},{"name":"drpCivilJudicial.200905.formU4CivilJudicial.soughtReliefSanctionTypeOtherText","type":"String","description":"Relief type sought for the civil judicial action described in this disclosure, as specified on Civil Judicial Disclosure Reporting Page for U4 (Q2). This will only indicate the principal relief sought."},{"name":"drpCivilJudicial.200905.formU4CivilJudicial.appealLimitationDetailText","type":"String","description":"Details of limitations or restrictions that are currently in effect if civil judicial action is on appeal, as specified on U4 or U6 - Civil Judicial Disclosure Reporting Page (Q10.F)."},{"name":"drpCivilJudicial.200905.formU4CivilJudicial.appealCourtDetails.appealCourtLocation","type":"String","description":"Location of Court (City or County and State or Country)"},{"name":"drpCivilJudicial.200905.formU4CivilJudicial.appealCourtDetails.appealCourtName","type":"String","description":"Name of Court (Federal, State, Foreign or Other)"},{"name":"drpCivilJudicial.200905.formU4CivilJudicial.appealCourtDetails.appealCourtCaseNumber","type":"String","description":"The court docket or case number"},{"name":"drpCivilJudicial.200905.formU4CivilJudicial.reportingObligationFlag","type":"Boolean","description":"satisfy my firm's reporting obligation pursuant to the applicable provision of FINRA Rule 4530(a)(1)."},{"name":"drpCivilJudicial.200905.formU4CivilJudicial.courtLocation","type":"String","description":"Location of Court (City or County and State or Country)"},{"name":"drpCivilJudicial.200905.formU4CivilJudicial.pendingLimitationDetailText","type":"String","description":"If pending and any limitations or restrictions are currently in effect, provide details"},{"name":"drpCivilJudicial.200905.formU4CivilJudicial.initiatorType","type":"String","description":"Type of entity initiating the civil judicial court action, as specified on Civil Judicial Disclosure Reporting Page"},{"name":"drpCivilJudicial.200905.id","type":"String","description":"Unique identifier for items in a collection. It is in UUID version 4 format."},{"name":"drpCivilJudicial.200905.baseline","type":"Boolean","description":"Field that identifies any value in a collection as baseline"},{"name":"drpCivilJudicial.200905.discloseToPublicFlag","type":"Boolean","description":"flag indicating if this is disclosed to public"},{"name":"drpCivilJudicial.200510.drpIdentifierDetails.disclosureIdentifier","type":"Number","description":"Unique number that identifies a disclosure. Will be the same if Disclosure Reporting Page (DRP) is ammended."},{"name":"drpCivilJudicial.200510.drpIdentifierDetails.occurrenceIdentifier","type":"Number","description":"Unique identifier of the occurrence associated with this disclosure."},{"name":"drpCivilJudicial.200510.drpIdentifierDetails.filingIdentifier","type":"Number","description":"The unique identifier assigned to the current filing associated with this disclosure."},{"name":"drpCivilJudicial.200510.reportableFlag","type":"Boolean","description":"Flag set during disclosure review indicating whether the occurrence is reportable."},{"name":"drpCivilJudicial.200510.disclosureVersion","type":"String","description":"Version of Disclosure Reporting Page (DRP). Values include 05/2009 and 10/2005"},{"name":"drpCivilJudicial.200510.formU4CivilJudicial.orderedSanctionType","type":"String","description":"Sanction(s) ordered for the regulatory action described in this disclosure, as specified on Regulatory Action Disclosure Reporting Page"},{"name":"drpCivilJudicial.200510.formU4CivilJudicial.disclosureEventDetailText","type":"String","description":"Payout details including amount and date paid in the event of a payout, as specified on U4 - Bond Disclosure Reporting Pages (Q5)."},{"name":"drpCivilJudicial.200510.formU4CivilJudicial.disclosureEventStatusType","type":"String","description":"Code indicating the current status of the court or regulatory action described in this disclosure. Valid Values: PENDING, ONAPPEAL and FINAL. Legacy Values: UNKNOWN."},{"name":"drpCivilJudicial.200510.formU4CivilJudicial.initiatorName","type":"String","description":"Court Action initiated by: (Name of regulator, foreign financial regulatory authority, SRO, commodities exchange, Agency, Firm, Private Plaintiff, etc.)"},{"name":"drpCivilJudicial.200510.formU4CivilJudicial.commentText","type":"String","description":"You may use this field to provide a brief summary of the circumstances leading to the action as well as the current status or final disposition and/or findings. Your information must fit within the space provided."},{"name":"drpCivilJudicial.200510.formU4CivilJudicial.productTypeOtherText","type":"String","description":"Describes the product type that applies to this disclosure when the product type is flagged as Other, as specified on U4 or U6 - Civil Judicial Disclosure Reporting Page(Q4)."},{"name":"drpCivilJudicial.200510.formU4CivilJudicial.employingFirmName","type":"String","description":"Name of the firm where the individual's employment was terminated, as specified on Termination Disclosure Reporting Page for U4 or U5 (Q1)."},{"name":"drpCivilJudicial.200510.formU4CivilJudicial.soughtReliefSanctionType","type":"String","description":"Relief type sought for the civil judicial action described in this disclosure, as specified on Civil Judicial Disclosure Reporting Page for U4 (Q2). This will only indicate the principal relief sought."},{"name":"drpCivilJudicial.200510.formU4CivilJudicial.civilJudicialU4DisclosureQuestionSelection","type":"String","description":"Indicates the Form U4 disclosure question(s) that are applicable to this civil judicial disclosure reporting page (DRP). Only one DRP shall be used to report a single event. Unrelated civil judicial actions shall be reported on separate DRPs."},{"name":"drpCivilJudicial.200510.formU4CivilJudicial.noticeServedDateDetails.date","type":"String","description":"Date notice/process was served for the civil judicial action, as specified on Civil Judicial Disclosure Reporting Page in YYYY-MM-DD format."},{"name":"drpCivilJudicial.200510.formU4CivilJudicial.noticeServedDateDetails.exactDate","type":"Boolean","description":"Flag indicating that the date is exact and not estimated or approximated."},{"name":"drpCivilJudicial.200510.formU4CivilJudicial.noticeServedDateDetails.dateExplanation","type":"String","description":"Explanation, if date is not exact."},{"name":"drpCivilJudicial.200510.formU4CivilJudicial.orderedSanctionTypeOtherText","type":"String","description":"Description of other sanctions ordered as relief for this civil judicial action, as specified on U4 - Civil Judicial Disclosure Reporting Page"},{"name":"drpCivilJudicial.200510.formU4CivilJudicial.sanctionDetailText","type":"String","description":"Sanction detail: if suspended, enjoined or barred, provide duration including start date and capacities affected"},{"name":"drpCivilJudicial.200510.formU4CivilJudicial.courtDetailText","type":"String","description":"Court Action brought in (Name of Federal, State, or Foreign Court), Location of Court (City or County and State or Country), Docket/Case Number and bankruptcy Chapter Number (if Federal Bankruptcy Filing)"},{"name":"drpCivilJudicial.200510.formU4CivilJudicial.disclosureEventDateDetails.date","type":"String","description":"Filing date of court action, as specified on Civil Judicial Disclosure Reporting Page in YYYY-MM-DD format."},{"name":"drpCivilJudicial.200510.formU4CivilJudicial.disclosureEventDateDetails.exactDate","type":"Boolean","description":"Flag indicating that the date is exact and not estimated or approximated."},{"name":"drpCivilJudicial.200510.formU4CivilJudicial.disclosureEventDateDetails.dateExplanation","type":"String","description":"Explanation, if date is not exact."},{"name":"drpCivilJudicial.200510.formU4CivilJudicial.dispositionDetails.dispositionTypeCode","type":"String","description":"How was matter resolved?"},{"name":"drpCivilJudicial.200510.formU4CivilJudicial.dispositionDetails.dispositionDateDetails.date","type":"String","description":"Date the civil judicial action was resolved, as specified on Civil Judicial Disclosure Reporting Page in YYYY-MM-DD format."},{"name":"drpCivilJudicial.200510.formU4CivilJudicial.dispositionDetails.dispositionDateDetails.exactDate","type":"Boolean","description":"Flag indicating that the date is exact and not estimated or approximated."},{"name":"drpCivilJudicial.200510.formU4CivilJudicial.dispositionDetails.dispositionDateDetails.dateExplanation","type":"String","description":"Explanation, if date is not exact."},{"name":"drpCivilJudicial.200510.formU4CivilJudicial.productType","type":"String","description":"Product Type Details"},{"name":"drpCivilJudicial.200510.formU4CivilJudicial.soughtReliefOtherText","type":"String","description":"Describes the type of relief sought other than the principal relief type"},{"name":"drpCivilJudicial.200510.formU4CivilJudicial.appealCourtDetailText","type":"String","description":"Name of the appeals court if the civil judicial action is on appeal"},{"name":"drpCivilJudicial.200510.formU4CivilJudicial.orderedSanctionAmount","type":"String","description":"Amount of monetary sanction ordered in relief, as specified on Civil Judicial Disclosure Reporting Page"},{"name":"drpCivilJudicial.200510.id","type":"String","description":"Unique identifier for items in a collection. It is in UUID version 4 format."},{"name":"drpCivilJudicial.200510.baseline","type":"Boolean","description":"Field that identifies any value in a collection as baseline"},{"name":"drpCivilJudicial.200510.discloseToPublicFlag","type":"Boolean","description":"flag indicating if this is disclosed to public"},{"name":"drpJudgmentLien.200905B.courtCaseNumberPIIFlag","type":"Boolean","description":"if the Docket/Case# is your SSN, a Bank Card number, or a Personal Identification Number."},{"name":"drpJudgmentLien.200905B.drpIdentifierDetails.disclosureIdentifier","type":"Number","description":"Unique number that identifies a disclosure. Will be the same if Disclosure Reporting Page (DRP) is ammended."},{"name":"drpJudgmentLien.200905B.drpIdentifierDetails.occurrenceIdentifier","type":"Number","description":"Unique identifier of the occurrence associated with this disclosure."},{"name":"drpJudgmentLien.200905B.drpIdentifierDetails.filingIdentifier","type":"Number","description":"The unique identifier assigned to the current filing associated with this disclosure."},{"name":"drpJudgmentLien.200905B.reportableFlag","type":"Boolean","description":"Flag set during disclosure review indicating whether the occurrence is reportable."},{"name":"drpJudgmentLien.200905B.formU4JudgmentLien.disclosureDiscoveredDateDetails.date","type":"String","description":"The Date the subject individual learned of the judgment/lien, as specified on Judgement Lien Disclosure Reporting Page in YYYY-MM-DD format."},{"name":"drpJudgmentLien.200905B.formU4JudgmentLien.disclosureDiscoveredDateDetails.exactDate","type":"Boolean","description":"Flag indicating that the date is exact and not estimated or approximated."},{"name":"drpJudgmentLien.200905B.formU4JudgmentLien.disclosureDiscoveredDateDetails.dateExplanation","type":"String","description":"Explanation, if date is not exact."},{"name":"drpJudgmentLien.200905B.formU4JudgmentLien.judgmentLienU4DisclosureQuestionSelection","type":"String","description":"Indicates the Form U4 disclosure question(s) that are applicable to this investigation Disclosure Reporting Page (DRP)."},{"name":"drpJudgmentLien.200905B.formU4JudgmentLien.judgmentLienOwedAmount","type":"String","description":"Amount of the judgment or lien, as specified on Judgment Lien Disclosure Reporting Page for U4 (Q1)."},{"name":"drpJudgmentLien.200905B.formU4JudgmentLien.courtDetails.courtCaseNumber.maskedValue","type":"String","description":"masked value of the court case number"},{"name":"drpJudgmentLien.200905B.formU4JudgmentLien.courtDetails.courtCaseNumber.sensitive","type":"Boolean","description":"flag indicating if the value is a sensitive field"},{"name":"drpJudgmentLien.200905B.formU4JudgmentLien.courtDetails.courtCaseNumber.lastModified","type":"String","description":"timestamp when last sensitive field is modified"},{"name":"drpJudgmentLien.200905B.formU4JudgmentLien.courtDetails.courtCaseNumber.value","type":"String","description":"The court docket or case number."},{"name":"drpJudgmentLien.200905B.formU4JudgmentLien.courtDetails.courtTypeCode","type":"String","description":"Code indicating the type of court. Values include FEDRL, STATE, FORGN, MLTRY, OTHER."},{"name":"drpJudgmentLien.200905B.formU4JudgmentLien.courtDetails.courtName","type":"String","description":"Name of Court (Federal, State, Foreign or Other)"},{"name":"drpJudgmentLien.200905B.formU4JudgmentLien.courtDetails.courtLocation","type":"String","description":"Location of Court (City or County and State or Country)"},{"name":"drpJudgmentLien.200905B.formU4JudgmentLien.courtDetails.courtTypeOtherText","type":"String","description":"The court type description when court type code is Other."},{"name":"drpJudgmentLien.200905B.formU4JudgmentLien.courtCaseNumberPIIFlag","type":"Boolean","description":"if the Docket/Case# is your SSN, a Bank Card number, or a Personal Identification Number."},{"name":"drpJudgmentLien.200905B.formU4JudgmentLien.disclosureEventPendingFlag","type":"Boolean","description":"Flag indicating that the investigation is currently pending, as specified on Investigation Disclosure Reporting Pages for U4, U5 or U6 (Q4)."},{"name":"drpJudgmentLien.200905B.formU4JudgmentLien.disclosureEventDateDetails.date","type":"String","description":"The date the judgment lien was filed with the court, as specified on Judgement Lien Disclosure Reporting Page in YYYY-MM-DD format."},{"name":"drpJudgmentLien.200905B.formU4JudgmentLien.disclosureEventDateDetails.exactDate","type":"Boolean","description":"Flag indicating that the date is exact and not estimated or approximated."},{"name":"drpJudgmentLien.200905B.formU4JudgmentLien.disclosureEventDateDetails.dateExplanation","type":"String","description":"Explanation, if date is not exact."},{"name":"drpJudgmentLien.200905B.formU4JudgmentLien.dispositionTypeCode","type":"String","description":"How was matter resolved?"},{"name":"drpJudgmentLien.200905B.formU4JudgmentLien.disclosureEventTypeCode","type":"String","description":"Code indicating type of Judgment or lien"},{"name":"drpJudgmentLien.200905B.formU4JudgmentLien.lienHolderName","type":"String","description":"Judgement or lien holder, as specified on Judgement Lien Disclosure Reporting Page for U4 (Q2)."},{"name":"drpJudgmentLien.200905B.formU4JudgmentLien.commentText","type":"String","description":"You may use this field to provide a brief summary of the circumstances leading to the action as well as the current status or final disposition. Your information must fit within the space provided."},{"name":"drpJudgmentLien.200905B.formU4JudgmentLien.dispositionDateDetails.date","type":"String","description":"Date the Judgment/lien was resolved, as specified on Judgment Lien Disclosure Reporting Page in YYYY-MM-DD format."},{"name":"drpJudgmentLien.200905B.formU4JudgmentLien.dispositionDateDetails.exactDate","type":"Boolean","description":"Flag indicating that the date is exact and not estimated or approximated."},{"name":"drpJudgmentLien.200905B.formU4JudgmentLien.dispositionDateDetails.dateExplanation","type":"String","description":"Explanation, if date is not exact."},{"name":"drpJudgmentLien.200905B.disclosureVersion","type":"String","description":"Version of Disclosure Reporting Page (DRP). Values include 05/2009 and 10/2005"},{"name":"drpJudgmentLien.200905B.id","type":"String","description":"Unique identifier for items in a collection. It is in UUID version 4 format."},{"name":"drpJudgmentLien.200905B.baseline","type":"Boolean","description":"Field that identifies any value in a collection as baseline"},{"name":"drpJudgmentLien.200905B.discloseToPublicFlag","type":"Boolean","description":"flag indicating if this is disclosed to public"},{"name":"drpJudgmentLien.200905A.courtCaseNumberPIIFlag","type":"Boolean","description":"if the Docket/Case# is your SSN, a Bank Card number, or a Personal Identification Number."},{"name":"drpJudgmentLien.200905A.drpIdentifierDetails.disclosureIdentifier","type":"Number","description":"Unique number that identifies a disclosure. Will be the same if Disclosure Reporting Page (DRP) is ammended."},{"name":"drpJudgmentLien.200905A.drpIdentifierDetails.occurrenceIdentifier","type":"Number","description":"Unique identifier of the occurrence associated with this disclosure."},{"name":"drpJudgmentLien.200905A.drpIdentifierDetails.filingIdentifier","type":"Number","description":"The unique identifier assigned to the current filing associated with this disclosure."},{"name":"drpJudgmentLien.200905A.reportableFlag","type":"Boolean","description":"Flag set during disclosure review indicating whether the occurrence is reportable."},{"name":"drpJudgmentLien.200905A.formU4JudgmentLien.judgmentLienU4DisclosureQuestionSelection","type":"String","description":"Indicates the Form U4 disclosure question(s) that are applicable to this judgment lien Disclosure Reporting Page (DRP)."},{"name":"drpJudgmentLien.200905A.formU4JudgmentLien.judgmentLienOwedAmount","type":"String","description":"Amount of the judgment or lien, as specified on Judgment Lien Disclosure Reporting Page for U4 (Q1)."},{"name":"drpJudgmentLien.200905A.formU4JudgmentLien.courtDetails.courtCaseNumber.maskedValue","type":"String","description":"Masked value if court case number is a PII restricted value."},{"name":"drpJudgmentLien.200905A.formU4JudgmentLien.courtDetails.courtCaseNumber.sensitive","type":"Boolean","description":"Flag indicating if court case number is a sensitive value"},{"name":"drpJudgmentLien.200905A.formU4JudgmentLien.courtDetails.courtCaseNumber.lastModified","type":"String","description":"timestamp when last sensitive field is modified"},{"name":"drpJudgmentLien.200905A.formU4JudgmentLien.courtDetails.courtCaseNumber.value","type":"String","description":"The court docket or case number"},{"name":"drpJudgmentLien.200905A.formU4JudgmentLien.courtDetails.courtTypeCode","type":"String","description":"Code indicating the type of court. Values include FEDRL, STATE, FORGN, MLTRY, OTHER."},{"name":"drpJudgmentLien.200905A.formU4JudgmentLien.courtDetails.courtName","type":"String","description":"Name of Court (Federal, State, Foreign or Other)"},{"name":"drpJudgmentLien.200905A.formU4JudgmentLien.courtDetails.courtLocation","type":"String","description":"Location of Court (City or County and State or Country)"},{"name":"drpJudgmentLien.200905A.formU4JudgmentLien.courtDetails.courtTypeOtherText","type":"String","description":"The court type description when court type code is Other."},{"name":"drpJudgmentLien.200905A.formU4JudgmentLien.courtCaseNumberPIIFlag","type":"Boolean","description":"if the Docket/Case# is your SSN, a Bank Card number, or a Personal Identification Number."},{"name":"drpJudgmentLien.200905A.formU4JudgmentLien.disclosureEventPendingFlag","type":"Boolean","description":"Flag indicating that the investigation is currently pending, as specified on Investigation Disclosure Reporting Pages for U4, U5 or U6 (Q4)."},{"name":"drpJudgmentLien.200905A.formU4JudgmentLien.disclosureEventDateDetails.date","type":"String","description":"The date the judgment lien was filed with the court, as specified on Judgement Lien Disclosure Reporting Page in YYYY-MM-DD format."},{"name":"drpJudgmentLien.200905A.formU4JudgmentLien.disclosureEventDateDetails.exactDate","type":"Boolean","description":"Flag indicating that the date is exact and not estimated or approximated."},{"name":"drpJudgmentLien.200905A.formU4JudgmentLien.disclosureEventDateDetails.dateExplanation","type":"String","description":"Explanation, if date is not exact."},{"name":"drpJudgmentLien.200905A.formU4JudgmentLien.dispositionTypeCode","type":"String","description":"How was matter resolved?"},{"name":"drpJudgmentLien.200905A.formU4JudgmentLien.disclosureEventTypeCode","type":"String","description":"Code indicating type of Judgment or lien"},{"name":"drpJudgmentLien.200905A.formU4JudgmentLien.lienHolderName","type":"String","description":"Judgement or lien holder, as specified on Judgement Lien Disclosure Reporting Page for U4 (Q2)."},{"name":"drpJudgmentLien.200905A.formU4JudgmentLien.commentText","type":"String","description":"You may use this field to provide a brief summary of the circumstances leading to the action as well as the current status or final disposition. Your information must fit within the space provided."},{"name":"drpJudgmentLien.200905A.formU4JudgmentLien.dispositionDateDetails.date","type":"String","description":"Date the Judgment/lien was resolved, as specified on Judgment Lien Disclosure Reporting Page in YYYY-MM-DD format."},{"name":"drpJudgmentLien.200905A.formU4JudgmentLien.dispositionDateDetails.exactDate","type":"Boolean","description":"Flag indicating that the date is exact and not estimated or approximated."},{"name":"drpJudgmentLien.200905A.formU4JudgmentLien.dispositionDateDetails.dateExplanation","type":"String","description":"Explanation, if date is not exact."},{"name":"drpJudgmentLien.200905A.disclosureVersion","type":"String","description":"Version of Disclosure Reporting Page (DRP). Values include 05/2009 and 10/2005"},{"name":"drpJudgmentLien.200905A.id","type":"String","description":"Unique identifier for items in a collection. It is in UUID version 4 format."},{"name":"drpJudgmentLien.200905A.baseline","type":"Boolean","description":"Field that identifies any value in a collection as baseline"},{"name":"drpJudgmentLien.200905A.discloseToPublicFlag","type":"Boolean","description":"flag indicating if this is disclosed to public"},{"name":"drpJudgmentLien.200510.drpIdentifierDetails.disclosureIdentifier","type":"Number","description":"Unique number that identifies a disclosure. Will be the same if Disclosure Reporting Page (DRP) is ammended."},{"name":"drpJudgmentLien.200510.drpIdentifierDetails.occurrenceIdentifier","type":"Number","description":"Unique identifier of the occurrence associated with this disclosure."},{"name":"drpJudgmentLien.200510.drpIdentifierDetails.filingIdentifier","type":"Number","description":"The unique identifier assigned to the current filing associated with this disclosure."},{"name":"drpJudgmentLien.200510.reportableFlag","type":"Boolean","description":"Flag set during disclosure review indicating whether the occurrence is reportable."},{"name":"drpJudgmentLien.200510.formU4JudgmentLien.judgmentLienU4DisclosureQuestionSelection","type":"String","description":"Indicates the Form U4 disclosure question(s) that are applicable to this judgment lien Disclosure Reporting Page (DRP)."},{"name":"drpJudgmentLien.200510.formU4JudgmentLien.judgmentLienOwedAmount","type":"String","description":"Amount of the judgment or lien, as specified on Judgment Lien Disclosure Reporting Page for U4 (Q1)."},{"name":"drpJudgmentLien.200510.formU4JudgmentLien.disclosureEventPendingFlag","type":"Boolean","description":"Flag indicating that the investigation is currently pending, as specified on Investigation Disclosure Reporting Pages for U4, U5 or U6 (Q4)."},{"name":"drpJudgmentLien.200510.formU4JudgmentLien.courtDetailText","type":"String","description":"Describes the court this civil judicial action was brought in, including name and location of court and case or docket number"},{"name":"drpJudgmentLien.200510.formU4JudgmentLien.disclosureEventDateDetails.date","type":"String","description":"The date the judgment lien was filed with the court, as specified on Judgement Lien Disclosure Reporting Page in YYYY-MM-DD format."},{"name":"drpJudgmentLien.200510.formU4JudgmentLien.disclosureEventDateDetails.exactDate","type":"Boolean","description":"Flag indicating that the date is exact and not estimated or approximated."},{"name":"drpJudgmentLien.200510.formU4JudgmentLien.disclosureEventDateDetails.dateExplanation","type":"String","description":"Explanation, if date is not exact."},{"name":"drpJudgmentLien.200510.formU4JudgmentLien.dispositionDetails.dispositionTypeCode","type":"String","description":"How was matter resolved?"},{"name":"drpJudgmentLien.200510.formU4JudgmentLien.dispositionDetails.dispositionDateDetails.date","type":"String","description":"Date the judgment/lien was resolved, as specified on Judgement Lien Disclosure Reporting Page in YYYY-MM-DD format."},{"name":"drpJudgmentLien.200510.formU4JudgmentLien.dispositionDetails.dispositionDateDetails.exactDate","type":"Boolean","description":"Flag indicating that the date is exact and not estimated or approximated."},{"name":"drpJudgmentLien.200510.formU4JudgmentLien.dispositionDetails.dispositionDateDetails.dateExplanation","type":"String","description":"Explanation, if date is not exact."},{"name":"drpJudgmentLien.200510.formU4JudgmentLien.disclosureEventTypeCode","type":"String","description":"Code indicating type of Judgment or lien"},{"name":"drpJudgmentLien.200510.formU4JudgmentLien.lienHolderName","type":"String","description":"Judgement or lien holder, as specified on Judgement Lien Disclosure Reporting Page for U4 (Q2)."},{"name":"drpJudgmentLien.200510.formU4JudgmentLien.commentText","type":"String","description":"You may use this field to provide a brief summary of the circumstances leading to the action as well as the current status or final disposition. Your information must fit within the space provided."},{"name":"drpJudgmentLien.200510.disclosureVersion","type":"String","description":"Version of Disclosure Reporting Page (DRP). Values include 05/2009 and 10/2005"},{"name":"drpJudgmentLien.200510.id","type":"String","description":"Unique identifier for items in a collection. It is in UUID version 4 format."},{"name":"drpJudgmentLien.200510.baseline","type":"Boolean","description":"Field that identifies any value in a collection as baseline"},{"name":"drpJudgmentLien.200510.discloseToPublicFlag","type":"Boolean","description":"flag indicating if this is disclosed to public"},{"name":"drpBond.200905.formU4Bond.policyHoldingFirmName","type":"String","description":"Name of the firm holding the bond policy, as specified on U4 - Bond Disclosure Reporting Pages (Q1)."},{"name":"drpBond.200905.formU4Bond.bondingFirmName","type":"String","description":"Name of the firm issuing the bond or the debt instrument, as specified on U4 - Bond Disclosure Reporting Pages (Q2)"},{"name":"drpBond.200905.formU4Bond.dispositionTypeCode","type":"String","description":"How was matter resolved?"},{"name":"drpBond.200905.formU4Bond.disclosureEventDateDetails.date","type":"String","description":"The bond payout date, the exact flag and if not exact date the explanation, as specified on Bond Disclosure Reporting Pages in YYYY-MM-DD format."},{"name":"drpBond.200905.formU4Bond.disclosureEventDateDetails.exactDate","type":"Boolean","description":"Flag indicating that the date is exact and not estimated or approximated."},{"name":"drpBond.200905.formU4Bond.disclosureEventDateDetails.dateExplanation","type":"String","description":"Explanation, if date is not exact."},{"name":"drpBond.200905.formU4Bond.bondU4DisclosureQuestionSelection","type":"String","description":"Indicates the Form U4 financial disclosure question(s) that are applicable to this bond Disclosure Reporting Page (DRP)"},{"name":"drpBond.200905.formU4Bond.commentText","type":"String","description":"You may use this field to provide a brief summary of the circumstances leading to the action as well as the current status or final disposition. Your information must fit within the space provided."},{"name":"drpBond.200905.formU4Bond.dispositionDateDetails.date","type":"String","description":"The disposition date, the exact flag and if not exact date the explanation, as specified on Bond Disclosure Reporting Pages in YYYY-MM-DD format."},{"name":"drpBond.200905.formU4Bond.dispositionDateDetails.exactDate","type":"Boolean","description":"Flag indicating that the date is exact and not estimated or approximated."},{"name":"drpBond.200905.formU4Bond.dispositionDateDetails.dateExplanation","type":"String","description":"Explanation, if date is not exact."},{"name":"drpBond.200905.formU4Bond.bondPayoutAmount","type":"String","description":"Payout amount if disposition resulted in a payout, as specified on U4 - Bond Disclosure Reporting Pages (Q5.A)"},{"name":"drpBond.200905.drpIdentifierDetails.disclosureIdentifier","type":"Number","description":"Unique number that identifies a disclosure. Will be the same if Disclosure Reporting Page (DRP) is ammended."},{"name":"drpBond.200905.drpIdentifierDetails.occurrenceIdentifier","type":"Number","description":"Unique identifier of the occurrence associated with this disclosure."},{"name":"drpBond.200905.drpIdentifierDetails.filingIdentifier","type":"Number","description":"The unique identifier assigned to the current filing associated with this disclosure."},{"name":"drpBond.200905.reportableFlag","type":"Boolean","description":"Flag set during disclosure review indicating whether the occurrence is reportable."},{"name":"drpBond.200905.disclosureVersion","type":"String","description":"Version of Disclosure Reporting Page (DRP). Values include 05/2009 and 10/2005"},{"name":"drpBond.200905.id","type":"String","description":"Unique identifier for items in a collection. It is in UUID version 4 format."},{"name":"drpBond.200905.baseline","type":"Boolean","description":"Field that identifies any value in a collection as baseline"},{"name":"drpBond.200905.discloseToPublicFlag","type":"Boolean","description":"flag indicating if this is disclosed to public"},{"name":"drpBond.200510.formU4Bond.disclosureEventDetailText","type":"String","description":"Payout details including amount and date paid in the event of a payout, as specified on U4 - Bond Disclosure Reporting Pages (Q5)."},{"name":"drpBond.200510.formU4Bond.policyHoldingFirmName","type":"String","description":"Name of the firm holding the bond policy, as specified on U4 - Bond Disclosure Reporting Pages (Q1)."},{"name":"drpBond.200510.formU4Bond.bondingFirmName","type":"String","description":"Name of the firm issuing the bond or the debt instrument, as specified on U4 - Bond Disclosure Reporting Pages (Q2)"},{"name":"drpBond.200510.formU4Bond.bondU4DisclosureQuestionSelection","type":"String","description":"Indicates the Form U4 financial disclosure question(s) that are applicable to this bond Disclosure Reporting Page (DRP)."},{"name":"drpBond.200510.formU4Bond.dispositionDetails.dispositionTypeCode","type":"String","description":"How was matter resolved?"},{"name":"drpBond.200510.formU4Bond.commentText","type":"String","description":"You may use this field to provide a brief summary of the circumstances leading to the action as well as the current status or final disposition. Your information must fit within the space provided."},{"name":"drpBond.200510.formU4Bond.dispositionDateDetails.date","type":"String","description":"The disposition date, the exact flag and if not exact date the explanation, as specified on Bond Disclosure Reporting Pages in YYYY-MM-DD format."},{"name":"drpBond.200510.formU4Bond.dispositionDateDetails.exactDate","type":"Boolean","description":"Flag indicating that the date is exact and not estimated or approximated."},{"name":"drpBond.200510.formU4Bond.dispositionDateDetails.dateExplanation","type":"String","description":"Explanation, if date is not exact."},{"name":"drpBond.200510.drpIdentifierDetails.disclosureIdentifier","type":"Number","description":"Unique number that identifies a disclosure. Will be the same if Disclosure Reporting Page (DRP) is ammended."},{"name":"drpBond.200510.drpIdentifierDetails.occurrenceIdentifier","type":"Number","description":"Unique identifier of the occurrence associated with this disclosure."},{"name":"drpBond.200510.drpIdentifierDetails.filingIdentifier","type":"Number","description":"The unique identifier assigned to the current filing associated with this disclosure."},{"name":"drpBond.200510.reportableFlag","type":"Boolean","description":"Flag set during disclosure review indicating whether the occurrence is reportable."},{"name":"drpBond.200510.disclosureVersion","type":"String","description":"Version of Disclosure Reporting Page (DRP). Values include 05/2009 and 10/2005"},{"name":"drpBond.200510.id","type":"String","description":"Unique identifier for items in a collection. It is in UUID version 4 format."},{"name":"drpBond.200510.baseline","type":"Boolean","description":"Field that identifies any value in a collection as baseline"},{"name":"drpBond.200510.discloseToPublicFlag","type":"Boolean","description":"flag indicating if this is disclosed to public"},{"name":"drpBankruptcy.200905.courtCaseNumberPIIFlag","type":"Boolean","description":"if the Docket/Case# is your SSN, a Bank Card number, or a Personal Identification Number."},{"name":"drpBankruptcy.200905.drpIdentifierDetails.disclosureIdentifier","type":"Number","description":"Unique number that identifies a disclosure. Will be the same if Disclosure Reporting Page (DRP) is ammended."},{"name":"drpBankruptcy.200905.drpIdentifierDetails.occurrenceIdentifier","type":"Number","description":"Unique identifier of the occurrence associated with this disclosure."},{"name":"drpBankruptcy.200905.drpIdentifierDetails.filingIdentifier","type":"Number","description":"The unique identifier assigned to the current filing associated with this disclosure."},{"name":"drpBankruptcy.200905.reportableFlag","type":"Boolean","description":"Flag set during disclosure review indicating whether the occurrence is reportable."},{"name":"drpBankruptcy.200905.disclosureVersion","type":"String","description":"Version of Disclosure Reporting Page (DRP). Values include 05/2009 and 10/2005"},{"name":"drpBankruptcy.200905.formU4Bankruptcy.courtActionDetails.courtCaseNumber.sensitive","type":"Boolean","description":"flag indicating if the value is a sensitive field"},{"name":"drpBankruptcy.200905.formU4Bankruptcy.courtActionDetails.courtCaseNumber.lastModified","type":"String","description":"last modified date of court case number"},{"name":"drpBankruptcy.200905.formU4Bankruptcy.courtActionDetails.courtCaseNumber.value","type":"String","description":"value of the court case number"},{"name":"drpBankruptcy.200905.formU4Bankruptcy.courtActionDetails.courtTypeCode","type":"String","description":"Code indicating the type of court. Values include FEDRL, STATE, FORGN, MLTRY, OTHER."},{"name":"drpBankruptcy.200905.formU4Bankruptcy.courtActionDetails.courtName","type":"String","description":"Name of Court (Federal, State, Foreign or Other)"},{"name":"drpBankruptcy.200905.formU4Bankruptcy.courtActionDetails.courtLocation","type":"String","description":"Location of Court (City or County and State or Country)"},{"name":"drpBankruptcy.200905.formU4Bankruptcy.courtActionDetails.courtTypeOtherText","type":"String","description":"The court type description when court type code is Other."},{"name":"drpBankruptcy.200905.formU4Bankruptcy.courtCaseNumberPIIFlag","type":"Boolean","description":"if the Docket/Case# is your SSN, a Bank Card number, or a Personal Identification Number."},{"name":"drpBankruptcy.200905.formU4Bankruptcy.disclosureEventPendingFlag","type":"Boolean","description":"Flag indicating that the investigation is currently pending, as specified on Investigation Disclosure Reporting Pages for U4, U5 or U6 (Q4)."},{"name":"drpBankruptcy.200905.formU4Bankruptcy.sipaTrusteeDirectPaymentDetails.sipaPaidAmount","type":"String","description":"The amount paid or agreed to be paid if SIPA direct payment procedure was begun, as specified on Bankrutpcy Disclosure Reporting Pages for U4 or U6 (Q9.A)."},{"name":"drpBankruptcy.200905.formU4Bankruptcy.sipaTrusteeDirectPaymentDetails.sipaTrusteeName","type":"String","description":"name of the Trustee"},{"name":"drpBankruptcy.200905.formU4Bankruptcy.sipaTrusteeDirectPaymentDetails.sipaOpenFlag","type":"Boolean","description":"sipa currently open?"},{"name":"drpBankruptcy.200905.formU4Bankruptcy.sipaTrusteeDirectPaymentDetails.sipaInitiatedDateDetails.date","type":"String","description":"Date the direct payment was initiated/filed or the trustee was appointed, as specified on Bankrutpcy Disclosure Reporting Pages in YYYY-MM-DD format."},{"name":"drpBankruptcy.200905.formU4Bankruptcy.sipaTrusteeDirectPaymentDetails.sipaInitiatedDateDetails.exactDate","type":"Boolean","description":"Flag indicating that the date is exact and not estimated or approximated."},{"name":"drpBankruptcy.200905.formU4Bankruptcy.sipaTrusteeDirectPaymentDetails.sipaInitiatedDateDetails.dateExplanation","type":"String","description":"Explanation, if date is not exact."},{"name":"drpBankruptcy.200905.formU4Bankruptcy.controlledFirmInvestmentRelatedBusinessFlag","type":"Boolean","description":"Indicates if the controlled firm is an investment-related business, as specified on Bankruptcy Disclosure Reporting Pages"},{"name":"drpBankruptcy.200905.formU4Bankruptcy.controlledFirmTitle","type":"String","description":"Position, title or relationship for the subject individual with the controlled firm."},{"name":"drpBankruptcy.200905.formU4Bankruptcy.bankruptcyActionChapterTypeCode","type":"String","description":"The chapter type code for the bankruptcy action, as specified on Bankruptcy Disclosure Reporting Pages"},{"name":"drpBankruptcy.200905.formU4Bankruptcy.commentText","type":"String","description":"You may use this field to provide a brief summary of the circumstances leading to the action as well as the current status or final disposition. Your information must fit within the space provided."},{"name":"drpBankruptcy.200905.formU4Bankruptcy.bankruptcyActionTypeOtherText","type":"String","description":"Description of the bankruptcy action type if the bankruptcy action type code is Other"},{"name":"drpBankruptcy.200905.formU4Bankruptcy.compromiseCreditorDetails.compromiseCreditorName","type":"String","description":"The Creditor name if a compromise with creditor has been reached, as specified on Bankruptcy Disclosure Reporting Pages for U4 or U6 (Q8.A)."},{"name":"drpBankruptcy.200905.formU4Bankruptcy.compromiseCreditorDetails.compromiseCreditorTermsText","type":"String","description":"The terms/compromise reached with a creditor if a compromise with creditor has been reached, as specified on Bankrutpcy Disclosure Reporting Pages"},{"name":"drpBankruptcy.200905.formU4Bankruptcy.compromiseCreditorDetails.compromiseCreditorOwedAmount","type":"String","description":"The original amount owed if a compromise with creditor has been reached, as specified on Bankrutpcy Disclosure Reporting Pages for U4 or U6 (Q8.B)."},{"name":"drpBankruptcy.200905.formU4Bankruptcy.bankruptcyU4DisclosureQuestionSelection","type":"String","description":"Indicates the Form U4 financial disclosure question(s) that are applicable to this bankruptcy Disclosure Reporting Page (DRP). Note: 14K(1) and 14K(2) must be provided on separate DRPs."},{"name":"drpBankruptcy.200905.formU4Bankruptcy.controlledFirmName","type":"String","description":"Name of the firm, if the financial action relates to a firm over which the subject individual exercises control."},{"name":"drpBankruptcy.200905.formU4Bankruptcy.bankruptcyActionTypeCode","type":"String","description":"Indicates the type of action associated with this disclosure, as specified on Bankruptcy Disclosure Reporting Pages"},{"name":"drpBankruptcy.200905.formU4Bankruptcy.disclosureEventDateDetails.date","type":"String","description":"Date bankruptcy was filed or SIPC was initiated, as specified on Bankruptcy Disclosure Reporting Page in YYYY-MM-DD format."},{"name":"drpBankruptcy.200905.formU4Bankruptcy.disclosureEventDateDetails.exactDate","type":"Boolean","description":"Flag indicating that the date is exact and not estimated or approximated."},{"name":"drpBankruptcy.200905.formU4Bankruptcy.disclosureEventDateDetails.dateExplanation","type":"String","description":"Explanation, if date is not exact."},{"name":"drpBankruptcy.200905.formU4Bankruptcy.dispositionDetails.dispositionTypeOtherText","type":"String","description":"Describes the regulatory action resolution type when the disposition type code is set as Other"},{"name":"drpBankruptcy.200905.formU4Bankruptcy.dispositionDetails.dispositionTypeCode","type":"String","description":"How was matter resolved?"},{"name":"drpBankruptcy.200905.formU4Bankruptcy.dispositionDetails.dispositionDateDetails.date","type":"String","description":"The disposition date, the exact flag and if not exact date the explanation, as specified on Bankruptcy Disclosure Reporting Pages in YYYY-MM-DD format."},{"name":"drpBankruptcy.200905.formU4Bankruptcy.dispositionDetails.dispositionDateDetails.exactDate","type":"Boolean","description":"Flag indicating that the date is exact and not estimated or approximated."},{"name":"drpBankruptcy.200905.formU4Bankruptcy.dispositionDetails.dispositionDateDetails.dateExplanation","type":"String","description":"Explanation, if date is not exact."},{"name":"drpBankruptcy.200905.id","type":"String","description":"Unique identifier for items in a collection. It is in UUID version 4 format."},{"name":"drpBankruptcy.200905.baseline","type":"Boolean","description":"Field that identifies any value in a collection as baseline"},{"name":"drpBankruptcy.200905.discloseToPublicFlag","type":"Boolean","description":"flag indicating if this is disclosed to public"},{"name":"drpBankruptcy.200510.drpIdentifierDetails.disclosureIdentifier","type":"Number","description":"Unique number that identifies a disclosure. Will be the same if Disclosure Reporting Page (DRP) is ammended."},{"name":"drpBankruptcy.200510.drpIdentifierDetails.occurrenceIdentifier","type":"Number","description":"Unique identifier of the occurrence associated with this disclosure."},{"name":"drpBankruptcy.200510.drpIdentifierDetails.filingIdentifier","type":"Number","description":"The unique identifier assigned to the current filing associated with this disclosure."},{"name":"drpBankruptcy.200510.reportableFlag","type":"Boolean","description":"Flag set during disclosure review indicating whether the occurrence is reportable."},{"name":"drpBankruptcy.200510.disclosureVersion","type":"String","description":"Version of Disclosure Reporting Page (DRP). Values include 05/2009 and 10/2005"},{"name":"drpBankruptcy.200510.formU4Bankruptcy.disclosureEventDetailText","type":"String","description":"Provide a brief summary of events leading to the action and if not discharged, explain."},{"name":"drpBankruptcy.200510.formU4Bankruptcy.bankruptcyU4DisclosureQuestionSelection","type":"String","description":"Indicates the Form U4 financial disclosure question(s) that are applicable to this bankruptcy Disclosure Reporting Page (DRP). Note: 14K(1) and 14K(2) must be provided on separate DRPs."},{"name":"drpBankruptcy.200510.formU4Bankruptcy.disclosureEventPendingFlag","type":"Boolean","description":"Flag indicating that the investigation is currently pending, as specified on Investigation Disclosure Reporting Pages for U4, U5 or U6 (Q4)."},{"name":"drpBankruptcy.200510.formU4Bankruptcy.sipaTrusteeDirectPaymentDetails.sipaOpenFlag","type":"Boolean","description":"Indicates whether the direct payment procedure is currently open, as specified on Bankrutpcy Disclosure Reporting Pages"},{"name":"drpBankruptcy.200510.formU4Bankruptcy.sipaTrusteeDirectPaymentDetails.sipaInitiatedDateDetails.date","type":"String","description":"Date the direct payment was initiated/filed or the trustee was appointed, as specified on Bankrutpcy Disclosure Reporting Pages in YYYY-MM-DD format."},{"name":"drpBankruptcy.200510.formU4Bankruptcy.sipaTrusteeDirectPaymentDetails.sipaInitiatedDateDetails.exactDate","type":"Boolean","description":"Flag indicating that the date is exact and not estimated or approximated."},{"name":"drpBankruptcy.200510.formU4Bankruptcy.sipaTrusteeDirectPaymentDetails.sipaInitiatedDateDetails.dateExplanation","type":"String","description":"Explanation, if date is not exact."},{"name":"drpBankruptcy.200510.formU4Bankruptcy.sipaTrusteeDirectPaymentDetails.sipaTrusteeNameAmountText","type":"String","description":"The name of the trustee if a SIPA trustee was appointed or the direct payment details, as specified on Bankrutpcy Disclosure Reporting Pages for U4 or U6 (Q9.A)."},{"name":"drpBankruptcy.200510.formU4Bankruptcy.controlledFirmInvestmentRelatedBusinessFlag","type":"Boolean","description":"Indicates if the controlled firm is an investment-related business, as specified on Bankruptcy Disclosure Reporting Pages"},{"name":"drpBankruptcy.200510.formU4Bankruptcy.courtDetailText","type":"String","description":"Court details including type, name and location of court as well as docket/case number and bankruptcy chapter number, if applicable, as specified on Bankruptcy Disclosure Reporting Pages"},{"name":"drpBankruptcy.200510.formU4Bankruptcy.bankruptcyActionTypeCode","type":"String","description":"Indicates the type of action associated with this disclosure, as specified on Bankruptcy Disclosure Reporting Pages"},{"name":"drpBankruptcy.200510.formU4Bankruptcy.disclosureEventDateDetails.date","type":"String","description":"Date bankruptcy was filed or SIPC was initiated, as specified on Bankruptcy Disclosure Reporting Page in YYYY-MM-DD format."},{"name":"drpBankruptcy.200510.formU4Bankruptcy.disclosureEventDateDetails.exactDate","type":"Boolean","description":"Flag indicating that the date is exact and not estimated or approximated."},{"name":"drpBankruptcy.200510.formU4Bankruptcy.disclosureEventDateDetails.dateExplanation","type":"String","description":"Explanation, if date is not exact."},{"name":"drpBankruptcy.200510.formU4Bankruptcy.dispositionDetails.dispositionTypeCode","type":"String","description":"How was matter resolved?"},{"name":"drpBankruptcy.200510.formU4Bankruptcy.dispositionDetails.dispositionDateDetails.date","type":"String","description":"The disposition date, the exact flag and if not exact date the explanation, as specified on Bankruptcy Disclosure Reporting Pages in YYYY-MM-DD format."},{"name":"drpBankruptcy.200510.formU4Bankruptcy.dispositionDetails.dispositionDateDetails.exactDate","type":"Boolean","description":"Flag indicating that the date is exact and not estimated or approximated."},{"name":"drpBankruptcy.200510.formU4Bankruptcy.dispositionDetails.dispositionDateDetails.dateExplanation","type":"String","description":"Explanation, if date is not exact."},{"name":"drpBankruptcy.200510.formU4Bankruptcy.commentText","type":"String","description":"You may use this field to provide a brief summary of the circumstances leading to the action as well as the current status or final disposition. Your information must fit within the space provided."},{"name":"drpBankruptcy.200510.formU4Bankruptcy.controlledFirmDetailText","type":"String","description":"Name of firm and position, title or relationship, if the financial action relates to a firm over which the subject individual exercises control, as specified on Bankruptcy Disclosure Reporting Pages for U4 or U6 (Q3)."},{"name":"drpBankruptcy.200510.id","type":"String","description":"Unique identifier for items in a collection. It is in UUID version 4 format."},{"name":"drpBankruptcy.200510.baseline","type":"Boolean","description":"Field that identifies any value in a collection as baseline"},{"name":"drpBankruptcy.200510.discloseToPublicFlag","type":"Boolean","description":"flag indicating if this is disclosed to public"},{"name":"individualInformation.individualSsnIdentifier.value","type":"String","description":"ssn value"},{"name":"individualInformation.individualBiometrics.genderCode","type":"String","description":"unique code for gender"},{"name":"individualInformation.individualBiometrics.heightInches","type":"String","description":"individual height in inches"},{"name":"individualInformation.individualBiometrics.hairColorCode","type":"String","description":"unique code for color"},{"name":"individualInformation.individualBiometrics.weight","type":"Number","description":"(pounds)"},{"name":"individualInformation.individualBiometrics.eyeColorCode","type":"String","description":"unique code for color"},{"name":"individualInformation.individualBiometrics.heightFeet","type":"Number","description":"(feet)"},{"name":"individualInformation.individualAliases.firstName","type":"String","description":"First name of the individual"},{"name":"individualInformation.individualAliases.lastName","type":"String","description":"Last name of the individual"},{"name":"individualInformation.individualAliases.aliasNumber","type":"Number","description":"number indicating the alias instance for an individual"},{"name":"individualInformation.individualAliases.middleName","type":"String","description":"Middle name of the individual"},{"name":"individualInformation.individualAliases.id","type":"String","description":"Unique identifier for items in a collection. It is in UUID version 4 format."},{"name":"individualInformation.individualAliases.baseline","type":"Boolean","description":"Field that identifies any value in a collection as baseline"},{"name":"individualInformation.individualAliases.suffix","type":"String","description":"suffix of the individual"},{"name":"individualInformation.personalInformation.stateProvinceOfBirth","type":"String","description":"Province of Birth"},{"name":"individualInformation.personalInformation.countryOfBirth","type":"String","description":"Country where individual was born"},{"name":"individualInformation.personalInformation.individualName.firstName","type":"String","description":"First name of the individual"},{"name":"individualInformation.personalInformation.individualName.lastName","type":"String","description":"Last name of the individual"},{"name":"individualInformation.personalInformation.individualName.middleName","type":"String","description":"Middle name of the individual"},{"name":"individualInformation.personalInformation.individualName.suffix","type":"String","description":"suffix of the individual"},{"name":"individualInformation.personalInformation.dateOfBirth","type":"String","description":"Date with format MM/DD/YYYY"},{"name":"individualInformation.personalInformation.individualFilingName.firstName","type":"String","description":"First name of the individual"},{"name":"individualInformation.personalInformation.individualFilingName.lastName","type":"String","description":"Last name of the individual"},{"name":"individualInformation.personalInformation.individualFilingName.middleName","type":"String","description":"Middle name of the individual"},{"name":"individualInformation.personalInformation.individualFilingName.suffix","type":"String","description":"suffix of the individual"},{"name":"individualInformation.personalInformation.stateOfBirth","type":"String","description":"State individual is born"},{"name":"individualInformation.individualCrdNumber","type":"Number","description":"The unique identifier assigned to an individual by the Central registration Depository"},{"name":"individualInformation.residentialHistory.addressEndDate","type":"String","description":"Indicates the end of the time period the individual at the location."},{"name":"individualInformation.residentialHistory.address.countryCode","type":"String","description":"Country Code for the individual's residential location"},{"name":"individualInformation.residentialHistory.address.stateCode","type":"String","description":"Code identifying the state under which the firm was legally formed."},{"name":"individualInformation.residentialHistory.address.cityName","type":"String","description":"city name for the individual's residential location"},{"name":"individualInformation.residentialHistory.address.postalCode","type":"String","description":"The Postal Code must be in one of the following formats : 99999 or 99999-9999, when a State is selected"},{"name":"individualInformation.residentialHistory.address.addressLine1","type":"String","description":"Address line for the individual's residential location."},{"name":"individualInformation.residentialHistory.address.addressLine2","type":"String","description":"Address line for the individual's residential location."},{"name":"individualInformation.residentialHistory.addressInstanceNumber","type":"Number","description":"Identifier to uniquely identify addresses."},{"name":"individualInformation.residentialHistory.addressStartDate","type":"String","description":"MM/YYYY"},{"name":"individualInformation.residentialHistory.id","type":"String","description":"Unique identifier for items in a collection. It is in UUID version 4 format."},{"name":"drpCustomerComplaint.200905.formU4CustomerComplaint.allegationAmountExactFlag","type":"Boolean","description":"Explanation (If no damage amount is alleged, the complaint must be reported unless the firm has made a good faith determination that the damages from the alleged conduct would be less than $5,000)"},{"name":"drpCustomerComplaint.200905.formU4CustomerComplaint.disclosureEventDetailText","type":"String","description":"Description of the allegations related to this customer complaint, including activity dates, as specified on Customer Complaint Disclosure Reporting Pages for U4 or U5 (Q4)."},{"name":"drpCustomerComplaint.200905.formU4CustomerComplaint.arbitrationCompensationDetails.arbitrationCompensationIndividualContributionAmount","type":"String","description":"Individual Contribution Amount"},{"name":"drpCustomerComplaint.200905.formU4CustomerComplaint.arbitrationCompensationDetails.arbitrationCompensationTotalAmount","type":"String","description":"Total amount of settlement, award or reparation, as specified on Customer Complaint Disclosure Reporting Pages"},{"name":"drpCustomerComplaint.200905.formU4CustomerComplaint.arbitrationLitigationFilingDate","type":"String","description":"Date with format MM/DD/YYYY"},{"name":"drpCustomerComplaint.200905.formU4CustomerComplaint.arbitrationDispositionDateDetails.date","type":"String","description":"Disposition date of arbitration or CTFC repartion, as specified on Customer Complaint Disclosure Reporting Page in YYYY-MM-DD format."},{"name":"drpCustomerComplaint.200905.formU4CustomerComplaint.arbitrationDispositionDateDetails.exactDate","type":"Boolean","description":"Flag indicating that the date is exact and not estimated or approximated."},{"name":"drpCustomerComplaint.200905.formU4CustomerComplaint.arbitrationDispositionDateDetails.dateExplanation","type":"String","description":"Explanation, if date is not exact."},{"name":"drpCustomerComplaint.200905.formU4CustomerComplaint.litigationCompensationAmount.litigationCompensationIndividualContributionAmount","type":"String","description":"Amount of judgment, restitution, settlement for this civil litigation applied to subject individual, as specified on Customer Complaint Disclosure Reporting Pages for U4 or U5 (Q26). This field will only be populated if the disclosure involves civil litigation in which the subject individual is a defendant and litigation is not pending."},{"name":"drpCustomerComplaint.200905.formU4CustomerComplaint.litigationCompensationAmount.litigationCompensationTotalAmount","type":"String","description":"Total amount of judgment, restitution, settlement for this civil litigation, as specified on Customer Complaint Disclosure Reporting Pages for U4 or U5 (Q22.A). This field will only be populated if the disclosure involves civil litigation in which the subject individual is a defendant and litigation is not pending."},{"name":"drpCustomerComplaint.200905.formU4CustomerComplaint.litigationNoticeServedDateDetails.date","type":"String","description":"Date notice/process was received by or served on the firm for the civil litigation, as specified on on Customer Complaint Disclosure Reporting Pages in YYYY-MM-DD format."},{"name":"drpCustomerComplaint.200905.formU4CustomerComplaint.litigationNoticeServedDateDetails.exactDate","type":"Boolean","description":"Flag indicating that the date is exact and not estimated or approximated."},{"name":"drpCustomerComplaint.200905.formU4CustomerComplaint.litigationNoticeServedDateDetails.dateExplanation","type":"String","description":"Explanation, if date is not exact."},{"name":"drpCustomerComplaint.200905.formU4CustomerComplaint.allegationAmount","type":"String","description":"Alleged Compensatory Damage Amount"},{"name":"drpCustomerComplaint.200905.formU4CustomerComplaint.commentText","type":"String","description":"You may use this field to provide a brief summary of the circumstances leading to the customer complaint, arbitration/CFTC reparation and/or civil litigation as well as the current status or final disposition(s). Your information must fit within the space provided."},{"name":"drpCustomerComplaint.200905.formU4CustomerComplaint.complaintDispositionDateDetails.date","type":"String","description":"Status date, if complaint pending, or disposition date, as specified on Customer Complaint Disclosure Reporting Page in YYYY-MM-DD format."},{"name":"drpCustomerComplaint.200905.formU4CustomerComplaint.complaintDispositionDateDetails.exactDate","type":"Boolean","description":"Flag indicating that the date is exact and not estimated or approximated."},{"name":"drpCustomerComplaint.200905.formU4CustomerComplaint.complaintDispositionDateDetails.dateExplanation","type":"String","description":"Explanation, if date is not exact."},{"name":"drpCustomerComplaint.200905.formU4CustomerComplaint.complaintWrittenFlag","type":"Boolean","description":"Flag indicating this is a written complaint, as specified on Customer Complaint Disclosure Reporting Pages"},{"name":"drpCustomerComplaint.200905.formU4CustomerComplaint.arbitrationPendingFlag","type":"Boolean","description":"Is arbitration/reparation pending?"},{"name":"drpCustomerComplaint.200905.formU4CustomerComplaint.arbitrationDispositionTypeCode","type":"String","description":"How was matter resolved?"},{"name":"drpCustomerComplaint.200905.formU4CustomerComplaint.complaintOralFlag","type":"Boolean","description":"Flag indicating this is an oral complaint, as specified on Customer Complaint Disclosure Reporting Pages for U4 or U5 (Q7.A). Valid Values: true, false"},{"name":"drpCustomerComplaint.200905.formU4CustomerComplaint.arbitrationDispositionTypeOtherText","type":"String","description":"Describes the regulatory action resolution type when the disposition type code is set as Other"},{"name":"drpCustomerComplaint.200905.formU4CustomerComplaint.litigationAppealCourtDetails.courtCaseNumber","type":"String","description":"The court docket or case number"},{"name":"drpCustomerComplaint.200905.formU4CustomerComplaint.litigationAppealCourtDetails.courtTypeCode","type":"String","description":"Code indicating the type of court. Values include FEDRL, STATE, FORGN, MLTRY, OTHER."},{"name":"drpCustomerComplaint.200905.formU4CustomerComplaint.litigationAppealCourtDetails.courtName","type":"String","description":"Name of Court (Federal, State, Foreign or Other)"},{"name":"drpCustomerComplaint.200905.formU4CustomerComplaint.litigationAppealCourtDetails.courtLocation","type":"String","description":"Location of Court (City or County and State or Country)"},{"name":"drpCustomerComplaint.200905.formU4CustomerComplaint.litigationAppealCourtDetails.courtTypeOtherText","type":"String","description":"The court type description when court type code is Other."},{"name":"drpCustomerComplaint.200905.formU4CustomerComplaint.litigationDispositionTypeCode","type":"String","description":"How was matter resolved?"},{"name":"drpCustomerComplaint.200905.formU4CustomerComplaint.productTypeOtherText","type":"String","description":"Describes other product types besides the principal product type that applies to this disclosure, as specified on Customer Complaint Disclosure Reporting Pages for U4 or U5 (Q5)."},{"name":"drpCustomerComplaint.200905.formU4CustomerComplaint.employingFirmName","type":"String","description":"Name of the firm where the individual's employment was terminated, as specified on Termination Disclosure Reporting Page for U4 or U5 (Q1)."},{"name":"drpCustomerComplaint.200905.formU4CustomerComplaint.disclosureEventDateDetails.date","type":"String","description":"Date complaint, arbitration/CFTC reparation or civil litigation was received by or served on firm, as specified on Civil Judicial Disclosure Reporting Page in YYYY-MM-DD format."},{"name":"drpCustomerComplaint.200905.formU4CustomerComplaint.disclosureEventDateDetails.exactDate","type":"Boolean","description":"Flag indicating that the date is exact and not estimated or approximated."},{"name":"drpCustomerComplaint.200905.formU4CustomerComplaint.disclosureEventDateDetails.dateExplanation","type":"String","description":"Explanation, if date is not exact."},{"name":"drpCustomerComplaint.200905.formU4CustomerComplaint.complaintCompensationDetails.complaintCompensationIndividualContributionAmount","type":"String","description":"Amount of settlement applied to subject individual, as specified on Customer Complaint Disclosure Reporting Pages"},{"name":"drpCustomerComplaint.200905.formU4CustomerComplaint.complaintCompensationDetails.complaintCompensationTotalAmount","type":"String","description":"Total amount of settlement, if settled without arbitration, reparation or litigation, as specified on Customer Complaint Disclosure Reporting Pages"},{"name":"drpCustomerComplaint.200905.formU4CustomerComplaint.productType","type":"String","description":"Product Type Details"},{"name":"drpCustomerComplaint.200905.formU4CustomerComplaint.arbitrationLitigationCourtDetailText","type":"String","description":"Describes the court this civil judicial action was brought in, including name and location of court and case or docket number, as specified on on Customer Complaint Disclosure Reporting Pages for U4 or U5 (Q20). This field will only be populated if the disclosure involves a civil litigation in which the subject individual is a defendant."},{"name":"drpCustomerComplaint.200905.formU4CustomerComplaint.allegationAmountExplanation","type":"String","description":"Explanation if the allegation amount is not exact, as specified on Customer Complaint Disclosure Reporting Pages"},{"name":"drpCustomerComplaint.200905.formU4CustomerComplaint.customerResidenceStateDetailText","type":"String","description":"Other states of residence for the customer(s) initiating the complaint, as specified on Customer Complaint Disclosure Reporting Pages for U4 or U5 (Q2.B)."},{"name":"drpCustomerComplaint.200905.formU4CustomerComplaint.litigationDispositionDateDetails.date","type":"String","description":"Disposition date of litigation, as specified on Customer Complaint Disclosure Reporting Page in YYYY-MM-DD format. This field will only be populated if the disclosure involves civil litigation in which the subject individual is a defendant and litigation is not pending."},{"name":"drpCustomerComplaint.200905.formU4CustomerComplaint.litigationDispositionDateDetails.exactDate","type":"Boolean","description":"Flag indicating that the date is exact and not estimated or approximated."},{"name":"drpCustomerComplaint.200905.formU4CustomerComplaint.litigationDispositionDateDetails.dateExplanation","type":"String","description":"Explanation, if date is not exact."},{"name":"drpCustomerComplaint.200905.formU4CustomerComplaint.customerComplaintU4DisclosureQuestionSelection","type":"String","description":"Indicates the Form U4 disclosure question(s) that are applicable to this customer complaint disclosure reporting page (DRP)."},{"name":"drpCustomerComplaint.200905.formU4CustomerComplaint.arbitrationNoticeServedDateDetails.date","type":"String","description":"Date notice/process was served for the arbitration/CFTC reparation, as specified on on Customer Complaint Disclosure Reporting Pages in YYYY-MM-DD format. This field will only be populated if the disclosure involves an arbitration or CFTC reparation in which the subject individual is a named respondent."},{"name":"drpCustomerComplaint.200905.formU4CustomerComplaint.arbitrationNoticeServedDateDetails.exactDate","type":"Boolean","description":"Flag indicating that the date is exact and not estimated or approximated."},{"name":"drpCustomerComplaint.200905.formU4CustomerComplaint.arbitrationNoticeServedDateDetails.dateExplanation","type":"String","description":"Explanation, if date is not exact."},{"name":"drpCustomerComplaint.200905.formU4CustomerComplaint.litigationAppealDateDetails.date","type":"String","description":"If civil litigation is on appeal, date appeal was filed, as specified on Customer Complaint Disclosure Reporting Pages in YYYY-MM-DD format. This field will only be populated if the disclosure involves civil litigation in which the subject individual is a defendant and litigation is on appeal"},{"name":"drpCustomerComplaint.200905.formU4CustomerComplaint.litigationAppealDateDetails.exactDate","type":"Boolean","description":"Flag indicating that the date is exact and not estimated or approximated."},{"name":"drpCustomerComplaint.200905.formU4CustomerComplaint.litigationAppealDateDetails.dateExplanation","type":"String","description":"Explanation, if date is not exact."},{"name":"drpCustomerComplaint.200905.formU4CustomerComplaint.disclosureEventPendingFlag","type":"Boolean","description":"Flag indicating that the investigation is currently pending, as specified on Investigation Disclosure Reporting Pages for U4, U5 or U6 (Q4)."},{"name":"drpCustomerComplaint.200905.formU4CustomerComplaint.initiatorName","type":"String","description":"Name of the customer(s) initiating the complaint, as specified on Customer Complaint Disclosure Reporting Pages for U4 or U5 (Q1)."},{"name":"drpCustomerComplaint.200905.formU4CustomerComplaint.litigationDispositionTypeOtherText","type":"String","description":"Describes the litigation disposition when the disposition type code is set as Other, as specified on Customer Complaint Disclosure Reporting Page U4 or U5 (Q20). This question will only be populated if litigation is pending and disposition type is Other."},{"name":"drpCustomerComplaint.200905.formU4CustomerComplaint.arbitrationAuthorityName","type":"String","description":"Name of the arbitration authority (e.g., FINRA, AAA, CFTC) that this case was filed with, as specified on Customer Complaint Disclosure Reporting Pages for U4 or U5 (Q12.A). This field will only be populated if the disclosure involves an arbitration or CFTC reparation in which the subject individual is a named respondent."},{"name":"drpCustomerComplaint.200905.formU4CustomerComplaint.litigationCourtDetails.courtCaseNumber","type":"String","description":"The court docket or case number"},{"name":"drpCustomerComplaint.200905.formU4CustomerComplaint.litigationCourtDetails.courtTypeCode","type":"String","description":"Code indicating the type of court. Values include FEDRL, STATE, FORGN, MLTRY, OTHER."},{"name":"drpCustomerComplaint.200905.formU4CustomerComplaint.litigationCourtDetails.courtName","type":"String","description":"Name of Court (Federal, State, Foreign or Other)"},{"name":"drpCustomerComplaint.200905.formU4CustomerComplaint.litigationCourtDetails.courtLocation","type":"String","description":"Location of Court (City or County and State or Country)"},{"name":"drpCustomerComplaint.200905.formU4CustomerComplaint.litigationCourtDetails.courtTypeOtherText","type":"String","description":"The court type description when court type code is Other."},{"name":"drpCustomerComplaint.200905.formU4CustomerComplaint.litigationPendingFlag","type":"Boolean","description":"If the civil litigation is not pending, what was the disposition?"},{"name":"drpCustomerComplaint.200905.formU4CustomerComplaint.arbitrationLitigationFlag","type":"Boolean","description":"Flag indicating this is disclosure is related to an arbitration, CFTC reparation or civil litigation, as specified on Customer Complaint Disclosure Reporting Pages for U4 or U5 (Q7.C)"},{"name":"drpCustomerComplaint.200905.formU4CustomerComplaint.reportingObligationFlag","type":"Boolean","description":"satisfy my firm's reporting obligation pursuant to the applicable provision of FINRA Rule 4530(a)(1)."},{"name":"drpCustomerComplaint.200905.formU4CustomerComplaint.customerResidenceStateDetails","type":"String","description":"The state of residence for the customer(s) initiating the complaint"},{"name":"drpCustomerComplaint.200905.formU4CustomerComplaint.arbitrationLitigationCourtCaseNumberText","type":"String","description":"The court docket or case number"},{"name":"drpCustomerComplaint.200905.formU4CustomerComplaint.complaintDispositionTypeCode","type":"String","description":"If the complaint, arbitration/CFTC reparation or civil litigation is not pending, provide status"},{"name":"drpCustomerComplaint.200905.formU4CustomerComplaint.arbitrationCaseNumberText","type":"String","description":"Case or docket number of the arbitration/CFTC reparation case as it was filed with the arbitrating authority, as specified on on Customer Complaint Disclosure Reporting Pages"},{"name":"drpCustomerComplaint.200905.drpIdentifierDetails.disclosureIdentifier","type":"Number","description":"Unique number that identifies a disclosure. Will be the same if Disclosure Reporting Page (DRP) is ammended."},{"name":"drpCustomerComplaint.200905.drpIdentifierDetails.occurrenceIdentifier","type":"Number","description":"Unique identifier of the occurrence associated with this disclosure."},{"name":"drpCustomerComplaint.200905.drpIdentifierDetails.filingIdentifier","type":"Number","description":"The unique identifier assigned to the current filing associated with this disclosure."},{"name":"drpCustomerComplaint.200905.reportableFlag","type":"Boolean","description":"Flag set during disclosure review indicating whether the occurrence is reportable."},{"name":"drpCustomerComplaint.200905.disclosureVersion","type":"String","description":"Version of Disclosure Reporting Page (DRP). Values include 05/2009 and 10/2005"},{"name":"drpCustomerComplaint.200905.id","type":"String","description":"Unique identifier for items in a collection. It is in UUID version 4 format."},{"name":"drpCustomerComplaint.200905.baseline","type":"Boolean","description":"Field that identifies any value in a collection as baseline"},{"name":"drpCustomerComplaint.200905.discloseToPublicFlag","type":"Boolean","description":"flag indicating if this is disclosed to public"},{"name":"drpCustomerComplaint.200510.formU4CustomerComplaint.disclosureEventDetailText","type":"String","description":"Allegation(s) and a brief summary of events related to the allegation(s) including dates when activities leading to the allegation(s) occurred"},{"name":"drpCustomerComplaint.200510.formU4CustomerComplaint.arbitrationDispositionDateDetails.date","type":"String","description":"Disposition date of arbitration or repartion, as specified on Customer Complaint Disclosure Reporting Page in YYYY-MM-DD format. This field will only be populated if the disclosure involves an arbitration or CFTC reparation in which the subject individual is a named respondent and arbitration is not pending."},{"name":"drpCustomerComplaint.200510.formU4CustomerComplaint.arbitrationDispositionDateDetails.exactDate","type":"Boolean","description":"Flag indicating that the date is exact and not estimated or approximated."},{"name":"drpCustomerComplaint.200510.formU4CustomerComplaint.arbitrationDispositionDateDetails.dateExplanation","type":"String","description":"Explanation, if date is not exact."},{"name":"drpCustomerComplaint.200510.formU4CustomerComplaint.litigationNoticeServedDateDetails.date","type":"String","description":"Date notice/process was served for the civil litigation, as specified on on Customer Complaint Disclosure Reporting Pages in YYYY-MM-DD format. This field will only be populated if the disclosure involves a civil litigation in which the subject individual is a defendant."},{"name":"drpCustomerComplaint.200510.formU4CustomerComplaint.litigationNoticeServedDateDetails.exactDate","type":"Boolean","description":"Flag indicating that the date is exact and not estimated or approximated."},{"name":"drpCustomerComplaint.200510.formU4CustomerComplaint.litigationNoticeServedDateDetails.dateExplanation","type":"String","description":"Explanation, if date is not exact."},{"name":"drpCustomerComplaint.200510.formU4CustomerComplaint.allegationAmount","type":"String","description":"Alleged Compensatory Damage Amount"},{"name":"drpCustomerComplaint.200510.formU4CustomerComplaint.litigationCompensationTotalAmount","type":"String","description":"Total amount of judgment, restitution, settlement for this civil litigation, as specified on Customer Complaint Disclosure Reporting Pages"},{"name":"drpCustomerComplaint.200510.formU4CustomerComplaint.commentText","type":"String","description":"You may use this field to provide a brief summary of the circumstances leading to the customer complaint, arbitration CFTC reparation and/or civil litigation as well as the current status or final disposition(s). Your information must fit within the space provided."},{"name":"drpCustomerComplaint.200510.formU4CustomerComplaint.complaintDispositionDateDetails.date","type":"String","description":"Status date, if complaint pending, or disposition date, as specified on Customer Complaint Disclosure Reporting Page in YYYY-MM-DD format."},{"name":"drpCustomerComplaint.200510.formU4CustomerComplaint.complaintDispositionDateDetails.exactDate","type":"Boolean","description":"Flag indicating that the date is exact and not estimated or approximated."},{"name":"drpCustomerComplaint.200510.formU4CustomerComplaint.complaintDispositionDateDetails.dateExplanation","type":"String","description":"Explanation, if date is not exact."},{"name":"drpCustomerComplaint.200510.formU4CustomerComplaint.arbitrationPendingFlag","type":"Boolean","description":"Is arbitration/reparation pending?"},{"name":"drpCustomerComplaint.200510.formU4CustomerComplaint.arbitrationDispositionTypeCode","type":"String","description":"How was matter resolved?"},{"name":"drpCustomerComplaint.200510.formU4CustomerComplaint.litigationDispositionTypeCode","type":"String","description":"How was matter resolved?"},{"name":"drpCustomerComplaint.200510.formU4CustomerComplaint.employingFirmName","type":"String","description":"Name of the firm where the individual's employment was terminated, as specified on Termination Disclosure Reporting Page for U4 or U5 (Q1)."},{"name":"drpCustomerComplaint.200510.formU4CustomerComplaint.productTypeOtherText","type":"String","description":"Describes the product other than the principal product that apply to this regulatory action, as specified on Regulatory Action Disclosure Reporting Page for U4, U5 or U6 (Q6)."},{"name":"drpCustomerComplaint.200510.formU4CustomerComplaint.litigationCompensationIndividualContributionAmount","type":"String","description":"Amount of judgment, restitution, settlement for this civil litigation applied to subject individual, as specified on Customer Complaint Disclosure Reporting Pages"},{"name":"drpCustomerComplaint.200510.formU4CustomerComplaint.disclosureEventDateDetails.date","type":"String","description":"Date complaint, arbitration/CFTC reparation or civil litigation was received by or served on firm, as specified on Customer Complaint Disclosure Reporting Pages in YYYY-MM-DD format."},{"name":"drpCustomerComplaint.200510.formU4CustomerComplaint.disclosureEventDateDetails.exactDate","type":"Boolean","description":"Flag indicating that the date is exact and not estimated or approximated."},{"name":"drpCustomerComplaint.200510.formU4CustomerComplaint.disclosureEventDateDetails.dateExplanation","type":"String","description":"Explanation, if date is not exact."},{"name":"drpCustomerComplaint.200510.formU4CustomerComplaint.litigationCourtDetailText","type":"String","description":"Describes the court this civil judicial action was brought in, including name and location of court and case or docket number, as specified on on Customer Complaint Disclosure Reporting Pages for U4 or U5 (Q20). This field will only be populated if the disclosure involves a civil litigation in which the subject individual is a defendant."},{"name":"drpCustomerComplaint.200510.formU4CustomerComplaint.productType","type":"String","description":"Product Type Details"},{"name":"drpCustomerComplaint.200510.formU4CustomerComplaint.customerResidenceStateDetailText","type":"String","description":"Other states of residence for the customer(s) initiating the complaint, as specified on Customer Complaint Disclosure Reporting Pages for U4 or U5 (Q2.B)."},{"name":"drpCustomerComplaint.200510.formU4CustomerComplaint.litigationDispositionDateDetails.date","type":"String","description":"Disposition date of litigation, as specified on Customer Complaint Disclosure Reporting Page in YYYY-MM-DD format. This field will only be populated if the disclosure involves civil litigation in which the subject individual is a defendant and litigation is not pending."},{"name":"drpCustomerComplaint.200510.formU4CustomerComplaint.litigationDispositionDateDetails.exactDate","type":"Boolean","description":"Flag indicating that the date is exact and not estimated or approximated."},{"name":"drpCustomerComplaint.200510.formU4CustomerComplaint.litigationDispositionDateDetails.dateExplanation","type":"String","description":"Explanation, if date is not exact."},{"name":"drpCustomerComplaint.200510.formU4CustomerComplaint.customerComplaintU4DisclosureQuestionSelection","type":"String","description":"Indicates the Form U4 disclosure question(s) that are applicable to this customer complaint disclosure reporting page (DRP)."},{"name":"drpCustomerComplaint.200510.formU4CustomerComplaint.arbitrationNoticeServedDateDetails.date","type":"String","description":"Date notice/process was served for the arbitration/CFTC reparation, as specified on on Customer Complaint Disclosure Reporting Pages in YYYY-MM-DD format. This field will only be populated if the disclosure involves an arbitration or CFTC reparation in which the subject individual is a named respondent."},{"name":"drpCustomerComplaint.200510.formU4CustomerComplaint.arbitrationNoticeServedDateDetails.exactDate","type":"Boolean","description":"Flag indicating that the date is exact and not estimated or approximated."},{"name":"drpCustomerComplaint.200510.formU4CustomerComplaint.arbitrationNoticeServedDateDetails.dateExplanation","type":"String","description":"Explanation, if date is not exact."},{"name":"drpCustomerComplaint.200510.formU4CustomerComplaint.litigationAppealDateDetails.date","type":"String","description":"If civil litigation is on appeal, date appeal was filed, as specified on Customer Complaint Disclosure Reporting Pages in YYYY-MM-DD format. This field will only be populated if the disclosure involves civil litigation in which the subject individual is a defendant and litigation is on appeal"},{"name":"drpCustomerComplaint.200510.formU4CustomerComplaint.litigationAppealDateDetails.exactDate","type":"Boolean","description":"Flag indicating that the date is exact and not estimated or approximated."},{"name":"drpCustomerComplaint.200510.formU4CustomerComplaint.litigationAppealDateDetails.dateExplanation","type":"String","description":"Explanation, if date is not exact."},{"name":"drpCustomerComplaint.200510.formU4CustomerComplaint.complaintCompensationTotalAmount","type":"String","description":"Total amount of settlement, if settled without arbitration, reparation or litigation, as specified on Customer Complaint Disclosure Reporting Pages"},{"name":"drpCustomerComplaint.200510.formU4CustomerComplaint.arbitrationCompensationIndividualContributionAmount","type":"String","description":"Individual Contribution Amount"},{"name":"drpCustomerComplaint.200510.formU4CustomerComplaint.disclosureEventPendingFlag","type":"Boolean","description":"Flag indicating that the investigation is currently pending, as specified on Investigation Disclosure Reporting Pages for U4, U5 or U6 (Q4)."},{"name":"drpCustomerComplaint.200510.formU4CustomerComplaint.initiatorName","type":"String","description":"Name of the customer(s) initiating the complaint, as specified on Customer Complaint Disclosure Reporting Pages"},{"name":"drpCustomerComplaint.200510.formU4CustomerComplaint.arbitrationCompensationTotalAmount","type":"String","description":"Total amount of settlement, award or reparation, as specified on Customer Complaint Disclosure Reporting Pages for U4 or U5 (Q16.A). This field will only be populated if the disclosure involves an arbitration or CFTC reparation in which the subject individual is a named respondent and arbitration is not pending."},{"name":"drpCustomerComplaint.200510.formU4CustomerComplaint.complaintCompensationIndividualContributionAmount","type":"String","description":"Amount of settlement applied to subject individual, as specified on Customer Complaint Disclosure Reporting Pages"},{"name":"drpCustomerComplaint.200510.formU4CustomerComplaint.litigationPendingFlag","type":"Boolean","description":"If the civil litigation is not pending, what was the disposition?"},{"name":"drpCustomerComplaint.200510.formU4CustomerComplaint.customerResidenceStateDetails","type":"String","description":"The state of residence for the customer(s) initiating the complaint"},{"name":"drpCustomerComplaint.200510.formU4CustomerComplaint.complaintDispositionTypeCode","type":"String","description":"How was matter resolved?"},{"name":"drpCustomerComplaint.200510.formU4CustomerComplaint.arbitrationAuthorityDetailText","type":"String","description":"Name of the arbitration authority (e.g., NASD, AAA, NYSE, CBOE, CFTC) that this case was filed with and docket/case number, as specified on Customer Complaint Disclosure Reporting Pages"},{"name":"drpCustomerComplaint.200510.drpIdentifierDetails.disclosureIdentifier","type":"Number","description":"Unique number that identifies a disclosure. Will be the same if Disclosure Reporting Page (DRP) is ammended."},{"name":"drpCustomerComplaint.200510.drpIdentifierDetails.occurrenceIdentifier","type":"Number","description":"Unique identifier of the occurrence associated with this disclosure."},{"name":"drpCustomerComplaint.200510.drpIdentifierDetails.filingIdentifier","type":"Number","description":"The unique identifier assigned to the current filing associated with this disclosure."},{"name":"drpCustomerComplaint.200510.reportableFlag","type":"Boolean","description":"Flag set during disclosure review indicating whether the occurrence is reportable."},{"name":"drpCustomerComplaint.200510.disclosureVersion","type":"String","description":"Version of Disclosure Reporting Page (DRP). Values include 05/2009 and 10/2005"},{"name":"drpCustomerComplaint.200510.id","type":"String","description":"Unique identifier for items in a collection. It is in UUID version 4 format."},{"name":"drpCustomerComplaint.200510.baseline","type":"Boolean","description":"Field that identifies any value in a collection as baseline"},{"name":"drpCustomerComplaint.200510.discloseToPublicFlag","type":"Boolean","description":"flag indicating if this is disclosed to public"},{"name":"drpRegulatoryAction.200905.drpIdentifierDetails.disclosureIdentifier","type":"Number","description":"Unique number that identifies a disclosure. Will be the same if Disclosure Reporting Page (DRP) is ammended."},{"name":"drpRegulatoryAction.200905.drpIdentifierDetails.occurrenceIdentifier","type":"Number","description":"Unique identifier of the occurrence associated with this disclosure."},{"name":"drpRegulatoryAction.200905.drpIdentifierDetails.filingIdentifier","type":"Number","description":"The unique identifier assigned to the current filing associated with this disclosure."},{"name":"drpRegulatoryAction.200905.reportableFlag","type":"Boolean","description":"Flag set during disclosure review indicating whether the occurrence is reportable."},{"name":"drpRegulatoryAction.200905.disclosureVersion","type":"String","description":"Version of Disclosure Reporting Page (DRP). Values include 05/2009 and 10/2005"},{"name":"drpRegulatoryAction.200905.id","type":"String","description":"Unique identifier for items in a collection. It is in UUID version 4 format."},{"name":"drpRegulatoryAction.200905.baseline","type":"Boolean","description":"Field that identifies any value in a collection as baseline"},{"name":"drpRegulatoryAction.200905.formU4RegulatoryAction.courtCaseNumber","type":"String","description":"The court docket or case number"},{"name":"drpRegulatoryAction.200905.formU4RegulatoryAction.orderedSanctionType","type":"String","description":"Sanction(s) ordered for the regulatory action described in this disclosure, as specified on Regulatory Action Disclosure Reporting Page for U4, U5 or U6 (Q12.A). Valid Values: BAR, MONETARYFINE, CENSURE, CEASEDESISTINJUNCTION, REVOCATIONEXPULSIONDENIAL, DISGORGEMENTRESTITUTION, SUSPENSION."},{"name":"drpRegulatoryAction.200905.formU4RegulatoryAction.sanctionMonetaryDetails.sanctionMonetaryCollectedAmount","type":"String","description":"Total amount collected from the individual for the monetary-related sanction, as specified on Regulatory Action Disclosure Reporting Page for U4 (13.E), U5 (12.F) or U6 (13.E)."},{"name":"drpRegulatoryAction.200905.formU4RegulatoryAction.sanctionMonetaryDetails.sanctionMonetarySequenceNumber","type":"Number","description":"Sequence number identifying each monetary sanction"},{"name":"drpRegulatoryAction.200905.formU4RegulatoryAction.sanctionMonetaryDetails.sanctionMonetaryWaivedAmount","type":"String","description":"Amount waived for the monetary-related sanction, as specified on Regulatory Action Disclosure Reporting Page"},{"name":"drpRegulatoryAction.200905.formU4RegulatoryAction.sanctionMonetaryDetails.id","type":"String","description":"Unique identifier for items in a collection. It is in UUID version 4 format."},{"name":"drpRegulatoryAction.200905.formU4RegulatoryAction.sanctionMonetaryDetails.sanctionMonetaryType","type":"String","description":"Monetary-related sanctions ordered for the regulatory action described in this disclosure, as specified on Regulatory Action Disclosure Reporting Page"},{"name":"drpRegulatoryAction.200905.formU4RegulatoryAction.sanctionMonetaryDetails.paymentPlanCurrentFlag","type":"Boolean","description":"Flag indicating that the payment plan is current, as specified on Regulatory Action Disclosure Reporting Page"},{"name":"drpRegulatoryAction.200905.formU4RegulatoryAction.sanctionMonetaryDetails.sanctionMonetaryTotalAmount","type":"String","description":"Total amount ordered for the monetary-related sanction, as specified on Regulatory Action Disclosure Reporting Page"},{"name":"drpRegulatoryAction.200905.formU4RegulatoryAction.sanctionMonetaryDetails.paymentPlanDescription","type":"String","description":"Text descrption of the payment plan, as specified on Regulatory Action Disclosure Reporting Page"},{"name":"drpRegulatoryAction.200905.formU4RegulatoryAction.sanctionMonetaryDetails.sanctionMonetaryWaivedFlag","type":"Boolean","description":"Indicates if any portion of the monetary-related sanction was waived for this regulatory action, as specified on Regulatory Action Disclosure Reporting Page"},{"name":"drpRegulatoryAction.200905.formU4RegulatoryAction.sanctionMonetaryDetails.sanctionMonetaryCollectedDateDetail.date","type":"String","description":"Date paid by you in YYYY-MM-DD format."},{"name":"drpRegulatoryAction.200905.formU4RegulatoryAction.sanctionMonetaryDetails.sanctionMonetaryCollectedDateDetail.exactDate","type":"Boolean","description":"Flag indicating that the date is exact and not estimated or approximated."},{"name":"drpRegulatoryAction.200905.formU4RegulatoryAction.sanctionMonetaryDetails.sanctionMonetaryCollectedDateDetail.dateExplanation","type":"String","description":"Explanation, if date is not exact."},{"name":"drpRegulatoryAction.200905.formU4RegulatoryAction.appealLimitationFlag","type":"Boolean","description":"If this regulatory action is on appeal, indicates if limitations or restrictions are currently in effect, as specified on U4, U5 or U6 - Regulatory Action Disclosure Reporting Page"},{"name":"drpRegulatoryAction.200905.formU4RegulatoryAction.disclosureEventDetailText","type":"String","description":"Describe the allegations related to this regulatory action."},{"name":"drpRegulatoryAction.200905.formU4RegulatoryAction.regulatoryActionU4DisclosureQuestionSelection","type":"String","description":"Indicates the Form U4 disclosure question(s) that are applicable to this regulatory action Disclosure Reporting Page (DRP)."},{"name":"drpRegulatoryAction.200905.formU4RegulatoryAction.commentText","type":"String","description":"You may use this field to provide a brief summary of the circumstances leading to the action as well as the current status or final disposition. Your information must fit within the space provided."},{"name":"drpRegulatoryAction.200905.formU4RegulatoryAction.appealOrganizationTypeOtherText","type":"String","description":"The appeal court type description when court type code is Other, as specified on U4, U5 or U6 - Regulatory Action Disclosure Reporting Page (Q10.A)."},{"name":"drpRegulatoryAction.200905.formU4RegulatoryAction.employingFirmName","type":"String","description":"Name of the firm where the individual's employment was terminated, as specified on Termination Disclosure Reporting Page for U4 or U5 (Q1)."},{"name":"drpRegulatoryAction.200905.formU4RegulatoryAction.productTypeOtherText","type":"String","description":"Describes the product other than the principal product that apply to this regulatory action, as specified on Regulatory Action Disclosure Reporting Page for U4, U5 or U6 (Q6)."},{"name":"drpRegulatoryAction.200905.formU4RegulatoryAction.soughtReliefSanctionType","type":"String","description":"Principal relief type sought for the regulatory action described in this disclosure, as specified on Regulatory Action Disclosure Reporting Page for U4, U5 or U6 (Q2)."},{"name":"drpRegulatoryAction.200905.formU4RegulatoryAction.appealOrganizationTypeCode","type":"String","description":"Code indicating the type of court or organization appealed to, if the regulatory action is On Appeal, as specified on U4, U5 or U6 - Regulatory Action Disclosure Reporting Page"},{"name":"drpRegulatoryAction.200905.formU4RegulatoryAction.orderedSanctionTypeOtherText","type":"String","description":"Description of other sanctions ordered as relief for this regulatory action, as specified on U4, U5 or U6 - Regulatory Action Disclosure Reporting Page"},{"name":"drpRegulatoryAction.200905.formU4RegulatoryAction.disclosureEventDateDetails.date","type":"String","description":"Date regulatory action was initiated, as specified on Regulatory Action Disclosure Reporting Page in YYYY-MM-DD format."},{"name":"drpRegulatoryAction.200905.formU4RegulatoryAction.disclosureEventDateDetails.exactDate","type":"Boolean","description":"Flag indicating that the date is exact and not estimated or approximated."},{"name":"drpRegulatoryAction.200905.formU4RegulatoryAction.disclosureEventDateDetails.dateExplanation","type":"String","description":"Explanation, if date is not exact."},{"name":"drpRegulatoryAction.200905.formU4RegulatoryAction.sanctionRequalificationDetails.sanctionRequalificationLengthText","type":"String","description":"Length of time given to requalify/retrain"},{"name":"drpRegulatoryAction.200905.formU4RegulatoryAction.sanctionRequalificationDetails.id","type":"String","description":"Unique identifier for items in a collection. It is in UUID version 4 format."},{"name":"drpRegulatoryAction.200905.formU4RegulatoryAction.sanctionRequalificationDetails.sanctionRequalificationExamText","type":"String","description":"Exam type required for requalification, as specified on Regulatory Action Disclosure Reporting Page for U4 (13.D), U5 (12.E) or U6 (13.E). This question will only be populated if regulatory action status is Final or On Appeal and sanction type is Requalification."},{"name":"drpRegulatoryAction.200905.formU4RegulatoryAction.sanctionRequalificationDetails.sanctionRequalificationExplanation","type":"String","description":"Explanation for requalification or retraining, as specified on Regulatory Action Disclosure Reporting Page"},{"name":"drpRegulatoryAction.200905.formU4RegulatoryAction.sanctionRequalificationDetails.sanctionRequalificationSatsifiedFlag","type":"Boolean","description":"Indicates if requalification/retraining has been satisfied for this regulatory action, as specified on Regulatory Action Disclosure Reporting Page for U4 (13.D), U5 (12.E) or U6 (13.E)"},{"name":"drpRegulatoryAction.200905.formU4RegulatoryAction.sanctionRequalificationDetails.sanctionRequalificationSequenceNumber","type":"Number","description":"Sequence number identifying each suspension or bar sanction"},{"name":"drpRegulatoryAction.200905.formU4RegulatoryAction.sanctionRequalificationDetails.sanctionRequalificationTypeCode","type":"String","description":"Type of requalification-related sanctions ordered for the regulatory action described in this disclosure, as specified on Regulatory Action Disclosure Reporting Page for U4 (13.D), U5 (12.E) or U6 (13.E)."},{"name":"drpRegulatoryAction.200905.formU4RegulatoryAction.dispositionDetails.dispositionTypeOtherText","type":"String","description":"Describes the regulatory action resolution type when the disposition type code is set as Other"},{"name":"drpRegulatoryAction.200905.formU4RegulatoryAction.dispositionDetails.dispositionTypeCode","type":"String","description":"How was matter resolved?"},{"name":"drpRegulatoryAction.200905.formU4RegulatoryAction.dispositionDetails.dispositionDateDetails.date","type":"String","description":"Date the regulatory action was resolved, as specified on Regulatory Action Disclosure Reporting Page in YYYY-MM-DD format. This question will only be populated if action status is Final or On Appeal."},{"name":"drpRegulatoryAction.200905.formU4RegulatoryAction.dispositionDetails.dispositionDateDetails.exactDate","type":"Boolean","description":"Flag indicating that the date is exact and not estimated or approximated."},{"name":"drpRegulatoryAction.200905.formU4RegulatoryAction.dispositionDetails.dispositionDateDetails.dateExplanation","type":"String","description":"Explanation, if date is not exact."},{"name":"drpRegulatoryAction.200905.formU4RegulatoryAction.productType","type":"String","description":"Product Type Details"},{"name":"drpRegulatoryAction.200905.formU4RegulatoryAction.disclosureEventStatusType","type":"String","description":"Code indicating the current status of the court or regulatory action described in this disclosure. Valid Values: PENDING, ONAPPEAL and FINAL. Legacy Values: UNKNOWN."},{"name":"drpRegulatoryAction.200905.formU4RegulatoryAction.appealDateDetails.date","type":"String","description":"Date appeal was filed for this regulatory action, as specified on Regulatory Action Disclosure Reporting Page in YYYY-MM-DD format."},{"name":"drpRegulatoryAction.200905.formU4RegulatoryAction.appealDateDetails.exactDate","type":"Boolean","description":"Flag indicating that the date is exact and not estimated or approximated."},{"name":"drpRegulatoryAction.200905.formU4RegulatoryAction.appealDateDetails.dateExplanation","type":"String","description":"Explanation, if date is not exact."},{"name":"drpRegulatoryAction.200905.formU4RegulatoryAction.initiatorName","type":"String","description":"Court Action initiated by: (Name of regulator, foreign financial regulatory authority, SRO, commodities exchange, Agency, Firm, Private Plaintiff, etc.)"},{"name":"drpRegulatoryAction.200905.formU4RegulatoryAction.soughtReliefSanctionTypeOtherText","type":"String","description":"Principal relief type sought for the regulatory action described in this disclosure, as specified on Regulatory Action Disclosure Reporting Page for U4, U5 or U6 (Q2)."},{"name":"drpRegulatoryAction.200905.formU4RegulatoryAction.finalOrderFlag","type":"Boolean","description":"Does the order constitute a final order based on violations of any laws or regulations that prohibit fraudulent, manipulative, or deceptive conduct?"},{"name":"drpRegulatoryAction.200905.formU4RegulatoryAction.sanctionSuspensionBarDetails.sanctionDurationExplanation","type":"String","description":"Reason if duration is not exact, as specified on Regulatory Action Disclosure Reporting Page"},{"name":"drpRegulatoryAction.200905.formU4RegulatoryAction.sanctionSuspensionBarDetails.sanctionSuspensionBarSequenceNumber","type":"Number","description":"Sequence number identifying each suspension or bar sanction."},{"name":"drpRegulatoryAction.200905.formU4RegulatoryAction.sanctionSuspensionBarDetails.sanctionDurationText","type":"String","description":"Describes the length of time the sanction shall be in effect, as specified on Regulatory Action Disclosure Reporting Page"},{"name":"drpRegulatoryAction.200905.formU4RegulatoryAction.sanctionSuspensionBarDetails.sanctionCapacitiesAffectedText","type":"String","description":"Describes the registration capacities affected by the sanction, as specified on Regulatory Action Disclosure Reporting Page"},{"name":"drpRegulatoryAction.200905.formU4RegulatoryAction.sanctionSuspensionBarDetails.sanctionStartDateDetail.date","type":"String","description":"Start date in YYYY-MM-DD format."},{"name":"drpRegulatoryAction.200905.formU4RegulatoryAction.sanctionSuspensionBarDetails.sanctionStartDateDetail.exactDate","type":"Boolean","description":"Flag indicating that the date is exact and not estimated or approximated."},{"name":"drpRegulatoryAction.200905.formU4RegulatoryAction.sanctionSuspensionBarDetails.sanctionStartDateDetail.dateExplanation","type":"String","description":"Explanation, if date is not exact."},{"name":"drpRegulatoryAction.200905.formU4RegulatoryAction.sanctionSuspensionBarDetails.id","type":"String","description":"Unique identifier for items in a collection. It is in UUID version 4 format."},{"name":"drpRegulatoryAction.200905.formU4RegulatoryAction.sanctionSuspensionBarDetails.sanctionDurationExactFlag","type":"Boolean","description":"Whether the duration is exact or explanation, as specified on Regulatory Action Disclosure Reporting Page for U4 (13.C), U5 (12.D) or U6 (13.D)."},{"name":"drpRegulatoryAction.200905.formU4RegulatoryAction.sanctionSuspensionBarDetails.sanctionEndDateDetail.date","type":"String","description":"End date in YYYY-MM-DD format."},{"name":"drpRegulatoryAction.200905.formU4RegulatoryAction.sanctionSuspensionBarDetails.sanctionEndDateDetail.exactDate","type":"Boolean","description":"Flag indicating that the date is exact and not estimated or approximated."},{"name":"drpRegulatoryAction.200905.formU4RegulatoryAction.sanctionSuspensionBarDetails.sanctionEndDateDetail.dateExplanation","type":"String","description":"Explanation, if date is not exact."},{"name":"drpRegulatoryAction.200905.formU4RegulatoryAction.sanctionSuspensionBarDetails.sanctionSuspensionBarType","type":"String","description":"Type of suspension or bar sanction ordered for the regulatory action described in this disclosure, as specified on Regulatory Action Disclosure Reporting Page"},{"name":"drpRegulatoryAction.200905.formU4RegulatoryAction.appealLimitationDetailText","type":"String","description":"If Appeal Limitation Flag is Y then this field describes the limitations or restrictions that are currently in effect for this regulatory action, as specified on U4, U5 or U6 - Regulatory Action Disclosure Reporting Page (Q10.C)."},{"name":"drpRegulatoryAction.200905.formU4RegulatoryAction.reportingObligationFlag","type":"Boolean","description":"satisfy my firm's reporting obligation pursuant to the applicable provision of FINRA Rule 4530(a)(1)."},{"name":"drpRegulatoryAction.200905.formU4RegulatoryAction.pendingLimitationFlag","type":"Boolean","description":"If this regulatory action is pending, indicates if limiations or restrictions are currently in effect"},{"name":"drpRegulatoryAction.200905.formU4RegulatoryAction.pendingLimitationDetailText","type":"String","description":"Details of limitations or restrictions that are currently in effect if current status of civil judicial action is PENDING, as specified on U4 or U6 - Civil Judicial Disclosure Reporting Page"},{"name":"drpRegulatoryAction.200905.formU4RegulatoryAction.initiatorType","type":"String","description":"Type of entity initiating the investigation, as specified on Investigation Disclosure Reporting Page"},{"name":"drpRegulatoryAction.200905.discloseToPublicFlag","type":"Boolean","description":"flag indicating if this is disclosed to public"},{"name":"drpRegulatoryAction.200510.drpIdentifierDetails.disclosureIdentifier","type":"Number","description":"Unique number that identifies a disclosure. Will be the same if Disclosure Reporting Page (DRP) is ammended."},{"name":"drpRegulatoryAction.200510.drpIdentifierDetails.occurrenceIdentifier","type":"Number","description":"Unique identifier of the occurrence associated with this disclosure."},{"name":"drpRegulatoryAction.200510.drpIdentifierDetails.filingIdentifier","type":"Number","description":"The unique identifier assigned to the current filing associated with this disclosure."},{"name":"drpRegulatoryAction.200510.reportableFlag","type":"Boolean","description":"Flag set during disclosure review indicating whether the occurrence is reportable."},{"name":"drpRegulatoryAction.200510.disclosureVersion","type":"String","description":"Version of Disclosure Reporting Page (DRP). Values include 05/2009 and 10/2005"},{"name":"drpRegulatoryAction.200510.id","type":"String","description":"Unique identifier for items in a collection. It is in UUID version 4 format."},{"name":"drpRegulatoryAction.200510.baseline","type":"Boolean","description":"Field that identifies any value in a collection as baseline"},{"name":"drpRegulatoryAction.200510.formU4RegulatoryAction.courtCaseNumber","type":"String","description":"The court docket or case number"},{"name":"drpRegulatoryAction.200510.formU4RegulatoryAction.orderedSanctionType","type":"String","description":"Were any of the following Sanctions Ordered or Relief Granted?"},{"name":"drpRegulatoryAction.200510.formU4RegulatoryAction.disclosureEventDetailText","type":"String","description":"Describe the allegations related to this regulatory action."},{"name":"drpRegulatoryAction.200510.formU4RegulatoryAction.disclosureEventStatusType","type":"String","description":"Code indicating the current status of the court or regulatory action described in this disclosure. Valid Values: PENDING, ONAPPEAL and FINAL. Legacy Values: UNKNOWN."},{"name":"drpRegulatoryAction.200510.formU4RegulatoryAction.otherProductTypeDescription","type":"String","description":"Other Product Type"},{"name":"drpRegulatoryAction.200510.formU4RegulatoryAction.regulatoryActionU4DisclosureQuestionSelection","type":"String","description":"Indicates the Form U4 disclosure question(s) that are applicable to this regulatory action Disclosure Reporting Page (DRP)."},{"name":"drpRegulatoryAction.200510.formU4RegulatoryAction.initiatorName","type":"String","description":"(Full name of regulator, foreign financial regulatory authority, federal, state, SRO, or commodities exchange or National Credit Union Administration)"},{"name":"drpRegulatoryAction.200510.formU4RegulatoryAction.initiatorTypeCode","type":"String","description":"Code identifying the type of organization or person that initiated the disclosure action."},{"name":"drpRegulatoryAction.200510.formU4RegulatoryAction.otherSanctionText","type":"String","description":"Other Sanctions"},{"name":"drpRegulatoryAction.200510.formU4RegulatoryAction.sanctionMonetaryTotalAmount","type":"String","description":"Total amount ordered for the monetary-related sanction, as specified on Regulatory Action Disclosure Reporting Page"},{"name":"drpRegulatoryAction.200510.formU4RegulatoryAction.commentText","type":"String","description":"You may use this field to provide a brief summary of the circumstances leading to the action as well as the current status or final disposition. Your information must fit within the space provided."},{"name":"drpRegulatoryAction.200510.formU4RegulatoryAction.employingFirmName","type":"String","description":"Name of the firm where the individual's employment was terminated, as specified on Termination Disclosure Reporting Page for U4 or U5 (Q1)."},{"name":"drpRegulatoryAction.200510.formU4RegulatoryAction.soughtReliefSanctionType","type":"String","description":"Principal relief type sought for the regulatory action described in this disclosure, as specified on Regulatory Action Disclosure Reporting Page for U4, U5 or U6 (Q2)."},{"name":"drpRegulatoryAction.200510.formU4RegulatoryAction.orderedSanctionTypeOtherText","type":"String","description":"Description of other sanctions ordered as relief for this regulatory action, as specified on U4, U5 or U6 - Regulatory Action Disclosure Reporting Page"},{"name":"drpRegulatoryAction.200510.formU4RegulatoryAction.sanctionDetailText","type":"String","description":"Sanction detail: if suspended, enjoined or barred, provide duration including start date and capacities affected"},{"name":"drpRegulatoryAction.200510.formU4RegulatoryAction.disclosureEventDateDetails.date","type":"String","description":"Date regulatory action was initiated, as specified on Regulatory Action Disclosure Reporting Page in YYYY-MM-DD format."},{"name":"drpRegulatoryAction.200510.formU4RegulatoryAction.disclosureEventDateDetails.exactDate","type":"Boolean","description":"Flag indicating that the date is exact and not estimated or approximated."},{"name":"drpRegulatoryAction.200510.formU4RegulatoryAction.disclosureEventDateDetails.dateExplanation","type":"String","description":"Explanation, if date is not exact."},{"name":"drpRegulatoryAction.200510.formU4RegulatoryAction.dispositionDetails.dispositionTypeCode","type":"String","description":"How was matter resolved?"},{"name":"drpRegulatoryAction.200510.formU4RegulatoryAction.dispositionDetails.dispositionDateDetails.date","type":"String","description":"Date the regulatory action was resolved, as specified on Regulatory Action Disclosure Reporting Page in YYYY-MM-DD format. This question will only be populated if action status is Final or On Appeal."},{"name":"drpRegulatoryAction.200510.formU4RegulatoryAction.dispositionDetails.dispositionDateDetails.exactDate","type":"Boolean","description":"Flag indicating that the date is exact and not estimated or approximated."},{"name":"drpRegulatoryAction.200510.formU4RegulatoryAction.dispositionDetails.dispositionDateDetails.dateExplanation","type":"String","description":"Explanation, if date is not exact."},{"name":"drpRegulatoryAction.200510.formU4RegulatoryAction.productType","type":"String","description":"Product Type Details"},{"name":"drpRegulatoryAction.200510.formU4RegulatoryAction.appealCourtDetailText","type":"String","description":"Court or organization type appealed to and date appeal filed, if the regulatory action is On Appeal as specified on U4, U5 or U6 - Regulatory Action Disclosure Reporting Page "},{"name":"drpRegulatoryAction.200510.discloseToPublicFlag","type":"Boolean","description":"flag indicating if this is disclosed to public"},{"name":"drpCriminal.200905.formU4Criminal.disclosureEventStatusDateDetails.date","type":"String","description":"Date that the criminal action was On Appeal or Final, as specified on Criminal Disclosure Reporting Page in YYYY-MM-DD format."},{"name":"drpCriminal.200905.formU4Criminal.disclosureEventStatusDateDetails.exactDate","type":"Boolean","description":"Flag indicating that the date is exact and not estimated or approximated."},{"name":"drpCriminal.200905.formU4Criminal.disclosureEventStatusDateDetails.dateExplanation","type":"String","description":"Explanation, if date is not exact."},{"name":"drpCriminal.200905.formU4Criminal.controlledFirmDetails.controlledFirmName","type":"String","description":"Name of the firm, if the financial action relates to a firm over which the subject individual exercises control."},{"name":"drpCriminal.200905.formU4Criminal.controlledFirmDetails.controlledFirmInvestmentRelatedBusinessFlag","type":"Boolean","description":"Indicates if the controlled firm is an investment-related business, as specified on Bankruptcy Disclosure Reporting Pages"},{"name":"drpCriminal.200905.formU4Criminal.controlledFirmDetails.controlledFirmTitle","type":"String","description":"Position, title or relationship for the subject individual with the controlled firm."},{"name":"drpCriminal.200905.formU4Criminal.disclosureEventStatusType","type":"String","description":"Code indicating the current status of the court or regulatory action described in this disclosure. Valid Values: PENDING, ONAPPEAL and FINAL. Legacy Values: UNKNOWN."},{"name":"drpCriminal.200905.formU4Criminal.criminalU4DisclosureQuestionSelection","type":"String","description":"The Disclosure Reporting Page is an Initial or Amended response to report details for affirmative response(s) to Question(s) 14A and 14B on Form U4; Check the question(s) you are responding to, regardless of whether you are answering the question(s) 'yes' or amending the answer(s) to 'no'"},{"name":"drpCriminal.200905.formU4Criminal.reportingObligationFlag","type":"Boolean","description":"satisfy my firm's reporting obligation pursuant to the applicable provision of FINRA Rule 4530(a)(1)."},{"name":"drpCriminal.200905.formU4Criminal.courtDetails.courtCaseNumber","type":"String","description":"The court docket or case number"},{"name":"drpCriminal.200905.formU4Criminal.courtDetails.courtTypeCode","type":"String","description":"Code indicating the type of court. Values include FEDRL, STATE, FORGN, MLTRY, OTHER."},{"name":"drpCriminal.200905.formU4Criminal.courtDetails.courtName","type":"String","description":"Name of Court (Federal, State, Foreign or Other)"},{"name":"drpCriminal.200905.formU4Criminal.courtDetails.courtLocation","type":"String","description":"Location of Court (City or County and State or Country)"},{"name":"drpCriminal.200905.formU4Criminal.courtDetails.courtTypeOtherText","type":"String","description":"The court type description when court type code is Other."},{"name":"drpCriminal.200905.formU4Criminal.disclosureEventDateDetails.date","type":"String","description":"Date that the criminal charges were first filed, as specified on Criminal Disclosure Reporting Page in YYYY-MM-DD format."},{"name":"drpCriminal.200905.formU4Criminal.disclosureEventDateDetails.exactDate","type":"Boolean","description":"Flag indicating that the date is exact and not estimated or approximated."},{"name":"drpCriminal.200905.formU4Criminal.disclosureEventDateDetails.dateExplanation","type":"String","description":"Explanation, if date is not exact."},{"name":"drpCriminal.200905.formU4Criminal.chargeDetails.chargeCount","type":"Number","description":"Count of charges, as specified on Criminal Disclosure Reporting Pages for U4 (Q4.B), U5 (Q3.B) or U6 (Q4.B)."},{"name":"drpCriminal.200905.formU4Criminal.chargeDetails.felonyTypeCode","type":"String","description":"Code indicating whether the charge was a felony or misdemeanor. Valid Values: FELONY, MISDEMEANOR. Legacy Values: OTHER."},{"name":"drpCriminal.200905.formU4Criminal.chargeDetails.chargeDispositionTypeOtherText","type":"String","description":"Describes the disposition of the charge when the disposition type is flagged as Other, as specified on Criminal Disclosure Reporting Pages for U4 (Q4.B), U5 (Q3.B) or U6 (Q4.B)."},{"name":"drpCriminal.200905.formU4Criminal.chargeDetails.amendedChargeCount","type":"Number","description":"Count of charges for amended or reduced charge, as specified on Criminal Disclosure Reporting Pages"},{"name":"drpCriminal.200905.formU4Criminal.chargeDetails.chargeText","type":"String","description":"Formal description of the charge, as specified on Criminal Disclosure Reporting Pages for U4 (Q4.B), U5 (Q3.B) or U6 (Q4.B)."},{"name":"drpCriminal.200905.formU4Criminal.chargeDetails.amendedChargeText","type":"String","description":"If charge was amended, formal description of the amended or reduced charge, as specified on Criminal Disclosure Reporting Pages for U4 (Q4.B), U5 (Q3.B) or U6 (Q4.B)."},{"name":"drpCriminal.200905.formU4Criminal.chargeDetails.amendedFelonyTypeOtherText","type":"String","description":"Describes the amended felony type when the type is flagged as Other, as specified on Criminal Disclosure Reporting Pages"},{"name":"drpCriminal.200905.formU4Criminal.chargeDetails.amendedPleaText","type":"String","description":"Plea for each amended or reduced charge, as specified on Criminal Disclosure Reporting Pages"},{"name":"drpCriminal.200905.formU4Criminal.chargeDetails.amendedFelonyType","type":"String","description":"Code indicating whether the charge was a felony or misdemeanor. Valid Values: FELONY, MISDEMEANOR. Legacy Values: OTHER."},{"name":"drpCriminal.200905.formU4Criminal.chargeDetails.amendedChargeDate","type":"String","description":"Date with format MM/DD/YYYY"},{"name":"drpCriminal.200905.formU4Criminal.chargeDetails.chargeSequenceNumber","type":"Number","description":"Sequence number identifying each criminal charge"},{"name":"drpCriminal.200905.formU4Criminal.chargeDetails.amendedChargeDispositionTypeCode","type":"String","description":"How was matter resolved?"},{"name":"drpCriminal.200905.formU4Criminal.chargeDetails.amendedChargeDispositionTypeOtherText","type":"String","description":"Describes the regulatory action resolution type when the disposition type code is set as Other"},{"name":"drpCriminal.200905.formU4Criminal.chargeDetails.pleaText","type":"String","description":"Plea for each Charge"},{"name":"drpCriminal.200905.formU4Criminal.chargeDetails.id","type":"String","description":"Unique identifier for items in a collection. It is in UUID version 4 format."},{"name":"drpCriminal.200905.formU4Criminal.chargeDetails.chargeDispositionTypeCode","type":"String","description":"How was matter resolved?"},{"name":"drpCriminal.200905.formU4Criminal.commentText","type":"String","description":"You may use this field to provide a brief summary of the circumstances leading to the investigation, as well as the current status or final disposition and/or finding(s). Your information must fit within the space provided."},{"name":"drpCriminal.200905.formU4Criminal.dispositionDateDetails.date","type":"String","description":"Date that the criminal charges were resolved, as specified on Criminal Disclosure Reporting Page in YYYY-MM-DD format."},{"name":"drpCriminal.200905.formU4Criminal.dispositionDateDetails.exactDate","type":"Boolean","description":"Flag indicating that the date is exact and not estimated or approximated."},{"name":"drpCriminal.200905.formU4Criminal.dispositionDateDetails.dateExplanation","type":"String","description":"Explanation, if date is not exact."},{"name":"drpCriminal.200905.formU4Criminal.sentenceDetailText","type":"String","description":"Sentence/Penalty; Duration (if suspension, probation, etc): Start Date of Penalty: (MM/DD/YYYY); End date of Penalty: (MM/DD/YYYY); If Monetary penalty/fine - Amount paid; Date monetary/penalty fine paid: (MM/DD/YYYY) if not exact, provide explanation."},{"name":"drpCriminal.200905.drpIdentifierDetails.disclosureIdentifier","type":"Number","description":"Unique number that identifies a disclosure. Will be the same if Disclosure Reporting Page (DRP) is ammended."},{"name":"drpCriminal.200905.drpIdentifierDetails.occurrenceIdentifier","type":"Number","description":"Unique identifier of the occurrence associated with this disclosure."},{"name":"drpCriminal.200905.drpIdentifierDetails.filingIdentifier","type":"Number","description":"The unique identifier assigned to the current filing associated with this disclosure."},{"name":"drpCriminal.200905.reportableFlag","type":"Boolean","description":"Flag set during disclosure review indicating whether the occurrence is reportable."},{"name":"drpCriminal.200905.disclosureVersion","type":"String","description":"Version of Disclosure Reporting Page (DRP). Values include 05/2009 and 10/2005"},{"name":"drpCriminal.200905.id","type":"String","description":"Unique identifier for items in a collection. It is in UUID version 4 format."},{"name":"drpCriminal.200905.baseline","type":"Boolean","description":"Field that identifies any value in a collection as baseline"},{"name":"drpCriminal.200905.discloseToPublicFlag","type":"Boolean","description":"flag indicating if this is disclosed to public"},{"name":"drpCriminal.200510.formU4Criminal.courtDetailsText","type":"String","description":"Court Action brought in (Name of Federal, State, or Foreign Court), Location of Court (City or County and State or Country), Docket/Case Number and bankruptcy Chapter Number (if Federal Bankruptcy Filing)"},{"name":"drpCriminal.200510.formU4Criminal.chargeDetailsText","type":"String","description":"Formal description of the charge, as specified on Criminal Disclosure Reporting Pages"},{"name":"drpCriminal.200510.formU4Criminal.disclosureEventStatusDateDetails.date","type":"String","description":"Date that the criminal action was On Appeal or Final, as specified on Criminal Disclosure Reporting Page in YYYY-MM-DD format."},{"name":"drpCriminal.200510.formU4Criminal.disclosureEventStatusDateDetails.exactDate","type":"Boolean","description":"Flag indicating that the date is exact and not estimated or approximated."},{"name":"drpCriminal.200510.formU4Criminal.disclosureEventStatusDateDetails.dateExplanation","type":"String","description":"Explanation, if date is not exact."},{"name":"drpCriminal.200510.formU4Criminal.disclosureEventStatusType","type":"String","description":"Code indicating the current status of the court or regulatory action described in this disclosure. Valid Values: PENDING, ONAPPEAL and FINAL. Legacy Values: UNKNOWN."},{"name":"drpCriminal.200510.formU4Criminal.criminalU4DisclosureQuestionSelection","type":"String","description":"Indicates the Form U4 disclosure question(s) that are applicable to this criminal disclosure reporting page (DRP). One DRP shall be used for all charges arising out of the same event. Unrelated criminal actions, including separate cases arising out of the same event, must be reported on separate DRPs."},{"name":"drpCriminal.200510.formU4Criminal.disclosureEventDateDetails.date","type":"String","description":"Date that the criminal charges were first filed, as specified on Criminal Disclosure Reporting Page in YYYY-MM-DD format."},{"name":"drpCriminal.200510.formU4Criminal.disclosureEventDateDetails.exactDate","type":"Boolean","description":"Flag indicating that the date is exact and not estimated or approximated."},{"name":"drpCriminal.200510.formU4Criminal.disclosureEventDateDetails.dateExplanation","type":"String","description":"Explanation, if date is not exact."},{"name":"drpCriminal.200510.formU4Criminal.felonyFlag","type":"Boolean","description":"Did any of the Charge(s) within the Event involve a Felony?"},{"name":"drpCriminal.200510.formU4Criminal.controlledFirmDetailsText","type":"String","description":"If charge(s) were brought against an organization over which you exercise(d) control"},{"name":"drpCriminal.200510.formU4Criminal.commentText","type":"String","description":"You may use this field to provide a brief summary of the circumstances leading to the investigation, as well as the current status or final disposition and/or finding(s). Your information must fit within the space provided."},{"name":"drpCriminal.200510.formU4Criminal.dispositionDetailsText","type":"String","description":"Include for each charge, A. Disposition Type [e.g., convicted, acquitted, dismissed, pretrial, etc.], B. Date, C. Sentence/Penalty, D. Duration [if sentence-suspension, probation, etc.], E. Start Date of Penalty, F. Penalty/Fine Amount and G. Date Paid."},{"name":"drpCriminal.200510.drpIdentifierDetails.disclosureIdentifier","type":"Number","description":"Unique number that identifies a disclosure. Will be the same if Disclosure Reporting Page (DRP) is ammended."},{"name":"drpCriminal.200510.drpIdentifierDetails.occurrenceIdentifier","type":"Number","description":"Unique identifier of the occurrence associated with this disclosure."},{"name":"drpCriminal.200510.drpIdentifierDetails.filingIdentifier","type":"Number","description":"The unique identifier assigned to the current filing associated with this disclosure."},{"name":"drpCriminal.200510.reportableFlag","type":"Boolean","description":"Flag set during disclosure review indicating whether the occurrence is reportable."},{"name":"drpCriminal.200510.disclosureVersion","type":"String","description":"Version of Disclosure Reporting Page (DRP). Values include 05/2009 and 10/2005"},{"name":"drpCriminal.200510.id","type":"String","description":"Unique identifier for items in a collection. It is in UUID version 4 format."},{"name":"drpCriminal.200510.baseline","type":"Boolean","description":"Field that identifies any value in a collection as baseline"},{"name":"drpCriminal.200510.discloseToPublicFlag","type":"Boolean","description":"flag indicating if this is disclosed to public"},{"name":"disclosureQuestions.civilJudicialDisclosure.u4H1BCivilJudicialAnswerFlag","type":"Boolean","description":"found that you were involved in a violation of any investment-related statute(s) or regulation(s)?"},{"name":"disclosureQuestions.civilJudicialDisclosure.u4H2CivilJudicialAnswerFlag","type":"Boolean","description":"Are you named in any pending investment-related civil action that could result in a 'yes' answer to any part of 14H(1)?"},{"name":"disclosureQuestions.civilJudicialDisclosure.u4H1CCivilJudicialAnswerFlag","type":"Boolean","description":"Has any domestic or foreign court ever dismissed, pursuant to a settlement agreement, an investment-related civil action brought against you by a state or foreign financial regulatory authority?"},{"name":"disclosureQuestions.civilJudicialDisclosure.u4H1ACivilJudicialAnswerFlag","type":"Boolean","description":"enjoined you in connection with any investment-related activity?"},{"name":"disclosureQuestions.criminalDisclosure.u4B1BIndividualCriminalAnswerFlag","type":"Boolean","description":"Have you ever been charged with a misdemeanor specified in 14B(1)(a)?"},{"name":"disclosureQuestions.criminalDisclosure.u4B1AIndividualCriminalAnswerFlag","type":"Boolean","description":"been convicted of or pled guilty or nolo contendere ('no contest') in a domestic, foreign or military court to a misdemeanor"},{"name":"disclosureQuestions.criminalDisclosure.u4B2BOrganizationCriminalAnswerFlag","type":"Boolean","description":"has an organization ever been charged with a misdemeanor specified in 14B(1)(a)?"},{"name":"disclosureQuestions.criminalDisclosure.u4B2AOrganizationCriminalAnswerFlag","type":"Boolean","description":"Based upon activities that occurred while you exercised control over it, has an organization ever been convicted of or pled guilty or nolo contendere ('no contest') in a domestic or foreign court to a misdemeanor specified in 14B(1)(a)?"},{"name":"disclosureQuestions.criminalDisclosure.u4A1BIndividualCriminalAnswerFlag","type":"Boolean","description":"Have you ever been charged with any felony?"},{"name":"disclosureQuestions.criminalDisclosure.u4A1AIndividualCriminalAnswerFlag","type":"Boolean","description":"Have you ever been convicted of or pled guilty or nolo contendere ('no contest') in a domestic, foreign, or military court to any felony?"},{"name":"disclosureQuestions.criminalDisclosure.u4A2BOrganizationCriminalAnswerFlag","type":"Boolean","description":"has an organization ever been charged with any felony?"},{"name":"disclosureQuestions.criminalDisclosure.u4A2AOrganizationCriminalAnswerFlag","type":"Boolean","description":"Based upon activities that occurred while you exercised control over it, has an organization ever been convicted of or pled guilty or nolo contendere ('no contest') in a domestic or foreign court to any felony?"},{"name":"disclosureQuestions.bondDisclosure.u4LBondAnswerFlag","type":"Boolean","description":"Has a bonding company ever denied, paid out on, or revoked a bond for you"},{"name":"disclosureQuestions.bankruptcyDisclosure.u4K2OrganizationalBankruptcyCompromiseAnswerFlag","type":"Boolean","description":"has an organization made a compromise with creditors, filed a bankruptcy petition or been the subject of an involuntary bankruptcy petition?"},{"name":"disclosureQuestions.bankruptcyDisclosure.u4K3OrganizationalBankruptcyAnswerFlag","type":"Boolean","description":"Within the past 10 years based upon events that occurred while you exercised control over it, has a broker or dealer been the subject of an involuntary bankruptcy petition, or had a trustee appointed, or had a direct payment procedure initiated under the Securities Investor Protection Act?"},{"name":"disclosureQuestions.bankruptcyDisclosure.u4K1IndividualBankruptcyCompromiseAnswerFlag","type":"Boolean","description":"have you made a compromise with creditors, filed a bankruptcy petition or been the subject of an involuntary bankruptcy petition?"},{"name":"disclosureQuestions.judgmentLienDisclosure.u4MJudgmentLienAnswerFlag","type":"Boolean","description":"Do you have any unsatisfied judgments or liens against you?"},{"name":"disclosureQuestions.customerComplaintDisclosure.u4I1DCustomerComplaintAnswerFlag","type":"Boolean","description":"Have you ever been named as a respondent/defendant in an investment-related, consumer-initiated arbitration or civil litigation which alleged that you were involved in one or more sales practice violations and which was settled, on or after 05/18/2009, for an amount of $15,000 or more?"},{"name":"disclosureQuestions.customerComplaintDisclosure.u4I4ACustomerComplaintAnswerFlag","type":"Boolean","description":"Have you ever been the subject of an investment-related, consumer-initiated arbitration claim or civil litigation which alleged that you were involved in one or more sales practice violations, and which  was settled for an amount of $15,000 or more"},{"name":"disclosureQuestions.customerComplaintDisclosure.u4I5ACustomerComplaintAnswerFlag","type":"Boolean","description":"Within the past twenty four (24) months, have you been the subject of an investment-related, consumer-initiated arbitration claim or civil litigation not otherwise reported under question 14I(4)"},{"name":"disclosureQuestions.customerComplaintDisclosure.u4I5BCustomerComplaintAnswerFlag","type":"Boolean","description":"have you been the subject of an investment-related, consumer-initiated arbitration claim or civil litigation not otherwise reported under question 14I(4) above, which alleged that you were involved in forgery, theft, misappropriation or conversion of funds or securities?"},{"name":"disclosureQuestions.customerComplaintDisclosure.u4I1ACustomerComplaintAnswerFlag","type":"Boolean","description":"Have you ever been named as a respondent/defendant in an investment-related, consumer-initiated arbitration or civil litigation which alleged that you were involved in one or more sales practice violations and which is still pending"},{"name":"disclosureQuestions.customerComplaintDisclosure.u4I2BCustomerComplaintAnswerFlag","type":"Boolean","description":"Have you ever been the subject of an investment-related, consumer-initiated (written or oral) complaint, which alleged that you were involved in one or more sales practice violations, and which was settled, on or after 05/18/2009, for an amount of $15,000 or more?"},{"name":"disclosureQuestions.customerComplaintDisclosure.u4I1BCustomerComplaintAnswerFlag","type":"Boolean","description":"Have you ever been named as a respondent/defendant in an investment-related, consumer-initiated arbitration or civil litigation which alleged that you were involved in one or more sales practice violations"},{"name":"disclosureQuestions.customerComplaintDisclosure.u4I2ACustomerComplaintAnswerFlag","type":"Boolean","description":"Have you ever been the subject of an investment-related, consumer-initiated (written or oral) complaint, which alleged that you were involved in one or more sales practice violations, and which was settled, prior to 05/18/2009 for an amount of $10,000 or more"},{"name":"disclosureQuestions.customerComplaintDisclosure.u4I4BCustomerComplaintAnswerFlag","type":"Boolean","description":"resulted in an arbitration award or civil judgment against any named respondent(s)/defendant(s), regardless of any amount?"},{"name":"disclosureQuestions.customerComplaintDisclosure.u4I3ACustomerComplaintAnswerFlag","type":"Boolean","description":"Within the past twenty four (24) months, have you been the subject of an investment-related, consumer-initiated, written complaint, not otherwise reported under question 14I(1) or (2) above, which alleged that you were involved in one or more sales practice violations and contained a claim for compensatory damages of $5,000 or more (if no damage amount is alleged, the complaint must be reported unless the firm has made a good faith determination that the damages from the alleged conduct would be less than $5,000), or;"},{"name":"disclosureQuestions.customerComplaintDisclosure.u4I3BCustomerComplaintAnswerFlag","type":"Boolean","description":"have you been the subject of an investment-related, consumer-initiated, written complaint?"},{"name":"disclosureQuestions.customerComplaintDisclosure.u4I1CCustomerComplaintAnswerFlag","type":"Boolean","description":"Have you ever been named as a respondent/defendant in an investment-related, consumer-initiated arbitration or civil litigation which alleged that you were involved in one or more sales practice violations and which was settled, prior to 05/18/2009, for an amount of $10,000 or more"},{"name":"disclosureQuestions.investigationDisclosure.u4G2InvestigationAnswerFlag","type":"Boolean","description":"Have you been notified, in writing, that you are now the subject of any investigation that could result in a 'yes' answer to any part of 14A, B, C, D or E? (If 'yes', complete the Investigation Disclosure Reporting Page.)"},{"name":"disclosureQuestions.terminationDisclosure.u4J3TerminationAnswerFlag","type":"Boolean","description":"Have you ever voluntarily resigned, been discharged or permitted to resign after allegations were made that accused you of?"},{"name":"disclosureQuestions.terminationDisclosure.u4J1TerminationAnswerFlag","type":"Boolean","description":"Have you ever voluntarily resigned, been discharged or permitted to resign after allegations were made that accused you of?"},{"name":"disclosureQuestions.terminationDisclosure.u4J2TerminationAnswerFlag","type":"Boolean","description":"Have you ever voluntarily resigned, been discharged or permitted to resign after allegations were made that accused you of?"},{"name":"disclosureQuestions.regulatoryActionDisclosure.u4E2RegulatoryActionAnswerFlag","type":"Boolean","description":"found you to have been involved in a violation of its rules (other than a violation designated as a 'minor rule violation' under a plan approved by the U.S. Securities and Exchange Commission)?"},{"name":"disclosureQuestions.regulatoryActionDisclosure.u4E4RegulatoryActionAnswerFlag","type":"Boolean","description":"Has any self-regulatory organization ever disciplined you by expelling or suspending you from membership, barring or suspending your association with its members, or restricting your activities?"},{"name":"disclosureQuestions.regulatoryActionDisclosure.u4E6RegulatoryActionAnswerFlag","type":"Boolean","description":"Has any self-regulatory organization ever found you to have willfully aided, abetted, counseled, commanded, induced, or procured the violation by any person of any provision of the Securities Act of 1933, the Securities Exchange Act of 1934, the Investment Advisers Act of 1940, the Investment Company Act of 1940, the Commodity Exchange Act, or any rule or regulation under any of such Acts, or any of the rules of the Municipal Securities Rulemaking Board?"},{"name":"disclosureQuestions.regulatoryActionDisclosure.u4C2RegulatoryActionAnswerFlag","type":"Boolean","description":"Has the U.S. Securities and Exchange Commission or the Commodity Futures Trading Commission ever?"},{"name":"disclosureQuestions.regulatoryActionDisclosure.u4C8RegulatoryActionAnswerFlag","type":"Boolean","description":"Has the U.S. Securities and Exchange Commission or the Commodity Futures Trading Commission ever found you to have failed reasonably to supervise another person subject to your supervision, with a view to preventing the violation of any provision of the Securities Act of 1933, the Securities Exchange Act of 1934, the Investment Advisers Act of 1940, the Investment Company Act of 1940, the Commodity Exchange Act, or any rule or regulation under any of such Acts, or any of the rules of the Municipal Securities Rulemaking Board"},{"name":"disclosureQuestions.regulatoryActionDisclosure.u4D1BRegulatoryActionAnswerFlag","type":"Boolean","description":"Has any other Federal regulatory agency or any state regulatory agency or foreign financial regulatory authority ever?"},{"name":"disclosureQuestions.regulatoryActionDisclosure.u4D2ARegulatoryActionAnswerFlag","type":"Boolean","description":"Have you been subject to any final order of a state securities commission (or any agency or officer performing like functions)"},{"name":"disclosureQuestions.regulatoryActionDisclosure.u4FRegulatoryActionAnswerFlag","type":"Boolean","description":"Have you ever had an authorization to act as an attorney, accountant or federal contractor that was revoked or suspended?"},{"name":"disclosureQuestions.regulatoryActionDisclosure.u4C4RegulatoryActionAnswerFlag","type":"Boolean","description":"entered an order against you in connection with investment-related activity?"},{"name":"disclosureQuestions.regulatoryActionDisclosure.u4C6RegulatoryActionAnswerFlag","type":"Boolean","description":"Has the U.S. Securities and Exchange Commission or the Commodity Futures Trading Commission found you to have willfully violated any provision of the Securities Act of 1933"},{"name":"disclosureQuestions.regulatoryActionDisclosure.u4D1ERegulatoryActionAnswerFlag","type":"Boolean","description":"denied, suspended, or revoked your registration or license or otherwise, by order, prevented you from associating with an investment-related business or restricted your activities?"},{"name":"disclosureQuestions.regulatoryActionDisclosure.u4E1RegulatoryActionAnswerFlag","type":"Boolean","description":"Has any self-regulatory organization ever found you to have made a false statement or omission?"},{"name":"disclosureQuestions.regulatoryActionDisclosure.u4D2BRegulatoryActionAnswerFlag","type":"Boolean","description":"constitutes a final order based on violations of any laws or regulations that prohibit fraudulent, manipulative, or deceptive conduct?"},{"name":"disclosureQuestions.regulatoryActionDisclosure.u4C3RegulatoryActionAnswerFlag","type":"Boolean","description":"Has the U.S. Securities and Exchange Commission or the Commodity Futures Trading Commission ever found you to have been a cause of an investment-related business having its authorization to do business denied, suspended, revoked, or restricted?"},{"name":"disclosureQuestions.regulatoryActionDisclosure.u4C7RegulatoryActionAnswerFlag","type":"Boolean","description":"Has the U.S. Securities and Exchange Commission or the Commodity Futures Trading Commission ever?"},{"name":"disclosureQuestions.regulatoryActionDisclosure.u4D1CRegulatoryActionAnswerFlag","type":"Boolean","description":"Has any other Federal regulatory agency or any state regulatory agency or foreign financial regulatory authority ever found you to have been a cause of an investment-related business having its authorization to do business denied, suspended, revoked or restricted?"},{"name":"disclosureQuestions.regulatoryActionDisclosure.u4E3RegulatoryActionAnswerFlag","type":"Boolean","description":"found you to have been the cause of an investment-related business having its authorization to do business denied, suspended, revoked or restricted?"},{"name":"disclosureQuestions.regulatoryActionDisclosure.u4E7RegulatoryActionAnswerFlag","type":"Boolean","description":"Has any self-regulatory organization ever found you to have failed reasonably to supervise another person subject to your supervision, with a view to preventing the violation of any provision of the Securities Act of 1933, the Securities Exchange Act of 1934, the Investment Advisers Act of 1940, the Investment Company Act of 1940, the Commodity Exchange Act, or any rule or regulation under any of such Acts, or any of the rules of the Municipal Securities Rulemaking Board?"},{"name":"disclosureQuestions.regulatoryActionDisclosure.u4C1RegulatoryActionAnswerFlag","type":"Boolean","description":"Has the U.S. Securities and Exchange Commission or the Commodity Futures Trading Commission ever found you to have made a false statement or omission?"},{"name":"disclosureQuestions.regulatoryActionDisclosure.u4D1ARegulatoryActionAnswerFlag","type":"Boolean","description":"Has any other Federal regulatory agency or any state regulatory agency or foreign financial regulatory authority ever found you to have made a false statement or omission or been dishonest, unfair or unethical?"},{"name":"disclosureQuestions.regulatoryActionDisclosure.u4G1RegulatoryActionAnswerFlag","type":"Boolean","description":"Have you been notified, in writing, that you are now the subject of any regulatory complaint or proceeding that could result in a yes answer to any part of 14C, D or E? (If 'yes', complete the Regulatory Action Disclosure Reporting Page.)"},{"name":"disclosureQuestions.regulatoryActionDisclosure.u4D1DRegulatoryActionAnswerFlag","type":"Boolean","description":"entered an order against you in connection with an investment-related activity? "},{"name":"disclosureQuestions.regulatoryActionDisclosure.u4C5RegulatoryActionAnswerFlag","type":"Boolean","description":"imposed a civil money penalty on you, or ordered you to cease and desist from any activity?"},{"name":"disclosureQuestions.regulatoryActionDisclosure.u4E5RegulatoryActionAnswerFlag","type":"Boolean","description":"Has any self-regulatory organization ever found you to have willfully violated any provision of the Securities Act of 1933, the Securities Exchange Act of 1934, the Investment Advisers Act of 1940, the Investment Company Act of 1940, the Commodity Exchange Act, or any rule or regulation under any of such Acts, or any of the rules of the Municipal Securities Rulemaking Board, or found you to have been unable to comply with any provision of such Act, rule or regulation?"},{"name":"individualNonIndustryEmployments.employmentEndDate","type":"String","description":"First date the employment is not valid"},{"name":"individualNonIndustryEmployments.employmentStartDate","type":"String","description":"Start date of employment"},{"name":"individualNonIndustryEmployments.nonIndustryEmploymentsInstanceNumber","type":"Number","description":"The unique identifier"},{"name":"individualNonIndustryEmployments.employerFirmName","type":"String","description":"Name of Firm or Company"},{"name":"individualNonIndustryEmployments.address.cityName","type":"String","description":"City name"},{"name":"individualNonIndustryEmployments.address.countryCode","type":"String","description":"Country Code for the office location"},{"name":"individualNonIndustryEmployments.address.stateCode","type":"String","description":"Code identifying the state under which the firm was legally formed."},{"name":"individualNonIndustryEmployments.investmentRelatedIndicator","type":"Boolean","description":"Investment-related Business"},{"name":"individualNonIndustryEmployments.positionDescription","type":"String","description":"Description of position held"},{"name":"individualNonIndustryEmployments.id","type":"String","description":"Unique identifier for items in a collection. It is in UUID version 4 format."},{"name":"signatures.indvlAcknowledgementConsent.indvlSignatureDate","type":"String","description":"Date with format MM/DD/YYYY"},{"name":"signatures.indvlAcknowledgementConsent.indvlSignature","type":"String","description":"Signature Only Applicable when Filing Type in INITIAL, DUAL, RELICENSE"},{"name":"signatures.amendedIndvlAcknowledgementConsent.amendedIndvlSignatureDate","type":"String","description":"Date with format MM/DD/YYYY"},{"name":"signatures.amendedIndvlAcknowledgementConsent.amendedIndvlSignature","type":"String","description":"Signature is Required when Filing Type Equals AMENDMENT AND Additional Conditions are Met"},{"name":"signatures.firmSignatoryRepresentations.firmSignatureDate","type":"String","description":"Date with format MM/DD/YYYY"},{"name":"signatures.firmSignatoryRepresentations.firmSignature","type":"String","description":"Signature of Appropriate Signatory"},{"name":"signatures.amendedFirmSignatoryRepresentations.amendedFirmSignatureDate","type":"String","description":"Date with format MM/DD/YYYY"},{"name":"signatures.amendedFirmSignatoryRepresentations.amendedFirmSignature","type":"String","description":"Signature of Appropriate Signatory. Signature Only Applicable when Filing Type in AMENDMENT"},{"name":"signatures.temporaryRegistrationAcknowledgement.tempRegistrationSignatureDate","type":"String","description":"Date with format MM/DD/YYYY"},{"name":"signatures.temporaryRegistrationAcknowledgement.tempRegistrationSignature","type":"String","description":"Signature Only Applicable when Filing Type in AMENDMENT, RELICENSE"},{"name":"signatures.page2IndvlAcknowledgementConsent.page2IndvlSignature","type":"String","description":"Signature is Required when Filing Type Equals PAGE2 AND Additional Conditions are Met"},{"name":"signatures.page2IndvlAcknowledgementConsent.page2IndvlSignatureDate","type":"String","description":"Signature Date is Required when Filing Type Equals PAGE2 AND Additional Conditions are Met in YYYY-MM-DD format."},{"name":"signatures.firmSignatoryConcurrence.concurrenceFirmSignature","type":"String","description":"Signature of Appropriate Signatory. Signature Only Applicable when Filing Type in CONCURRENCE"},{"name":"signatures.firmSignatoryConcurrence.concurrenceFirmSignatureDate","type":"String","description":"Date with format MM/DD/YYYY"},{"name":"signatures.page2FirmSignatoryRepresentations.page2FirmTitle","type":"String","description":"Title Only Applicable when Filing Type is PAGE2"},{"name":"signatures.page2FirmSignatoryRepresentations.page2FirmSignature","type":"String","description":"Signature Only Applicable when Filing Type is PAGE2"},{"name":"drpInvestigation.200905.drpIdentifierDetails.disclosureIdentifier","type":"Number","description":"Unique number that identifies a disclosure. Will be the same if Disclosure Reporting Page (DRP) is ammended."},{"name":"drpInvestigation.200905.drpIdentifierDetails.occurrenceIdentifier","type":"Number","description":"Unique identifier of the occurrence associated with this disclosure."},{"name":"drpInvestigation.200905.drpIdentifierDetails.filingIdentifier","type":"Number","description":"The unique identifier assigned to the current filing associated with this disclosure."},{"name":"drpInvestigation.200905.reportableFlag","type":"Boolean","description":"Flag set during disclosure review indicating whether the occurrence is reportable."},{"name":"drpInvestigation.200905.disclosureVersion","type":"String","description":"Version of Disclosure Reporting Page (DRP). Values include 05/2009 and 10/2005"},{"name":"drpInvestigation.200905.formU4Investigation.dispositionTypeOtherText","type":"String","description":"Describes the regulatory action resolution type when the disposition type code is set as Other"},{"name":"drpInvestigation.200905.formU4Investigation.disclosureEventDetailText","type":"String","description":"Describe briefly the nature of the investigation, if known."},{"name":"drpInvestigation.200905.formU4Investigation.disclosureEventPendingFlag","type":"Boolean","description":"Flag indicating that the investigation is currently pending, as specified on Investigation Disclosure Reporting Pages for U4, U5 or U6 (Q4)."},{"name":"drpInvestigation.200905.formU4Investigation.initiatorName","type":"String","description":"Full name of entity initiating the investigation, as specified on Investigation Disclosure Reporting Pages"},{"name":"drpInvestigation.200905.formU4Investigation.disclosureEventDateDetails.date","type":"String","description":"The initiator notice date, the exact flag and if not exact date the expalnation, as specified on Investigation Disclosure Reporting Pages in YYYY-MM-DD format."},{"name":"drpInvestigation.200905.formU4Investigation.disclosureEventDateDetails.exactDate","type":"Boolean","description":"Flag indicating that the date is exact and not estimated or approximated."},{"name":"drpInvestigation.200905.formU4Investigation.disclosureEventDateDetails.dateExplanation","type":"String","description":"Explanation, if date is not exact."},{"name":"drpInvestigation.200905.formU4Investigation.dispositionTypeCode","type":"String","description":"How was matter resolved?"},{"name":"drpInvestigation.200905.formU4Investigation.commentText","type":"String","description":"You may use this field to provide a brief summary of the circumstances leading to the investigation, as well as the current status or final disposition and/or finding(s). Your information must fit within the space provided."},{"name":"drpInvestigation.200905.formU4Investigation.initiatorType","type":"String","description":"Type of entity initiating the investigation, as specified on Investigation Disclosure Reporting Page"},{"name":"drpInvestigation.200905.formU4Investigation.dispositionDateDetails.date","type":"String","description":"Date the investigation was resolved, the exact flag and, if not exact date, the explanation, as specified on Investigation Disclosure Reporting Pages in YYYY-MM-DD format."},{"name":"drpInvestigation.200905.formU4Investigation.dispositionDateDetails.exactDate","type":"Boolean","description":"Flag indicating that the date is exact and not estimated or approximated."},{"name":"drpInvestigation.200905.formU4Investigation.dispositionDateDetails.dateExplanation","type":"String","description":"Explanation, if date is not exact."},{"name":"drpInvestigation.200905.formU4Investigation.investigationU4DisclosureQuestionSelection","type":"String","description":"Indicates the Form U4 disclosure question(s) that are applicable to this investigation Disclosure Reporting Page (DRP)."},{"name":"drpInvestigation.200905.id","type":"String","description":"Unique identifier for items in a collection. It is in UUID version 4 format."},{"name":"drpInvestigation.200905.baseline","type":"Boolean","description":"Field that identifies any value in a collection as baseline"},{"name":"drpInvestigation.200905.discloseToPublicFlag","type":"Boolean","description":"flag indicating if this is disclosed to public"},{"name":"drpInvestigation.200510.drpIdentifierDetails.disclosureIdentifier","type":"Number","description":"Unique number that identifies a disclosure. Will be the same if Disclosure Reporting Page (DRP) is ammended."},{"name":"drpInvestigation.200510.drpIdentifierDetails.occurrenceIdentifier","type":"Number","description":"Unique identifier of the occurrence associated with this disclosure."},{"name":"drpInvestigation.200510.drpIdentifierDetails.filingIdentifier","type":"Number","description":"The unique identifier assigned to the current filing associated with this disclosure."},{"name":"drpInvestigation.200510.reportableFlag","type":"Boolean","description":"Flag set during disclosure review indicating whether the occurrence is reportable."},{"name":"drpInvestigation.200510.disclosureVersion","type":"String","description":"Version of Disclosure Reporting Page (DRP). Values include 05/2009 and 10/2005"},{"name":"drpInvestigation.200510.formU4Investigation.disclosureEventDetailText","type":"String","description":"The brief summary of the nature of the investigation, as specified on Investigation Disclosure Reporting Pages for U4 or U5 (Q3)."},{"name":"drpInvestigation.200510.formU4Investigation.initiatorName","type":"String","description":"Full name of entity initiating the investigation, as specified on Investigation Disclosure Reporting Pages"},{"name":"drpInvestigation.200510.formU4Investigation.disclosureEventDateDetails.date","type":"String","description":"The initiator notice date, the exact flag and if not exact date the expalnation, as specified on Investigation Disclosure Reporting Pages in YYYY-MM-DD format."},{"name":"drpInvestigation.200510.formU4Investigation.disclosureEventDateDetails.exactDate","type":"Boolean","description":"Flag indicating that the date is exact and not estimated or approximated."},{"name":"drpInvestigation.200510.formU4Investigation.disclosureEventDateDetails.dateExplanation","type":"String","description":"Explanation, if date is not exact."},{"name":"drpInvestigation.200510.formU4Investigation.dispositionDetails.dispositionDateDetails.date","type":"String","description":"Date the investigation was resolved, the exact flag and, if not exact date, the explanation, as specified on Investigation Disclosure Reporting Pages in YYYY-MM-DD format."},{"name":"drpInvestigation.200510.formU4Investigation.dispositionDetails.dispositionDateDetails.exactDate","type":"Boolean","description":"Flag indicating that the date is exact and not estimated or approximated."},{"name":"drpInvestigation.200510.formU4Investigation.dispositionDetails.dispositionDateDetails.dateExplanation","type":"String","description":"Explanation, if date is not exact."},{"name":"drpInvestigation.200510.formU4Investigation.investigationU4DisclosureQuestionSelection","type":"String","description":"Indicates the Form U4 disclosure question(s) that are applicable to this investigation Disclosure Reporting Page (DRP)."},{"name":"drpInvestigation.200510.id","type":"String","description":"Unique identifier for items in a collection. It is in UUID version 4 format."},{"name":"drpInvestigation.200510.baseline","type":"Boolean","description":"Field that identifies any value in a collection as baseline"},{"name":"drpInvestigation.200510.discloseToPublicFlag","type":"Boolean","description":"flag indicating if this is disclosed to public"},{"name":"dualRegistration.unaffiliatedRegistration.bdAffiliatedFlag","type":"Boolean","description":"Will applicant maintain registration with a broker-dealer that is not affiliated with the filing firm?"},{"name":"dualRegistration.unaffiliatedRegistration.iaAffiliatedFlag","type":"Boolean","description":"Will applicant maintain registration with an investment adviser that is not affiliated with the filing firm?"},{"name":"firmAssociations.affiliatedFirmFlag","type":"Boolean","description":"Will applicant maintain registration with firm(s) under common ownership or control with the filing firm?"},{"name":"firmAssociations.affiliatedFirmAssociation.fingerprintInformation.exemptionCode","type":"String","description":"Exemption could be individual, firm, or both"},{"name":"firmAssociations.affiliatedFirmAssociation.fingerprintInformation.iaDispositionCode","type":"String","description":"if main selection is 'iaOnly'"},{"name":"firmAssociations.affiliatedFirmAssociation.fingerprintInformation.fingerprintClassification","type":"String","description":"valid fingerprint classification value for the filing firm. valid values PRVD, CNTND, FFAPPL,PRCSSD,SROEXEMPT,IAR"},{"name":"firmAssociations.affiliatedFirmAssociation.fingerprintInformation.barcode","type":"String","description":"Unique identifier for all available fingerprint bar code requirements."},{"name":"firmAssociations.affiliatedFirmAssociation.registrations.registrationCategoryCode","type":"String","description":"2 character code defining the registration category"},{"name":"firmAssociations.affiliatedFirmAssociation.registrations.regulatorIdentifier","type":"String","description":"Uniquely identifies the regulator associated with this record."},{"name":"firmAssociations.affiliatedFirmAssociation.registrations.employmentInstanceNumber","type":"Number","description":"A unique number assigned by the system for an individual at a firm for each instance of employment"},{"name":"firmAssociations.affiliatedFirmAssociation.registrations.id","type":"String","description":"Unique identifier for items in a collection. It is in UUID version 4 format."},{"name":"firmAssociations.affiliatedFirmAssociation.registrations.registrationInstanceNumber","type":"Number","description":"Unique identifier for registration"},{"name":"firmAssociations.affiliatedFirmAssociation.firmProfile.employmentStartDate","type":"String","description":"Start date of employment"},{"name":"firmAssociations.affiliatedFirmAssociation.firmProfile.independentContractorFlag","type":"Boolean","description":"indicates whether the employment is in the capacity of an independent contractor"},{"name":"firmAssociations.affiliatedFirmAssociation.firmProfile.firmBillingCode","type":"String","description":"Firm billing code for this branch office assigned by the firm, as reported on Form BR (1.A)."},{"name":"firmAssociations.affiliatedFirmAssociation.firmProfile.employmentInstanceNumber","type":"Number","description":"A unique number assigned by the system for an individual at a firm for each instance of employment"},{"name":"firmAssociations.affiliatedFirmAssociation.firmProfile.firmName","type":"String","description":"The name of the firm."},{"name":"firmAssociations.affiliatedFirmAssociation.firmProfile.firmCrdNumber","type":"Number","description":"CRD Number of the organization."},{"name":"firmAssociations.affiliatedFirmAssociation.firmProfile.id","type":"String","description":"Unique identifier for items in a collection. It is in UUID version 4 format."},{"name":"firmAssociations.affiliatedFirmAssociation.officeLocations.isRegisteredLocation","type":"Boolean","description":"flag indicating location is registered"},{"name":"firmAssociations.affiliatedFirmAssociation.officeLocations.employmentLocationEndDate","type":"String","description":"First date the employment is not valid"},{"name":"firmAssociations.affiliatedFirmAssociation.officeLocations.iaMainOfficeIndicator","type":"Boolean","description":"Flag indicating if the branch is the main office branch for an investment adviser type of branch."},{"name":"firmAssociations.affiliatedFirmAssociation.officeLocations.address.cityName","type":"String","description":"The branch address city for this branch office"},{"name":"firmAssociations.affiliatedFirmAssociation.officeLocations.address.countryCode","type":"String","description":"Country Code for the office location"},{"name":"firmAssociations.affiliatedFirmAssociation.officeLocations.address.countryLongName","type":"String","description":"Name of the country location"},{"name":"firmAssociations.affiliatedFirmAssociation.officeLocations.address.postalCode","type":"String","description":"The Postal Code must be in one of the following formats : 99999 or 99999-9999, when a State is selected"},{"name":"firmAssociations.affiliatedFirmAssociation.officeLocations.address.addressLine1","type":"String","description":"Address line for the office location."},{"name":"firmAssociations.affiliatedFirmAssociation.officeLocations.address.addressLine2","type":"String","description":"Address line for the individual's residential location."},{"name":"firmAssociations.affiliatedFirmAssociation.officeLocations.address.stateCode","type":"String","description":"Code identifying the state under which the firm was legally formed."},{"name":"firmAssociations.affiliatedFirmAssociation.officeLocations.privateResidenceFlag","type":"Boolean","description":"If the Office of Employment address is a private residence?"},{"name":"firmAssociations.affiliatedFirmAssociation.officeLocations.baseline","type":"Boolean","description":"Field that identifies any value in a collection as baseline"},{"name":"firmAssociations.affiliatedFirmAssociation.officeLocations.branchFirmBillingCode","type":"String","description":"The firm billing code for this branch office assigned by the firm."},{"name":"firmAssociations.affiliatedFirmAssociation.officeLocations.bdMainOfficeIndicator","type":"Boolean","description":"Flag indicating if the branch is the main office branch for a broker-dealer type of branch."},{"name":"firmAssociations.affiliatedFirmAssociation.officeLocations.branchCode","type":"String","description":"The branch code number for the branch office assigned by the firm. This used to be the NYSE branch code number assigned by the NYSE."},{"name":"firmAssociations.affiliatedFirmAssociation.officeLocations.id","type":"String","description":"Unique identifier for items in a collection. It is in UUID version 4 format."},{"name":"firmAssociations.affiliatedFirmAssociation.officeLocations.branchCrdNumber","type":"Number","description":"Unique identifier of a branch assigned by FINRA WebCRD/IARD"},{"name":"firmAssociations.affiliatedFirmAssociation.officeLocations.employmentLocationStartDate","type":"String","description":"Date with format MM/DD/YYYY"},{"name":"firmAssociations.affiliatedFirmAssociation.officeLocations.employmentLocationAssociationIdentifier","type":"Number","description":"Unique APP ID"},{"name":"firmAssociations.affiliatedFirmAssociation.officeLocations.officeLocationType","type":"String","description":"The type of employment location relevant to an individual at this branch office. Each registered employee of a registered branch must either be located at that branch or supervised from that branch. Valid values are 'LOCATEDAT' and 'SUPERVISEDFROM'"},{"name":"firmAssociations.affiliatedFirmAssociation.id","type":"String","description":"Unique identifier for items in a collection. It is in UUID version 4 format."},{"name":"firmAssociations.affiliatedFirmAssociation.baseline","type":"Boolean","description":"Field that identifies any value in a collection as baseline"},{"name":"firmAssociations.affiliatedFirmAssociation.jurisdictionRegistrations.registrationCategoryCode","type":"String","description":"2 character code defining the registration category"},{"name":"firmAssociations.affiliatedFirmAssociation.jurisdictionRegistrations.regulatorIdentifier","type":"String","description":"Uniquely identifies the regulator associated with this record."},{"name":"firmAssociations.affiliatedFirmAssociation.jurisdictionRegistrations.employmentInstanceNumber","type":"Number","description":"A unique number assigned by the system for an individual at a firm for each instance of employment"},{"name":"firmAssociations.affiliatedFirmAssociation.jurisdictionRegistrations.id","type":"String","description":"Unique identifier for items in a collection. It is in UUID version 4 format."},{"name":"firmAssociations.affiliatedFirmAssociation.jurisdictionRegistrations.registrationInstanceNumber","type":"Number","description":"Unique identifier for registration"},{"name":"firmAssociations.filingFirmAssociation.fingerprintInformation.exemptionCode","type":"String","description":"code for the exemption"},{"name":"firmAssociations.filingFirmAssociation.fingerprintInformation.iaDispositionCode","type":"String","description":"if main selection is 'iaOnly'"},{"name":"firmAssociations.filingFirmAssociation.fingerprintInformation.fingerprintClassification","type":"String","description":"valid fingerprint classification value for the filing firm. valid values PRVD, CNTND, FFAPPL,PRCSSD,SROEXEMPT,IAR"},{"name":"firmAssociations.filingFirmAssociation.fingerprintInformation.barcode","type":"String","description":"Unique identifier for all available fingerprint bar code requirements."},{"name":"firmAssociations.filingFirmAssociation.registrations.registrationCategoryCode","type":"String","description":"2 character code defining the registration category"},{"name":"firmAssociations.filingFirmAssociation.registrations.regulatorIdentifier","type":"String","description":"Uniquely identifies the regulator associated with this record."},{"name":"firmAssociations.filingFirmAssociation.registrations.employmentInstanceNumber","type":"Number","description":"A unique number assigned by the system for an individual at a firm for each instance of employment"},{"name":"firmAssociations.filingFirmAssociation.registrations.id","type":"String","description":"Unique identifier for items in a collection. It is in UUID version 4 format."},{"name":"firmAssociations.filingFirmAssociation.registrations.registrationInstanceNumber","type":"Number","description":"Unique identifier for registration"},{"name":"firmAssociations.filingFirmAssociation.firmProfile.employmentStartDate","type":"String","description":"Start date of employment"},{"name":"firmAssociations.filingFirmAssociation.firmProfile.independentContractorFlag","type":"Boolean","description":"indicates whether the employment is in the capacity of an independent contractor"},{"name":"firmAssociations.filingFirmAssociation.firmProfile.firmBillingCode","type":"String","description":"Firm billing code for this branch office assigned by the firm, as reported on Form BR (1.A)."},{"name":"firmAssociations.filingFirmAssociation.firmProfile.employmentInstanceNumber","type":"Number","description":"A unique number assigned by the system for an individual at a firm for each instance of employment"},{"name":"firmAssociations.filingFirmAssociation.firmProfile.firmName","type":"String","description":"The name of the firm."},{"name":"firmAssociations.filingFirmAssociation.firmProfile.firmCrdNumber","type":"Number","description":"CRD Number of the organization."},{"name":"firmAssociations.filingFirmAssociation.firmProfile.id","type":"String","description":"Unique identifier for items in a collection. It is in UUID version 4 format."},{"name":"firmAssociations.filingFirmAssociation.officeLocations.isRegisteredLocation","type":"Boolean","description":"flag indicating location is registered"},{"name":"firmAssociations.filingFirmAssociation.officeLocations.employmentLocationEndDate","type":"String","description":"First date the employment is not valid"},{"name":"firmAssociations.filingFirmAssociation.officeLocations.iaMainOfficeIndicator","type":"Boolean","description":"Flag indicating if the branch is the main office branch for an investment adviser type of branch."},{"name":"firmAssociations.filingFirmAssociation.officeLocations.address.cityName","type":"String","description":"The branch address city for this branch office"},{"name":"firmAssociations.filingFirmAssociation.officeLocations.address.countryCode","type":"String","description":"Country Code for the office location"},{"name":"firmAssociations.filingFirmAssociation.officeLocations.address.countryLongName","type":"String","description":"Name of the country location"},{"name":"firmAssociations.filingFirmAssociation.officeLocations.address.postalCode","type":"String","description":"The Postal Code must be in one of the following formats : 99999 or 99999-9999, when a State is selected"},{"name":"firmAssociations.filingFirmAssociation.officeLocations.address.addressLine1","type":"String","description":"Address line for the office location."},{"name":"firmAssociations.filingFirmAssociation.officeLocations.address.addressLine2","type":"String","description":"Address line for the individual's residential location."},{"name":"firmAssociations.filingFirmAssociation.officeLocations.address.stateCode","type":"String","description":"Code identifying the state under which the firm was legally formed."},{"name":"firmAssociations.filingFirmAssociation.officeLocations.privateResidenceFlag","type":"Boolean","description":"If the Office of Employment address is a private residence"},{"name":"firmAssociations.filingFirmAssociation.officeLocations.baseline","type":"Boolean","description":"Field that identifies any value in a collection as baseline"},{"name":"firmAssociations.filingFirmAssociation.officeLocations.branchFirmBillingCode","type":"String","description":"The firm billing code for this branch office assigned by the firm."},{"name":"firmAssociations.filingFirmAssociation.officeLocations.bdMainOfficeIndicator","type":"Boolean","description":"Flag indicating if the branch is the main office branch for a broker-dealer type of branch."},{"name":"firmAssociations.filingFirmAssociation.officeLocations.branchCode","type":"String","description":"The branch code number for the branch office assigned by the firm. This used to be the NYSE branch code number assigned by the NYSE."},{"name":"firmAssociations.filingFirmAssociation.officeLocations.id","type":"String","description":"Unique identifier for items in a collection. It is in UUID version 4 format."},{"name":"firmAssociations.filingFirmAssociation.officeLocations.branchCrdNumber","type":"Number","description":"Unique identifier of a branch assigned by FINRA WebCRD/IARD"},{"name":"firmAssociations.filingFirmAssociation.officeLocations.employmentLocationStartDate","type":"String","description":"Date with format MM/DD/YYYY"},{"name":"firmAssociations.filingFirmAssociation.officeLocations.employmentLocationAssociationIdentifier","type":"Number","description":"number indicating the employment association instance"},{"name":"firmAssociations.filingFirmAssociation.officeLocations.officeLocationType","type":"String","description":"The type of employment location relevant to an individual at this branch office. Each registered employee of a registered branch must either be located at that branch or supervised from that branch. Valid values are 'LOCATEDAT' and 'SUPERVISEDFROM'"},{"name":"firmAssociations.filingFirmAssociation.officeLocations.isResidentialSupervisoryLocation","type":"Boolean","description":"This field indicates whether a non-registered branch location has been identified as a Residential Supervisory location in accordance to rule 3110.19."},{"name":"firmAssociations.filingFirmAssociation.id","type":"String","description":"Unique identifier for items in a collection. It is in UUID version 4 format."},{"name":"firmAssociations.filingFirmAssociation.baseline","type":"Boolean","description":"Field that identifies any value in a collection as baseline"},{"name":"firmAssociations.filingFirmAssociation.jurisdictionRegistrations.registrationCategoryCode","type":"String","description":"2 character code defining the registration category"},{"name":"firmAssociations.filingFirmAssociation.jurisdictionRegistrations.regulatorIdentifier","type":"String","description":"Uniquely identifies the regulator associated with this record."},{"name":"firmAssociations.filingFirmAssociation.jurisdictionRegistrations.employmentInstanceNumber","type":"Number","description":"A unique number assigned by the system for an individual at a firm for each instance of employment"},{"name":"firmAssociations.filingFirmAssociation.jurisdictionRegistrations.id","type":"String","description":"Unique identifier for items in a collection. It is in UUID version 4 format."},{"name":"firmAssociations.filingFirmAssociation.jurisdictionRegistrations.registrationInstanceNumber","type":"Number","description":"Unique identifier for registration"},{"name":"individualOtherBusinesses.otherBusinessText","type":"String","description":"Description of Business"},{"name":"individualOtherBusinesses.otherBusinessFlag","type":"Boolean","description":"Are you currently engaged in any other business either as a proprietor, partner, officer, director, employee, trustee, agent or otherwise? (Please exclude non investment-related activity that is exclusively charitable, civic, religious or fraternal and is recognized as tax exempt.)"},{"name":"examsInformation.examPreviouslyTaken.examCode","type":"String","description":"The unique code associated with an exam."},{"name":"examsInformation.examPreviouslyTaken.examDate","type":"String","description":"Date with format MM/DD/YYYY"},{"name":"examsInformation.examCode","type":"String","description":"The unique code associated with an exam."},{"name":"professionalDesignations","type":"String","description":"Indicates the type of designation."}]}