We are working on a comprehensive API. If you would like to know more, email [email protected].

Form MA: municipal advisors

Registration of municipal advisor firms (MA, MA-A annual update, MA-W withdrawal) and of each individual employed by them (MA-I), with disciplinary history.

34,785 filings with an XML document, 3,560 fields defined by the SEC, every one of them available as filed.

Coverage

Form typeFilings on EDGARWith an XML documentFirst XML filingLatest
MA9609602014-07-012026-08-11
MA/A2,8382,8382014-08-072026-10-13
MA-A4,7864,7862014-12-312026-10-05
MA-I10,01410,0142014-07-012026-10-08
MA-I/A15,69815,6982014-07-232026-10-13
MA-W4894892014-10-272026-09-30

Counted from our copy of EDGAR on 2026-10-14. Filings before a form's XML start date were filed as text or HTML and are available as documents, not as fields.

API

Every filing of this form for a company or a person, newest first, in one call. Pass any CIK on the filing (the issuer, or a reporting person or filer); amendments are included unless amendments=false.

GET https://beatandraise.com/api/v1/form-data?cik=<CIK>&form=MA&format=json
GET https://beatandraise.com/api/v1/form-data?cik=<CIK>&form=MA&format=xml
    &from=YYYY-MM-DD &to=YYYY-MM-DD &amendments=false &compact=true &limit= &cursor=
  • format=json: every element as SEC names it, values exactly as filed, including fields the SEC's own viewer does not show.
  • format=xml: the document as filed, with its SHA-256, for clients that parse XML themselves.
  • Each row carries the accession number, form, filing date, schema version and links to the filing on sec.gov.

Lossless JSON

The JSON is not a selection of fields. It is the whole document, converted so it can be turned back into the original XML with nothing lost: every element, every attribute, every value and the order they came in. We check that for every document we store; one that does not rebuild exactly is not stored.

  • An element with only text is a string; one with children is an object keyed by SEC's element name; a name that repeats becomes an array.
  • Attributes are @name keys (@xsi:nil included); text next to child elements is #text.
  • Order is kept in #order: the child element names in document order. JSON objects have no order, and some forms depend on it (a Form 4's Table I lists transactions and holdings “in any order”). compact=true drops it when you do not need the XML back.
  • Older schema versions are kept as filed: a 2004 Form 4 has the fields the 2004 schema had.

A Python function that rebuilds the XML from our JSON: sec_json_to_xml.py.

Example

SEC's own sample from the technical specification (fictitious data). The JSON below is what the API returns for it, produced by the same code that stores every filing.

XML as filed: MA-A.xml

<?xml version="1.0" encoding="UTF-8"?>
<edgarSubmission xmlns="http://www.sec.gov/edgar/mafiler" xmlns:com="http://www.sec.gov/edgar/common_ma" xmlns:com1="http://www.sec.gov/edgar/common" xmlns:ma="http://www.sec.gov/edgar/ma_drp" xmlns:ma1="http://www.sec.gov/edgar/ma_common_d … [172 more characters]
<!-- DISCLAIMER:  This is a sample XML submission document for demonstration purposes only and should not be copied verbatim as part of a submission. -->  
<!-- Please refer to the EDGAR Form MA XML Technical Specification and the related EDGAR Form MA Schemas for complete filer-constructed submission information.-->
<!-- Please be aware that these schema locations are for informational purposes only and should not be considered as required items in the EDGAR Form MA Schema. -->
<!-- If a reference to a style sheet is included the submission will be suspended by EDGAR.  Please do not include any references to style sheets.-->
  <headerData>
    <submissionType>MA-A</submissionType>
    <filerInfo>
      <com:filer>
        <com1:filerId>0000350001</com1:filerId>
        <com1:filerCcc>XXXXXXXX</com1:filerCcc>
      </com:filer>
      <com:contact>
        <com1:name>Maurice Polk</com1:name>
        <com1:phoneNumber>2025518951</com1:phoneNumber>
      </com:contact>
      <com:contactEmail>[email protected]</com:contactEmail>
      <com:notifications>
        <com1:internetNotificationAddress>[email protected]</com1:internetNotificationAddress>
      </com:notifications>
    </filerInfo>
  </headerData>
  <formData>
    <calYearEnd>2016</calYearEnd>
    <hasChanges>Y</hasChanges>
    <firmName>BIG'S FUND TRUST INC</firmName>
    <soleProprietor>
      <name>
        <com:firstName>sole middle</com:firstName>
        <com:middleName>NMN</com:middleName>
        <com:lastName>sole last</com:lastName>
      </name>
    </soleProprietor>
    <previousLegalName>legal last , legal first , legal middle</previousLegalName>
    <dbaName>dba dba</dbaName>
    <previousDbaName>prev dba nnnnn</previousDbaName>
    <businessConductedOtherNames>
      <businessConductedOtherName>
        <addDeleteAmend>
          <com:newAdd>NewAdd</com:newAdd>
        </addDeleteAmend>
        <name>name 1</name>
        <jurisdictions>L8</jurisdictions>
      </businessConductedOtherName>
      <businessConductedOtherName>
        <addDeleteAmend>
          <com:delete>Delete</com:delete>
        </addDeleteAmend>
        <name>name2</name>
        <jurisdictions>AK</jurisdictions>
      </businessConductedOtherName>
    </businessConductedOtherNames>
    <irsNum>45-4545457</irsNum>
    <registrations>
      <maTregistration>
        <com:fileNumber>866-11111</com:fileNumber>
      </maTregistration>
      <baseRegistrations>
        <maRegistration>
          <com:fileNumber>867-12345</com:fileNumber>
        </maRegistration>
        <baseRegistrations>
          <com:msdRegistration>
            <com:fileNumber>086-12345</com:fileNumber>
          </com:msdRegistration>
          <com:bdRegistration>
            <com:fileNumber>008-12345</com:fileNumber>
            <com:crdNumber>222222222</com:crdNumber>
          </com:bdRegistration>
          <com:iaRegistration>
            <com:nonExempt>
              <com:secRegistration>
                <com:fileNumber>801-11111</com:fileNumber>
                <com:crdNumber>000044444</com:crdNumber>
              </com:secRegistration>
            </com:nonExempt>
          </com:iaRegistration>
          <com:gsbdRegistration>
            <com:fileNumber>011-12345</com:fileNumber>
            <com:bankId>bank444444</com:bankId>
          </com:gsbdRegistration>
          <com:otherRegistration>
            <com:description>other sec registraion</com:description>
            <com:fileNumber>999-08888999-1111</com:fileNumber>
            <com:cik>0000000555</com:cik>
          </com:otherRegistration>
          <com:anotherRegistration>
            <com:description>one more federal reg</com:description>
            <com:registrationId>55555555</com:registrationId>
          </com:anotherRegistration>
        </baseRegistrations>
      </baseRegistrations>
    </registrations>
    <additionalRegistrations>
      <additionalRegistration>
        <nameAndRegistration>
          <com:name>other reg name 1</com:name>
          <com:registrationId>other-reg-num-1</com:registrationId>
        </nameAndRegistration>
      </additionalRegistration>
      <additionalRegistration>
        <nameAndRegistration>
          <com:name>other reg name 2</com:name>
          <com:registrationId>other-reg-num-2</com:registrationId>
        </nameAndRegistration>
      </additionalRegistration>
    </additionalRegistrations>
    <principalOfficeAddress>
      <addressInfo>
        <com:residentialAddressFlag>Y</com:residentialAddressFlag>
        <com:address>
          <com1:street1>126 OAK STREET2</com1:street1>
          <com1:street2>APT 888</com1:street2>
          <com1:city>EVERYWHERE1</com1:city>
          <com1:stateOrCountry>K0</com1:stateOrCountry>
          <com1:zipCode>12345</com1:zipCode>
        </com:address>
      </addressInfo>
      <phoneNumber>BR549</phoneNumber>
    </principalOfficeAddress>
    <additionalOffices>
      <additionalOffice>
        <addDeleteAmend>
          <com:newAdd>NewAdd</com:newAdd>
        </addDeleteAmend>
        <officeInfo>
          <addressInfo>
            <com:residentialAddressFlag>N</com:residentialAddressFlag>
            <com:address>
              <com1:street1>213213 sadf</com1:street1>
              <com1:city>asdf</com1:city>
              <com1:stateOrCountry>Z0</com1:stateOrCountry>
              <com1:zipCode>11111</com1:zipCode>
            </com:address>
          </addressInfo>
          <phoneNumber>703-705-6895</phoneNumber>
        </officeInfo>
      </additionalOffice>
      <additionalOffice>
        <addDeleteAmend>
          <com:delete>Delete</com:delete>
        </addDeleteAmend>
        <officeInfo>
          <addressInfo>
            <com:residentialAddressFlag>Y</com:residentialAddressFlag>
            <com:address>
              <com1:street1>street2</com1:street1>
              <com1:city>city2</com1:city>
              <com1:stateOrCountry>AK</com1:stateOrCountry>
              <com1:zipCode>22222</com1:zipCode>
            </com:address>
          </addressInfo>
          <phoneNumber>2222222222</phoneNumber>
          <faxNumber>2222223333</faxNumber>
        </officeInfo>
      </additionalOffice>
    </additionalOffices>
    <mailingAddressDifferent>Y</mailingAddressDifferent>
    <mailingAddress>

923 more lines not shown.

JSON from the API (format=json)

{
  "#order": [
    "headerData",
    "formData"
  ],
  "@xsi:schemaLocation": "http://www.sec.gov/edgar/mafiler eis_MA.xsd",
  "formData": {
    "#order": [
      "calYearEnd",
      "hasChanges",
      "firmName",
      "soleProprietor",
      "previousLegalName",
      "dbaName",
      "previousDbaName",
      "businessConductedOtherNames",
      "irsNum",
      "registrations",
      "additionalRegistrations",
      "principalOfficeAddress",
      "additionalOffices",
      "mailingAddressDifferent",
      "mailingAddress",
      "primaryWebAddress",
      "additionalWebAddresses",
      "cco",
      "contactPerson",
      "booksAndRecordsLocations",
      "foreignRegulatoryAuthorityRegistrations",
      "businessAffiliates",
      "formOfOrganization",
      "organizedJurisdiction",
      "dateOfOrganization",
      "isPrcApplicant",
      "numberOfEmployees",
      "numberOfAdditionalWebSites",
      "employeesEngagedInMAA",
      "maaEmployeesRegBD",
      "maaRegIA",
      "numberOfSolicitingFirms",
      "clientsServedAsMA",
      "typesOfClients",
      "numberOfSolicitedME",
      "numberOfSolicitedOP",
      "totalNumberOfSolicitedMEAndOP",
      "typesOfSolicitedPersons",
      "meOrOPCompensationTypes",
      "solicitationCompensationTypes",
      "engagedActivities",
      "isEngagedInOtherNonMAABusiness",
      "totalFIAAssociatedPersons",
      "participationInterestMACT",
      "disclosureAnswers",
      "hasAnnualReceiptsLessThan7Million",
      "isAffiliatedWithReceiptsMoreThan7Million",
      "scheduleA",
      "scheduleC",
      "drpInfo",
      "maExecutionPage",
      "controls"
    ],
    "additionalOffices": {
      "additionalOffice": [
        {
          "#order": [
            "addDeleteAmend",
            "officeInfo"
          ],
          "addDeleteAmend": {
            "newAdd": "NewAdd"
          },
          "officeInfo": {
            "#order": [
              "addressInfo",
              "phoneNumber"
            ],
            "addressInfo": {
              "#order": [
                "residentialAddressFlag",
                "address"
              ],
              "address": {
                "#order": [
                  "street1",
                  "city",
                  "stateOrCountry",
                  "zipCode"
                ],
                "city": "asdf",
                "stateOrCountry": "Z0",
                "street1": "213213 sadf",
                "zipCode": "11111"
              },
              "residentialAddressFlag": "N"
            },
            "phoneNumber": "703-705-6895"
          }
        },
        {
          "#order": [
            "addDeleteAmend",
            "officeInfo"
          ],
          "addDeleteAmend": {
            "delete": "Delete"
          },
          "officeInfo": {
            "#order": [
              "addressInfo",
              "phoneNumber",
              "faxNumber"
            ],
            "addressInfo": {
              "#order": [
                "residentialAddressFlag",
                "address"
              ],
              "address": {
                "#order": [
                  "street1",
                  "city",
                  "stateOrCountry",
                  "zipCode"
                ],
                "city": "city2",
                "stateOrCountry": "AK",
                "street1": "street2",
                "zipCode": "22222"
              },
              "residentialAddressFlag": "Y"
            },
            "faxNumber": "2222223333",
            "phoneNumber": "2222222222"
          }
        }
      ]
    },
    "additionalRegistrations": {
      "additionalRegistration": [
        {
          "nameAndRegistration": {
            "#order": [
              "name",
              "registrationId"
            ],
            "name": "other reg name 1",
            "registrationId": "other-reg-num-1"
          }
        },
        {
          "nameAndRegistration": {
            "#order": [
              "name",
              "registrationId"
            ],
            "name": "other reg name 2",
            "registrationId": "other-reg-num-2"
          }
        }
      ]

2,002 more lines not shown.

Every field

Every element and attribute in the SEC's schema for this form, in schema order, indented by depth. Names are the SEC's and are the keys in the JSON.

edgarSubmission (eis_MA.xsd, 2,144 fields)
Field (path)TypeOccursAllowed valuesSEC's description
edgarSubmission(group)1..1
schemaVersionSCHEMA_VERSION_TYPE0..1length=5
headerData(group: HEADER_DATA)1..1
submissionTypeSUBMISSION_TYPE1..1one of: MA, MA-A, MA/A
filerInfo(group: HEADER_DATA)1..1
liveTestFlagLIVE_TEST_TYPE0..1one of: LIVE, TEST
filer(group: FILER_TYPE)1..1
filerIdCIK_TYPE1..1pattern=\d{1,10}
filerCccCCC_TYPE1..1length=8
filerFileNumberFILE_NUMBER_TYPE0..1pattern=\d{1,3}-\d{1,8}-[a-zA-Z0-9]{1,4}|\d{1,3}-\d{1,8}|24R-\d{1,8}-[a-zA-Z0-9]{1,4}|24R-\d{1,8}
contact(group: CONTACT_TYPE)1..1
nameNAME_TYPE0..1minLength=1; maxLength=30; pattern=[A-Za-z0-9!#-$%():;'@\*\+\-/=\?\^_~{|},. \\\s<>&"\[\]]{1,30}
phoneNumberPHONE_TYPE0..1minLength=1; maxLength=20; pattern=[a-zA-Z0-9\-]{1,20}
contactEmailINTERNET_ADDRESS_TYPE1..1maxLength=80; minLength=4; pattern=([a-zA-Z0-9_\-\.]+)@((\[[0-9]{1,3}\.[0-9]{1,3}\.[0-9]{1,3}\.)|(([a-zA-Z0-9\-]+\.)+))([a-zA-Z]{2,7}|[0-9]{1,3})(\]?)
notifications(group: NOTIFICATION_TYPE)0..1
internetNotificationAddressINTERNET_ADDRESS_TYPE1..nmaxLength=80; minLength=4; pattern=([a-zA-Z0-9_\-\.]+)@((\[[0-9]{1,3}\.[0-9]{1,3}\.[0-9]{1,3}\.)|(([a-zA-Z0-9\-]+\.)+))([a-zA-Z]{2,7}|[0-9]{1,3})(\]?)
formData(group: FORM_DATA)1..1
fiscalYearEndDATE_TYPE0..1pattern=\d{1,2}-\d{1,2}-\d{4}
calYearEndYEAR_TYPE0..1pattern=\d{4,4}
hasChangesYES_NO_TYPE0..1one of: Y, N
firmNameENTITY_NAME_TYPE1..1minLength=1; maxLength=150; pattern=([A-Za-z0-9\s!\\#$(),.:;=@'\-{}|/&]+)
firmCrdNumberCRD_NUMBER_TYPE0..1minLength=1; maxLength=9
soleProprietor(group: SOLE_PROPRIETOR)0..1
name(group: INDIVIDUAL_NAME_TYPE)1..1
firstNameSTRING_50_TYPE0..1minLength=1; maxLength=50
middleNameSTRING_30_TYPE0..1minLength=1; maxLength=30
lastNameSTRING_50_TYPE0..1minLength=1; maxLength=50
suffixSTRING_10_TYPE0..1minLength=1; maxLength=10
crdNumberCRD_NUMBER_TYPE0..1minLength=1; maxLength=9
previousLegalNameSTRING_256_TYPE0..1minLength=1; maxLength=256
dbaNameSTRING_256_TYPE0..1minLength=1; maxLength=256
previousDbaNameSTRING_256_TYPE0..1minLength=1; maxLength=256
businessConductedOtherNames(group: BUSINESS_CONDUCTED_OTHER_NAMES_CONTAINER)0..1
businessConductedOtherName(group: BUSINESS_CONDUCTED_OTHER_NAME)1..100
addDeleteAmend(group: ADD_DELETE_AMEND)0..1
(choice)1..1exactly one of the following branches
addstring1*..1
deletestring1*..1
amendstring1*..1
newAddstring1*..1
nameSTRING_256_TYPE1..1minLength=1; maxLength=256
jurisdictionsSTRING_10K_TYPE1..1minLength=1; maxLength=10000
irsNumTAX_ID_TYPE0..1pattern=\d{2}[\-]?\d{7}
registrations(group: MA_REGISTRATIONS)0..1
maTregistration(group: REG_TYPE_1)0..1
fileNumberFILE_NUMBER_TYPE0..1pattern=\d{1,3}-\d{1,8}-[a-zA-Z0-9]{1,4}|\d{1,3}-\d{1,8}|24R-\d{1,8}-[a-zA-Z0-9]{1,4}|24R-\d{1,8}
baseRegistrations(group: MA_BASE_REGISTRATIONS)0..1
maRegistration(group: REG_TYPE_1)0..1
fileNumberFILE_NUMBER_TYPE0..1pattern=\d{1,3}-\d{1,8}-[a-zA-Z0-9]{1,4}|\d{1,3}-\d{1,8}|24R-\d{1,8}-[a-zA-Z0-9]{1,4}|24R-\d{1,8}
baseRegistrations(group: BASE_REGISTRATIONS)0..1
msdRegistration(group: REG_TYPE_1)0..1
fileNumberFILE_NUMBER_TYPE0..1pattern=\d{1,3}-\d{1,8}-[a-zA-Z0-9]{1,4}|\d{1,3}-\d{1,8}|24R-\d{1,8}-[a-zA-Z0-9]{1,4}|24R-\d{1,8}
bdRegistration(group: REG_TYPE_2)0..1
fileNumberFILE_NUMBER_TYPE1..1pattern=\d{1,3}-\d{1,8}-[a-zA-Z0-9]{1,4}|\d{1,3}-\d{1,8}|24R-\d{1,8}-[a-zA-Z0-9]{1,4}|24R-\d{1,8}
crdNumberCRD_NUMBER_TYPE1..1minLength=1; maxLength=9
iaRegistration(group: IA_REGISTRATION)0..1
(choice)1..1exactly one of the following branches
nonExempt(group: IA_REGISTRATION_NON_EXEMPT)1*..1
secRegistration(group: REG_TYPE_2)0..1
fileNumberFILE_NUMBER_TYPE1..1pattern=\d{1,3}-\d{1,8}-[a-zA-Z0-9]{1,4}|\d{1,3}-\d{1,8}|24R-\d{1,8}-[a-zA-Z0-9]{1,4}|24R-\d{1,8}
crdNumberCRD_NUMBER_TYPE1..1minLength=1; maxLength=9
stateRegistration(group: REG_TYPE_3)0..1
crdNumberCRD_NUMBER_TYPE0..1minLength=1; maxLength=9
stateUS_IAR_STATE_TYPE1..53one of 54 codes (AL, AK, AZ, AR, CA, …; full list in the XSD)
exemptAdvisor(group: REG_TYPE_2)1*..1
fileNumberFILE_NUMBER_TYPE1..1pattern=\d{1,3}-\d{1,8}-[a-zA-Z0-9]{1,4}|\d{1,3}-\d{1,8}|24R-\d{1,8}-[a-zA-Z0-9]{1,4}|24R-\d{1,8}
crdNumberCRD_NUMBER_TYPE1..1minLength=1; maxLength=9
gsbdRegistration(group: REG_TYPE_4)0..1
fileNumberFILE_NUMBER_TYPE1..1pattern=\d{1,3}-\d{1,8}-[a-zA-Z0-9]{1,4}|\d{1,3}-\d{1,8}|24R-\d{1,8}-[a-zA-Z0-9]{1,4}|24R-\d{1,8}
bankIdSTRING_256_TYPE0..1minLength=1; maxLength=256
otherRegistration(group: REG_TYPE_5)0..1
descriptionSTRING_256_TYPE1..1minLength=1; maxLength=256
fileNumberFILE_NUMBER_TYPE0..1pattern=\d{1,3}-\d{1,8}-[a-zA-Z0-9]{1,4}|\d{1,3}-\d{1,8}|24R-\d{1,8}-[a-zA-Z0-9]{1,4}|24R-\d{1,8}
cikCIK_TYPE0..1pattern=\d{1,10}
anotherRegistration(group: REG_TYPE_6)0..1
descriptionSTRING_256_TYPE1..1minLength=1; maxLength=256
registrationIdSTRING_256_TYPE0..1minLength=1; maxLength=256
additionalRegistrations(group: ADDITIONAL_REGISTRATIONS_CONTAINER)0..1
additionalRegistration(group: ADDITIONAL_REGISTRATION)1..100
nameAndRegistration(group: NAME_AND_REGISTRATION)1..1
nameSTRING_256_TYPE1..1minLength=1; maxLength=256
registrationIdSTRING_256_TYPE1..1minLength=1; maxLength=256
principalOfficeAddress(group: PRINCIPAL_OFFICE_INFO)1..1
addressInfo(group: ADDRESS_TYPE)0..1
residentialAddressFlagYES_NO_TYPE0..1one of: Y, N
address(group: ADDRESS_TYPE)1..1
street1STREET_TYPE1..1minLength=1; maxLength=40
street2STREET_TYPE0..1minLength=1; maxLength=40
citySTRING_30_TYPE1..1minLength=1; maxLength=30
stateOrCountrySTATE_COUNTRY_CODE1..1one of 331 codes (AL, AK, AZ, AR, CA, …; full list in the XSD)
zipCodeZIP_TYPE1..1minLength=1; maxLength=10; pattern=[0-9A-Za-z #\-]*
phoneNumberPHONE_TYPE1..1minLength=1; maxLength=20; pattern=[a-zA-Z0-9\-]{1,20}
faxNumberPHONE_TYPE0..1minLength=1; maxLength=20; pattern=[a-zA-Z0-9\-]{1,20}
additionalOffices(group: ADDITIONAL_OFFICES_CONTAINER)0..1
additionalOffice(group: ADDITIONAL_OFFICE)1..5
addDeleteAmend(group: ADD_DELETE_AMEND)0..1
(choice)1..1exactly one of the following branches
addstring1*..1
deletestring1*..1
amendstring1*..1
newAddstring1*..1
officeInfo(group: PRINCIPAL_OFFICE_INFO)1..1
addressInfo(group: ADDRESS_TYPE)0..1
residentialAddressFlagYES_NO_TYPE0..1one of: Y, N
address(group: ADDRESS_TYPE)1..1
street1STREET_TYPE1..1minLength=1; maxLength=40
street2STREET_TYPE0..1minLength=1; maxLength=40
citySTRING_30_TYPE1..1minLength=1; maxLength=30
stateOrCountrySTATE_COUNTRY_CODE1..1one of 331 codes (AL, AK, AZ, AR, CA, …; full list in the XSD)
zipCodeZIP_TYPE1..1minLength=1; maxLength=10; pattern=[0-9A-Za-z #\-]*
phoneNumberPHONE_TYPE1..1minLength=1; maxLength=20; pattern=[a-zA-Z0-9\-]{1,20}
faxNumberPHONE_TYPE0..1minLength=1; maxLength=20; pattern=[a-zA-Z0-9\-]{1,20}
mailingAddressDifferentYES_NO_TYPE1..1one of: Y, N
mailingAddress(group: ADDRESS_TYPE)0..1
residentialAddressFlagYES_NO_TYPE0..1one of: Y, N
address(group: ADDRESS_TYPE)1..1
street1STREET_TYPE1..1minLength=1; maxLength=40
street2STREET_TYPE0..1minLength=1; maxLength=40
citySTRING_30_TYPE1..1minLength=1; maxLength=30
stateOrCountrySTATE_COUNTRY_CODE1..1one of 331 codes (AL, AK, AZ, AR, CA, …; full list in the XSD)
zipCodeZIP_TYPE1..1minLength=1; maxLength=10; pattern=[0-9A-Za-z #\-]*
primaryWebAddressWEBSITE_URL_TYPE0..1maxLength=256
additionalWebAddresses(group: ADDITIONAL_WEB_ADDRESSES_CONTAINER)0..1
additionalWebAddress(group: ADDITIONAL_WEB_ADDRESS)1..50
addDeleteAmend(group: ADD_DELETE_AMEND)0..1
(choice)1..1exactly one of the following branches
addstring1*..1
deletestring1*..1
amendstring1*..1
newAddstring1*..1
webAddressWEBSITE_URL_TYPE1..1maxLength=256
cco(group: PERSON_TYPE)0..1
name(group: INDIVIDUAL_NAME_TYPE)1..1
firstNameSTRING_50_TYPE0..1minLength=1; maxLength=50
middleNameSTRING_30_TYPE0..1minLength=1; maxLength=30
lastNameSTRING_50_TYPE0..1minLength=1; maxLength=50
suffixSTRING_10_TYPE0..1minLength=1; maxLength=10
titles(group: OTHER_TITLES_CONTAINER)0..1
titleSTRING_150_TYPE1..10minLength=1; maxLength=150
address(group: ADDRESS_TYPE)0..1
residentialAddressFlagYES_NO_TYPE0..1one of: Y, N
address(group: ADDRESS_TYPE)1..1
street1STREET_TYPE1..1minLength=1; maxLength=40
street2STREET_TYPE0..1minLength=1; maxLength=40
citySTRING_30_TYPE1..1minLength=1; maxLength=30
stateOrCountrySTATE_COUNTRY_CODE1..1one of 331 codes (AL, AK, AZ, AR, CA, …; full list in the XSD)
zipCodeZIP_TYPE1..1minLength=1; maxLength=10; pattern=[0-9A-Za-z #\-]*
crdNumberCRD_NUMBER_TYPE0..1minLength=1; maxLength=9
phoneNumberPHONE_TYPE1..1minLength=1; maxLength=20; pattern=[a-zA-Z0-9\-]{1,20}
faxNumberPHONE_TYPE0..1minLength=1; maxLength=20; pattern=[a-zA-Z0-9\-]{1,20}
emailINTERNET_ADDRESS_TYPE0..1maxLength=80; minLength=4; pattern=([a-zA-Z0-9_\-\.]+)@((\[[0-9]{1,3}\.[0-9]{1,3}\.[0-9]{1,3}\.)|(([a-zA-Z0-9\-]+\.)+))([a-zA-Z]{2,7}|[0-9]{1,3})(\]?)
contactPerson(group: PERSON_TYPE)0..1
name(group: INDIVIDUAL_NAME_TYPE)1..1
firstNameSTRING_50_TYPE0..1minLength=1; maxLength=50
middleNameSTRING_30_TYPE0..1minLength=1; maxLength=30
lastNameSTRING_50_TYPE0..1minLength=1; maxLength=50
suffixSTRING_10_TYPE0..1minLength=1; maxLength=10
titles(group: OTHER_TITLES_CONTAINER)0..1
titleSTRING_150_TYPE1..10minLength=1; maxLength=150
address(group: ADDRESS_TYPE)0..1
residentialAddressFlagYES_NO_TYPE0..1one of: Y, N
address(group: ADDRESS_TYPE)1..1
street1STREET_TYPE1..1minLength=1; maxLength=40
street2STREET_TYPE0..1minLength=1; maxLength=40
citySTRING_30_TYPE1..1minLength=1; maxLength=30
stateOrCountrySTATE_COUNTRY_CODE1..1one of 331 codes (AL, AK, AZ, AR, CA, …; full list in the XSD)
zipCodeZIP_TYPE1..1minLength=1; maxLength=10; pattern=[0-9A-Za-z #\-]*
crdNumberCRD_NUMBER_TYPE0..1minLength=1; maxLength=9
phoneNumberPHONE_TYPE1..1minLength=1; maxLength=20; pattern=[a-zA-Z0-9\-]{1,20}
faxNumberPHONE_TYPE0..1minLength=1; maxLength=20; pattern=[a-zA-Z0-9\-]{1,20}
emailINTERNET_ADDRESS_TYPE0..1maxLength=80; minLength=4; pattern=([a-zA-Z0-9_\-\.]+)@((\[[0-9]{1,3}\.[0-9]{1,3}\.[0-9]{1,3}\.)|(([a-zA-Z0-9\-]+\.)+))([a-zA-Z]{2,7}|[0-9]{1,3})(\]?)
booksAndRecordsLocations(group: LOCATION_BOOKS_RECORDS_CONTAINER)0..1
booksAndRecordsLocation(group: LOCATION_BOOKS_RECORD)1..5
type(group: ADD_DELETE_AMEND)0..1
(choice)1..1exactly one of the following branches
addstring1*..1
deletestring1*..1
amendstring1*..1
newAddstring1*..1
locationNameSTRING_256_TYPE1..1minLength=1; maxLength=256
contact(group: PRINCIPAL_OFFICE_INFO)1..1
addressInfo(group: ADDRESS_TYPE)0..1
residentialAddressFlagYES_NO_TYPE0..1one of: Y, N
address(group: ADDRESS_TYPE)1..1
street1STREET_TYPE1..1minLength=1; maxLength=40
street2STREET_TYPE0..1minLength=1; maxLength=40
citySTRING_30_TYPE1..1minLength=1; maxLength=30
stateOrCountrySTATE_COUNTRY_CODE1..1one of 331 codes (AL, AK, AZ, AR, CA, …; full list in the XSD)
zipCodeZIP_TYPE1..1minLength=1; maxLength=10; pattern=[0-9A-Za-z #\-]*
phoneNumberPHONE_TYPE1..1minLength=1; maxLength=20; pattern=[a-zA-Z0-9\-]{1,20}
faxNumberPHONE_TYPE0..1minLength=1; maxLength=20; pattern=[a-zA-Z0-9\-]{1,20}
locationType(group: LOCATION_TYPE)1..1
(choice)1..1exactly one of the following branches
branchOrAffiliatestring1*..1
third-partystring1*..1
otherstring1*..1
descriptionSTRING_256_TYPE1..1minLength=1; maxLength=256
foreignRegulatoryAuthorityRegistrations(group: FOREIGN_REGULATORY_AUTHORITY_REGISTRATION_CONTAINER)0..1
foreignRegulatoryAuthorityRegistration(group: FOREIGN_REGULATORY_AUTHORITY_REGISTRATION)1..100
type(group: ADD_DELETE_AMEND)0..1
(choice)1..1exactly one of the following branches
addstring1*..1
deletestring1*..1
amendstring1*..1
newAddstring1*..1
englishFFRANameSTRING_256_TYPE1..1minLength=1; maxLength=256
foreignRegNumberSTRING_256_TYPE0..1minLength=1; maxLength=256
englishCountryNameNON_US_COUNTRY_CODES1..1one of 277 codes (A0, A1, A2, A3, A4, …; full list in the XSD)
businessAffiliates(group: BUSINESS_AFFILIATES_CONTAINER)0..1
businessAffiliate(group: BUSINESS_AFFILIATE)1..100
affiliateNameENTITY_NAME_256_TYPE1..1minLength=1; maxLength=256; pattern=([\w\s!\\#$(),.:;=@\-{}|/&]+)
hasApplicableRegistrationYES_NO_TYPE1..1one of: Y, N
applicableRegistration(group: APPLICABLE_REGISTRATION)0..1
issuingAgencyNameSTRING_256_TYPE1..1minLength=1; maxLength=256
registrationNumberSTRING_256_TYPE0..1minLength=1; maxLength=256
jurisdiction(group: JURISDICTION)1..1
(choice)1..1exactly one of the following branches
US_Federalstring1*..1
US_StateUS_STATE_CODES1*..1one of 53 codes (AL, AK, AZ, AR, CA, …; full list in the XSD)
ForeignCountryNON_US_COUNTRY_CODES1*..1one of 277 codes (A0, A1, A2, A3, A4, …; full list in the XSD)
formOfOrganization(group: FORM_OF_ORGANIZATION)0..1
formOrgType(group: FORM_ORG_TYPES)1..1
formOrgTypes(group: FORM_ORG_TYPE)1..1
(choice)1..1exactly one of the following branches
Corporationstring1*..1
Sole_Proprietorshipstring1*..1
LLPstring1*..1
Partnershipstring1*..1
LLCstring1*..1
LPstring1*..1
Otherstring1*..1
formOrgOtherDescriptionSTRING_256_TYPE0..1minLength=1; maxLength=256
monthOfFiscalYearEndMONTH_TYPE0..1one of: January, February, March, April, May, June, July, August, September, October, November, December
organizedJurisdiction(group: STATE_COUNTRY_TYPE)0..1
stateOrCountrySTATE_COUNTRY_CODE1..1one of 331 codes (AL, AK, AZ, AR, CA, …; full list in the XSD)
dateOfOrganizationDATE_TYPE1..1pattern=\d{1,2}-\d{1,2}-\d{4}
isPrcApplicantYES_NO_TYPE1..1one of: Y, N
prcCIKCIK_TYPE0..1pattern=\d{1,10}
successionInfo(group: SUCCESSIONS_CONTAINER)0..1
dateOfSuccessionDATE_TYPE1..1pattern=\d{1,2}-\d{1,2}-\d{4}
successions(group: SUCCESSIONS)1..100
baseRegistrations(group: MA_BASE_REGISTRATIONS)0..1
maRegistration(group: REG_TYPE_1)0..1
fileNumberFILE_NUMBER_TYPE0..1pattern=\d{1,3}-\d{1,8}-[a-zA-Z0-9]{1,4}|\d{1,3}-\d{1,8}|24R-\d{1,8}-[a-zA-Z0-9]{1,4}|24R-\d{1,8}
baseRegistrations(group: BASE_REGISTRATIONS)0..1
msdRegistration(group: REG_TYPE_1)0..1
fileNumberFILE_NUMBER_TYPE0..1pattern=\d{1,3}-\d{1,8}-[a-zA-Z0-9]{1,4}|\d{1,3}-\d{1,8}|24R-\d{1,8}-[a-zA-Z0-9]{1,4}|24R-\d{1,8}
bdRegistration(group: REG_TYPE_2)0..1
fileNumberFILE_NUMBER_TYPE1..1pattern=\d{1,3}-\d{1,8}-[a-zA-Z0-9]{1,4}|\d{1,3}-\d{1,8}|24R-\d{1,8}-[a-zA-Z0-9]{1,4}|24R-\d{1,8}
crdNumberCRD_NUMBER_TYPE1..1minLength=1; maxLength=9
iaRegistration(group: IA_REGISTRATION)0..1
(choice)1..1exactly one of the following branches
nonExempt(group: IA_REGISTRATION_NON_EXEMPT)1*..1
secRegistration(group: REG_TYPE_2)0..1
fileNumberFILE_NUMBER_TYPE1..1pattern=\d{1,3}-\d{1,8}-[a-zA-Z0-9]{1,4}|\d{1,3}-\d{1,8}|24R-\d{1,8}-[a-zA-Z0-9]{1,4}|24R-\d{1,8}
crdNumberCRD_NUMBER_TYPE1..1minLength=1; maxLength=9
stateRegistration(group: REG_TYPE_3)0..1
crdNumberCRD_NUMBER_TYPE0..1minLength=1; maxLength=9
stateUS_IAR_STATE_TYPE1..53one of 54 codes (AL, AK, AZ, AR, CA, …; full list in the XSD)
exemptAdvisor(group: REG_TYPE_2)1*..1
fileNumberFILE_NUMBER_TYPE1..1pattern=\d{1,3}-\d{1,8}-[a-zA-Z0-9]{1,4}|\d{1,3}-\d{1,8}|24R-\d{1,8}-[a-zA-Z0-9]{1,4}|24R-\d{1,8}
crdNumberCRD_NUMBER_TYPE1..1minLength=1; maxLength=9
gsbdRegistration(group: REG_TYPE_4)0..1
fileNumberFILE_NUMBER_TYPE1..1pattern=\d{1,3}-\d{1,8}-[a-zA-Z0-9]{1,4}|\d{1,3}-\d{1,8}|24R-\d{1,8}-[a-zA-Z0-9]{1,4}|24R-\d{1,8}
bankIdSTRING_256_TYPE0..1minLength=1; maxLength=256
otherRegistration(group: REG_TYPE_5)0..1
descriptionSTRING_256_TYPE1..1minLength=1; maxLength=256
fileNumberFILE_NUMBER_TYPE0..1pattern=\d{1,3}-\d{1,8}-[a-zA-Z0-9]{1,4}|\d{1,3}-\d{1,8}|24R-\d{1,8}-[a-zA-Z0-9]{1,4}|24R-\d{1,8}
cikCIK_TYPE0..1pattern=\d{1,10}
anotherRegistration(group: REG_TYPE_6)0..1
descriptionSTRING_256_TYPE1..1minLength=1; maxLength=256
registrationIdSTRING_256_TYPE0..1minLength=1; maxLength=256
nameOfFirmSTRING_256_TYPE1..1minLength=1; maxLength=256
numberOfEmployeesSTRING_NUMERIC_3_TYPE0..1pattern=\d{1,10}
numberOfAdditionalWebSitesSTRING_50_TYPE0..1minLength=1; maxLength=50
employeesEngagedInMAASTRING_NUMERIC_3_TYPE0..1pattern=\d{1,10}
maaEmployeesRegBDSTRING_NUMERIC_3_TYPE0..1pattern=\d{1,10}
maaRegIASTRING_NUMERIC_3_TYPE0..1pattern=\d{1,10}
numberOfSolicitingFirmsSTRING_NUMERIC_3_TYPE0..1pattern=\d{1,10}
solicitingMACFirms(group: SOLICITING_MAC_FIRMS_CONTAINER)0..1
solicitingMACFirm(group: SOLICITING_MAC_FIRM)1..n
nameSTRING_256_TYPE1..1minLength=1; maxLength=256
cikCIK_TYPE0..1pattern=\d{1,10}
crdCRD_NUMBER_TYPE0..1minLength=1; maxLength=9
contactInfo(group: PRINCIPAL_OFFICE_INFO)1..1
addressInfo(group: ADDRESS_TYPE)0..1
residentialAddressFlagYES_NO_TYPE0..1one of: Y, N
address(group: ADDRESS_TYPE)1..1
street1STREET_TYPE1..1minLength=1; maxLength=40
street2STREET_TYPE0..1minLength=1; maxLength=40
citySTRING_30_TYPE1..1minLength=1; maxLength=30
stateOrCountrySTATE_COUNTRY_CODE1..1one of 331 codes (AL, AK, AZ, AR, CA, …; full list in the XSD)
zipCodeZIP_TYPE1..1minLength=1; maxLength=10; pattern=[0-9A-Za-z #\-]*
phoneNumberPHONE_TYPE1..1minLength=1; maxLength=20; pattern=[a-zA-Z0-9\-]{1,20}
faxNumberPHONE_TYPE0..1minLength=1; maxLength=20; pattern=[a-zA-Z0-9\-]{1,20}
numberOfIndBusinessEmployeesSTRING_NUMERIC_3_TYPE0..1pattern=\d{1,10}
independentBusinessEmployees(group: INDEPENDENT_BUSINESS_EMPLOYEES_CONTAINER)0..1
independentBusinessEmployee(group: INDEPENDENT_BUSINESS_EMPLOYEE)1..100
name(group: INDIVIDUAL_NAME_NO_SUFIX_TYPE)1..1
firstNameSTRING_50_TYPE1..1minLength=1; maxLength=50
middleNameSTRING_30_TYPE1..1minLength=1; maxLength=30
lastNameSTRING_50_TYPE1..1minLength=1; maxLength=50
cikCIK_TYPE0..1pattern=\d{1,10}
crdCRD_NUMBER_TYPE0..1minLength=1; maxLength=9
contactInfo(group: PRINCIPAL_OFFICE_INFO)1..1
addressInfo(group: ADDRESS_TYPE)0..1
residentialAddressFlagYES_NO_TYPE0..1one of: Y, N
address(group: ADDRESS_TYPE)1..1
street1STREET_TYPE1..1minLength=1; maxLength=40
street2STREET_TYPE0..1minLength=1; maxLength=40
citySTRING_30_TYPE1..1minLength=1; maxLength=30
stateOrCountrySTATE_COUNTRY_CODE1..1one of 331 codes (AL, AK, AZ, AR, CA, …; full list in the XSD)
zipCodeZIP_TYPE1..1minLength=1; maxLength=10; pattern=[0-9A-Za-z #\-]*
phoneNumberPHONE_TYPE1..1minLength=1; maxLength=20; pattern=[a-zA-Z0-9\-]{1,20}
faxNumberPHONE_TYPE0..1minLength=1; maxLength=20; pattern=[a-zA-Z0-9\-]{1,20}
clientsServedAsMASTRING_NUMERIC_3_TYPE0..1pattern=\d{1,10}
typesOfClients(group: TYPES_OF_CLIENTS)0..1
typesOfClients(group: CLIENT_TYPES)1..1
clientTypesCLIENT_TYPE1..5one of: Municipal Entities, Non-profit organizations, Corporations or other businesses, Other, Not Applicable
typesOfClientsOtherSTRING_256_TYPE0..1minLength=1; maxLength=256
numberOfSolicitedMESTRING_NUMERIC_3_TYPE0..1pattern=\d{1,10}
numberOfSolicitedOPSTRING_NUMERIC_3_TYPE0..1pattern=\d{1,10}
totalNumberOfSolicitedMEAndOPSTRING_NUMERIC_3_TYPE0..1pattern=\d{1,10}
typesOfSolicitedPersons(group: TYPES_OF_SOLICITED_PERSONS)0..1
solicitationPersonTypes(group: SOLICITATION_PERSON_TYPES)1..1
solicitationPersonTypesSOLICITATION_PERSON_TYPE1..8one of: Public pension funds, 529 Plans, Local government investment pools, State government investment pools, Hospitals, Colleges, Other, Not Applicable
spOtherDescriptionSTRING_256_TYPE0..1minLength=1; maxLength=256
meOrOPCompensationTypes(group: MA_COMPENSATION_TYPES)0..1
compensationTypes(group: COMPENSATION_TYPES)1..1
compensationTypesCOMPENSATION_TYPE1..6one of: Hourly Charges, Fixed Fees, Contingent Fees, Subscription Fees, Not Applicable, Other
COMP_TYPE_OTHER_DESCRIPTIONSTRING_256_TYPE0..1minLength=1; maxLength=256
solicitationCompensationTypes(group: MA_COMPENSATION_TYPES)0..1
compensationTypes(group: COMPENSATION_TYPES)1..1
compensationTypesCOMPENSATION_TYPE1..6one of: Hourly Charges, Fixed Fees, Contingent Fees, Subscription Fees, Not Applicable, Other
COMP_TYPE_OTHER_DESCRIPTIONSTRING_256_TYPE0..1minLength=1; maxLength=256
receiveCompensationForMAAFromOtherClientsExplanationSTRING_10K_TYPE0..1minLength=1; maxLength=10000
engagedActivities(group: ENGAGED_ACTIVITY_TYPES)0..1
engagedActivityTypes(group: ENGAGED_ACTIVITIES_TYPE)1..1
engagedActivityTypeENGAGED_ACTIVITY_TYPE1..11one of: Advice Insurance Of MS, Advice Investment Of Proceeds MS, Advice ME Investments, Advice ME Other Investments, Advice Guaranteed IC, Advice Use Of MD, Solicitation Of IAB, Solicitation Other, Advice On Selection, Brokerage Of MEI, Other
eaTypeOtherDescriptionSTRING_10K_TYPE0..1minLength=1; maxLength=10000
otherActivities(group: OTHER_ACTIVITY_TYPES)0..1
brokerDealers(group: ACTIVELY_ENGAGED_PRIMARY_BUSINESS_TYPE)0..1
isActivelyEngagedYES_NO_TYPE0..1one of: Y, N
isPrimaryBusinessYES_NO_TYPE0..1one of: Y, N
registeredBrokerDealerReps(group: ACTIVELY_ENGAGED_PRIMARY_BUSINESS_TYPE)0..1
isActivelyEngagedYES_NO_TYPE0..1one of: Y, N
isPrimaryBusinessYES_NO_TYPE0..1one of: Y, N
commodityPoolOperator(group: ACTIVELY_ENGAGED_PRIMARY_BUSINESS_TYPE)0..1
isActivelyEngagedYES_NO_TYPE0..1one of: Y, N
isPrimaryBusinessYES_NO_TYPE0..1one of: Y, N
commidityTA(group: ACTIVELY_ENGAGED_PRIMARY_BUSINESS_TYPE)0..1
isActivelyEngagedYES_NO_TYPE0..1one of: Y, N
isPrimaryBusinessYES_NO_TYPE0..1one of: Y, N
futuresCommissionMerchant(group: ACTIVELY_ENGAGED_PRIMARY_BUSINESS_TYPE)0..1
isActivelyEngagedYES_NO_TYPE0..1one of: Y, N
isPrimaryBusinessYES_NO_TYPE0..1one of: Y, N
majorSwapParticipant(group: ACTIVELY_ENGAGED_PRIMARY_BUSINESS_TYPE)0..1
isActivelyEngagedYES_NO_TYPE0..1one of: Y, N
isPrimaryBusinessYES_NO_TYPE0..1one of: Y, N
majorSBSwapParticipant(group: ACTIVELY_ENGAGED_PRIMARY_BUSINESS_TYPE)0..1
isActivelyEngagedYES_NO_TYPE0..1one of: Y, N
isPrimaryBusinessYES_NO_TYPE0..1one of: Y, N
swapDealers(group: ACTIVELY_ENGAGED_PRIMARY_BUSINESS_TYPE)0..1
isActivelyEngagedYES_NO_TYPE0..1one of: Y, N
isPrimaryBusinessYES_NO_TYPE0..1one of: Y, N
swapDealersSecurityBased(group: ACTIVELY_ENGAGED_PRIMARY_BUSINESS_TYPE)0..1
isActivelyEngagedYES_NO_TYPE0..1one of: Y, N
isPrimaryBusinessYES_NO_TYPE0..1one of: Y, N
trustCompany(group: ACTIVELY_ENGAGED_PRIMARY_BUSINESS_TYPE)0..1
isActivelyEngagedYES_NO_TYPE0..1one of: Y, N
isPrimaryBusinessYES_NO_TYPE0..1one of: Y, N
realEstate(group: ACTIVELY_ENGAGED_PRIMARY_BUSINESS_TYPE)0..1
isActivelyEngagedYES_NO_TYPE0..1one of: Y, N
isPrimaryBusinessYES_NO_TYPE0..1one of: Y, N
insurance(group: ACTIVELY_ENGAGED_PRIMARY_BUSINESS_TYPE)0..1
isActivelyEngagedYES_NO_TYPE0..1one of: Y, N
isPrimaryBusinessYES_NO_TYPE0..1one of: Y, N
bankingThrift(group: ACTIVELY_ENGAGED_PRIMARY_BUSINESS_TYPE)0..1
isActivelyEngagedYES_NO_TYPE0..1one of: Y, N
isPrimaryBusinessYES_NO_TYPE0..1one of: Y, N
investmentAdvisor(group: ACTIVELY_ENGAGED_PRIMARY_BUSINESS_TYPE)0..1
isActivelyEngagedYES_NO_TYPE0..1one of: Y, N
isPrimaryBusinessYES_NO_TYPE0..1one of: Y, N
lawyers(group: ACTIVELY_ENGAGED_PRIMARY_BUSINESS_JURISDICTION_TYPE)0..1
activelyEngagedPrimaryBusiness(group: ACTIVELY_ENGAGED_PRIMARY_BUSINESS_TYPE)0..1
isActivelyEngagedYES_NO_TYPE0..1one of: Y, N
isPrimaryBusinessYES_NO_TYPE0..1one of: Y, N
licensedJurisdictionsSTRING_10K_TYPE0..1minLength=1; maxLength=10000
accounting(group: ACTIVELY_ENGAGED_PRIMARY_BUSINESS_JURISDICTION_TYPE)0..1
activelyEngagedPrimaryBusiness(group: ACTIVELY_ENGAGED_PRIMARY_BUSINESS_TYPE)0..1
isActivelyEngagedYES_NO_TYPE0..1one of: Y, N
isPrimaryBusinessYES_NO_TYPE0..1one of: Y, N
licensedJurisdictionsSTRING_10K_TYPE0..1minLength=1; maxLength=10000
engineering(group: ACTIVELY_ENGAGED_PRIMARY_BUSINESS_TYPE)0..1
isActivelyEngagedYES_NO_TYPE0..1one of: Y, N
isPrimaryBusinessYES_NO_TYPE0..1one of: Y, N
otherFinancialProductAdvisor(group: ACTIVELY_ENGAGED_PRIMARY_BUSINESS_JURISDICTION_TYPE)0..1
activelyEngagedPrimaryBusiness(group: ACTIVELY_ENGAGED_PRIMARY_BUSINESS_TYPE)0..1
isActivelyEngagedYES_NO_TYPE0..1one of: Y, N
isPrimaryBusinessYES_NO_TYPE0..1one of: Y, N
licensedJurisdictionsSTRING_10K_TYPE0..1minLength=1; maxLength=10000
isEngagedInOtherNonMAABusinessYES_NO_TYPE0..1one of: Y, N
otherNonMAABusinessPrimaryDescriptionSTRING_10K_TYPE0..1minLength=1; maxLength=10000
fiaAssociatedPersonsTypes(group: FIA_ASSOCIATED_PERSON_TYPES)0..1
fiaAPTypesFIA_ASSOCIATED_PERSON_TYPE1..20one of: Broker-dealer municipal securities dealer or government securities broker or dealer, Investment Company, Investment Adviser, Swap Dealer, Security-based swap dealer, Major swap participant, Major security-based swap participant, Commodity pool operator, Commodity trading advisor, Futures commission merchant, Banking/Thrift institution, Trust Company, Accountant or accounting firm, Lawyer or law firm, Insurance company or agency, Pension consultant, Real estate broker or dealer, Sponsor or syndicator of limited partnerships, Engineer or engineering firm, Other municipal advisor
totalFIAAssociatedPersonsSTRING_NUMERIC_3_TYPE0..1pattern=\d{1,10}
fiaAssociatedPersons(group: FIA_ASSOCIATED_PERSONS_CONTAINER)0..1
fiaAssociatedPerson(group: FIA_ASSOCIATED_PERSON)1..n
type(group: ADD_DELETE_AMEND)0..1
(choice)1..1exactly one of the following branches
addstring1*..1
deletestring1*..1
amendstring1*..1
newAddstring1*..1
apTypes(group: FIA_ASSOCIATED_PERSON_TYPES)1..1
fiaAPTypesFIA_ASSOCIATED_PERSON_TYPE1..20one of: Broker-dealer municipal securities dealer or government securities broker or dealer, Investment Company, Investment Adviser, Swap Dealer, Security-based swap dealer, Major swap participant, Major security-based swap participant, Commodity pool operator, Commodity trading advisor, Futures commission merchant, Banking/Thrift institution, Trust Company, Accountant or accounting firm, Lawyer or law firm, Insurance company or agency, Pension consultant, Real estate broker or dealer, Sponsor or syndicator of limited partnerships, Engineer or engineering firm, Other municipal advisor
legalNameSTRING_256_TYPE1..1minLength=1; maxLength=256
primaryBusinessNameSTRING_256_TYPE1..1minLength=1; maxLength=256
otherMunicipalAdviser(group: OTHER_MUNICIPAL_ADVISER)0..1
isControlOrControlledYES_NO_TYPE1..1one of: Y, N
isUnderCommonControlYES_NO_TYPE1..1one of: Y, N
isRegisteredWithFFRAYES_NO_TYPE1..1one of: Y, N
ffraRegistrations(group: FFRA_REGISTRATIONS_CONTAINER)0..1
ffraRegistration(group: FFRA_REGISTRATION)1..100
nameSTRING_256_TYPE1..1minLength=1; maxLength=256
registrationNumSTRING_256_TYPE0..1minLength=1; maxLength=256
countryNON_US_COUNTRY_CODES1..1one of 277 codes (A0, A1, A2, A3, A4, …; full list in the XSD)
participationInterestMACT(group: PARTICIPATION_INTEREST_IN_MACT)1..1
mactBuySellFromClientsYES_NO_TYPE1..1one of: Y, N
mactBuySellRecommendToClientsYES_NO_TYPE1..1one of: Y, N
mactEnterDerivativesWithClientsYES_NO_TYPE1..1one of: Y, N
mactRecommendOwnedInterestToClientsYES_NO_TYPE1..1one of: Y, N
mactRecommendToClientsServingYES_NO_TYPE1..1one of: Y, N
mactRecommendToClientsHavingOtherSalesInterestYES_NO_TYPE1..1one of: Y, N
mactDiscAuthBuySellAsMAAYES_NO_TYPE1..1one of: Y, N
mactDiscAuthBuySellYES_NO_TYPE1..1one of: Y, N
mactDiscAuthDetermineBrokerDealerYES_NO_TYPE1..1one of: Y, N
mactDiscAuthDetermineBrokerDealerAreAPYES_NO_TYPE0..1one of: Y, N
mactDiscAuthDetermineCommissionToBrokerDealerYES_NO_TYPE1..1one of: Y, N
mactRecommendBrokerDealerToClientYES_NO_TYPE1..1one of: Y, N
mactRecommendBrokerDealerToClientAreAPYES_NO_TYPE0..1one of: Y, N
mactCompensateForReferralsYES_NO_TYPE1..1one of: Y, N
mactReceiveCompensationForReferralsYES_NO_TYPE1..1one of: Y, N
nonScheduleABCControllingPersons(group: NON_SCHEDULEABC_CONTROLLING_PERSONS_CONTAINER)0..1
nonScheduleABCControllingPerson(group: NON_SCHEDULEABC_CONTROLLING_PERSON)1..100
type(group: ADD_DELETE_AMEND)0..1
(choice)1..1exactly one of the following branches
addstring1*..1
deletestring1*..1
amendstring1*..1
newAddstring1*..1
(choice)1..1exactly one of the following branches
nonScheduleABCControlPersonFirm(group: NON_SCHEDULEABC_CONTROLLING_PERSON_FIRM)1*..1
nameOfFirmSTRING_256_TYPE1..1minLength=1; maxLength=256
maAdvisor(group: NON_SCHEDULEABC_FIRM_MAADVISOR)0..1
ma(group: NON_SCHEDULEABC_REG_TYPE_1)0..1
regInfo(group: REG_TYPE_1)1..1
fileNumberFILE_NUMBER_TYPE0..1pattern=\d{1,3}-\d{1,8}-[a-zA-Z0-9]{1,4}|\d{1,3}-\d{1,8}|24R-\d{1,8}-[a-zA-Z0-9]{1,4}|24R-\d{1,8}
dateInfo(group: NON_SCHEDULEABC_FIRM_REGISTRATION_DATES)1..1
effectiveDateDATE_TYPE0..1pattern=\d{1,2}-\d{1,2}-\d{4}
terminationDateDATE_TYPE0..1pattern=\d{1,2}-\d{1,2}-\d{4}
maTregistration(group: NON_SCHEDULEABC_REG_TYPE_1)0..1
regInfo(group: REG_TYPE_1)1..1
fileNumberFILE_NUMBER_TYPE0..1pattern=\d{1,3}-\d{1,8}-[a-zA-Z0-9]{1,4}|\d{1,3}-\d{1,8}|24R-\d{1,8}-[a-zA-Z0-9]{1,4}|24R-\d{1,8}
dateInfo(group: NON_SCHEDULEABC_FIRM_REGISTRATION_DATES)1..1
effectiveDateDATE_TYPE0..1pattern=\d{1,2}-\d{1,2}-\d{4}
terminationDateDATE_TYPE0..1pattern=\d{1,2}-\d{1,2}-\d{4}
mSecDealer(group: NON_SCHEDULEABC_REG_TYPE_1)0..1
regInfo(group: REG_TYPE_1)1..1
fileNumberFILE_NUMBER_TYPE0..1pattern=\d{1,3}-\d{1,8}-[a-zA-Z0-9]{1,4}|\d{1,3}-\d{1,8}|24R-\d{1,8}-[a-zA-Z0-9]{1,4}|24R-\d{1,8}
dateInfo(group: NON_SCHEDULEABC_FIRM_REGISTRATION_DATES)1..1
effectiveDateDATE_TYPE0..1pattern=\d{1,2}-\d{1,2}-\d{4}
terminationDateDATE_TYPE0..1pattern=\d{1,2}-\d{1,2}-\d{4}
brokerDealer(group: NON_SCHEDULEABC_REG_TYPE_2)0..1
regInfo(group: REG_TYPE_2)1..1
fileNumberFILE_NUMBER_TYPE1..1pattern=\d{1,3}-\d{1,8}-[a-zA-Z0-9]{1,4}|\d{1,3}-\d{1,8}|24R-\d{1,8}-[a-zA-Z0-9]{1,4}|24R-\d{1,8}
crdNumberCRD_NUMBER_TYPE1..1minLength=1; maxLength=9
dateInfo(group: NON_SCHEDULEABC_FIRM_REGISTRATION_DATES)1..1
effectiveDateDATE_TYPE0..1pattern=\d{1,2}-\d{1,2}-\d{4}
terminationDateDATE_TYPE0..1pattern=\d{1,2}-\d{1,2}-\d{4}
investmentAdvisor(group: NON_SCHEDULEABC_FIRM_IA_REG)0..1
sec(group: NON_SCHEDULEABC_REG_TYPE_2)0..1
regInfo(group: REG_TYPE_2)1..1
fileNumberFILE_NUMBER_TYPE1..1pattern=\d{1,3}-\d{1,8}-[a-zA-Z0-9]{1,4}|\d{1,3}-\d{1,8}|24R-\d{1,8}-[a-zA-Z0-9]{1,4}|24R-\d{1,8}
crdNumberCRD_NUMBER_TYPE1..1minLength=1; maxLength=9
dateInfo(group: NON_SCHEDULEABC_FIRM_REGISTRATION_DATES)1..1
effectiveDateDATE_TYPE0..1pattern=\d{1,2}-\d{1,2}-\d{4}
terminationDateDATE_TYPE0..1pattern=\d{1,2}-\d{1,2}-\d{4}
state(group: NON_SCHEDULEABC_REG_TYPE_3)0..1
regInfo(group: REG_TYPE_3)1..1
crdNumberCRD_NUMBER_TYPE0..1minLength=1; maxLength=9
stateUS_IAR_STATE_TYPE1..53one of 54 codes (AL, AK, AZ, AR, CA, …; full list in the XSD)
dateInfo(group: NON_SCHEDULEABC_FIRM_REGISTRATION_DATES)1..1
effectiveDateDATE_TYPE0..1pattern=\d{1,2}-\d{1,2}-\d{4}
terminationDateDATE_TYPE0..1pattern=\d{1,2}-\d{1,2}-\d{4}
exemptAdvisor(group: NON_SCHEDULEABC_REG_TYPE_2)0..1
regInfo(group: REG_TYPE_2)1..1
fileNumberFILE_NUMBER_TYPE1..1pattern=\d{1,3}-\d{1,8}-[a-zA-Z0-9]{1,4}|\d{1,3}-\d{1,8}|24R-\d{1,8}-[a-zA-Z0-9]{1,4}|24R-\d{1,8}
crdNumberCRD_NUMBER_TYPE1..1minLength=1; maxLength=9
dateInfo(group: NON_SCHEDULEABC_FIRM_REGISTRATION_DATES)1..1
effectiveDateDATE_TYPE0..1pattern=\d{1,2}-\d{1,2}-\d{4}
terminationDateDATE_TYPE0..1pattern=\d{1,2}-\d{1,2}-\d{4}
gsBrokerDealer(group: NON_SCHEDULEABC_REG_TYPE_4)0..1
regInfo(group: REG_TYPE_4)1..1
fileNumberFILE_NUMBER_TYPE1..1pattern=\d{1,3}-\d{1,8}-[a-zA-Z0-9]{1,4}|\d{1,3}-\d{1,8}|24R-\d{1,8}-[a-zA-Z0-9]{1,4}|24R-\d{1,8}
bankIdSTRING_256_TYPE0..1minLength=1; maxLength=256
dateInfo(group: NON_SCHEDULEABC_FIRM_REGISTRATION_DATES)1..1
effectiveDateDATE_TYPE0..1pattern=\d{1,2}-\d{1,2}-\d{4}
terminationDateDATE_TYPE0..1pattern=\d{1,2}-\d{1,2}-\d{4}
otherReg(group: NON_SCHEDULEABC_REG_TYPE_5)0..1
regInfo(group: REG_TYPE_5)1..1
descriptionSTRING_256_TYPE1..1minLength=1; maxLength=256
fileNumberFILE_NUMBER_TYPE0..1pattern=\d{1,3}-\d{1,8}-[a-zA-Z0-9]{1,4}|\d{1,3}-\d{1,8}|24R-\d{1,8}-[a-zA-Z0-9]{1,4}|24R-\d{1,8}
cikCIK_TYPE0..1pattern=\d{1,10}
dateInfo(group: NON_SCHEDULEABC_FIRM_REGISTRATION_DATES)1..1
effectiveDateDATE_TYPE0..1pattern=\d{1,2}-\d{1,2}-\d{4}
terminationDateDATE_TYPE0..1pattern=\d{1,2}-\d{1,2}-\d{4}
anotherReg(group: NON_SCHEDULEABC_REG_TYPE_6)0..1
regInfo(group: REG_TYPE_6)1..1
descriptionSTRING_256_TYPE1..1minLength=1; maxLength=256
registrationIdSTRING_256_TYPE0..1minLength=1; maxLength=256
dateInfo(group: NON_SCHEDULEABC_FIRM_REGISTRATION_DATES)1..1
effectiveDateDATE_TYPE0..1pattern=\d{1,2}-\d{1,2}-\d{4}
terminationDateDATE_TYPE0..1pattern=\d{1,2}-\d{1,2}-\d{4}
nonScheduleABCControlPersonNatural(group: NON_SCHEDULEABC_CONTROLLING_PERSON_NATURAL)1*..1
name(group: INDIVIDUAL_NAME_NO_SUFIX_TYPE)1..1
firstNameSTRING_50_TYPE1..1minLength=1; maxLength=50
middleNameSTRING_30_TYPE1..1minLength=1; maxLength=30
lastNameSTRING_50_TYPE1..1minLength=1; maxLength=50
cikCIK_TYPE0..1pattern=\d{1,10}
crdCRD_NUMBER_TYPE0..1minLength=1; maxLength=9
dateInfo(group: NON_SCHEDULEABC_FIRM_REGISTRATION_DATES)0..1
effectiveDateDATE_TYPE0..1pattern=\d{1,2}-\d{1,2}-\d{4}
terminationDateDATE_TYPE0..1pattern=\d{1,2}-\d{1,2}-\d{4}
descriptionSTRING_10K_TYPE1..1minLength=1; maxLength=10000
contact(group: PRINCIPAL_OFFICE_INFO)1..1
addressInfo(group: ADDRESS_TYPE)0..1
residentialAddressFlagYES_NO_TYPE0..1one of: Y, N
address(group: ADDRESS_TYPE)1..1
street1STREET_TYPE1..1minLength=1; maxLength=40
street2STREET_TYPE0..1minLength=1; maxLength=40
citySTRING_30_TYPE1..1minLength=1; maxLength=30
stateOrCountrySTATE_COUNTRY_CODE1..1one of 331 codes (AL, AK, AZ, AR, CA, …; full list in the XSD)
zipCodeZIP_TYPE1..1minLength=1; maxLength=10; pattern=[0-9A-Za-z #\-]*
phoneNumberPHONE_TYPE1..1minLength=1; maxLength=20; pattern=[a-zA-Z0-9\-]{1,20}
faxNumberPHONE_TYPE0..1minLength=1; maxLength=20; pattern=[a-zA-Z0-9\-]{1,20}
section1215DPublicReportingCompanies(group: SECTION_12_15D_PUBLIC_REPORTING_COMPANIES_CONTAINER)0..1
section1215DPublicReportingCompany(group: SECTION_12_15D_PUBLIC_REPORTING_COMPANY)1..200
nameSTRING_256_TYPE1..1minLength=1; maxLength=256
cikCIK_TYPE1..1pattern=\d{1,10}
reportingSchedules(group: SECTION_12_15D_REPORTING_SCHEDULES)1..1
reportingScheduleSECTION_12_15D_REPORTING_SCHEDULE1..5one of: Schedule A, Schedule B, Schedule C Section 4, Schedule C Section 5, Schedule D Section 8-A
miscellaneousSTRING_10K_TYPE0..1minLength=1; maxLength=10000
disclosureAnswers(group: DISCLOSURE_QUESTIONS)1..1
criminalDisclosure(group: CRIMINAL_ACTION_DISCLOSURE)1..1
isConvictedOfFelonyYES_NO_TYPE1..1one of: Y, N
isChargedWithFelonyYES_NO_TYPE1..1one of: Y, N
isOrgConvictedOfFelonyYES_NO_TYPE1..1one of: Y, N
isOrgChargedWithFelonyYES_NO_TYPE1..1one of: Y, N
regulatoryDisclosure(group: REGULATORY_ACTION_DISCLOSURE)1..1
isMadeFalseStatementYES_NO_TYPE1..1one of: Y, N
isViolatedRegulationYES_NO_TYPE1..1one of: Y, N
isCauseOfDenialYES_NO_TYPE1..1one of: Y, N
isOrderAgainstYES_NO_TYPE1..1one of: Y, N
isImposedPenaltyYES_NO_TYPE1..1one of: Y, N
isUnEthicalYES_NO_TYPE1..1one of: Y, N
isFoundInViolationOfRegulationYES_NO_TYPE1..1one of: Y, N
isFoundInCauseOfDenialYES_NO_TYPE1..1one of: Y, N
isOrderAgainstActivityYES_NO_TYPE1..1one of: Y, N
isDeniedLicenseYES_NO_TYPE1..1one of: Y, N
isFoundMadeFalseStatementYES_NO_TYPE1..1one of: Y, N
isFoundInViolationOfRulesYES_NO_TYPE1..1one of: Y, N
isFoundInCauseOfSuspensionYES_NO_TYPE1..1one of: Y, N
isDiscipliendYES_NO_TYPE1..1one of: Y, N
isAuthorizedToActAttorneyYES_NO_TYPE1..1one of: Y, N
isRegulatoryComplaintYES_NO_TYPE1..1one of: Y, N
civilDisclosure(group: CIVIL_JUDICIAL_ACTION_DISCLOSURE)1..1
isEnjoinedYES_NO_TYPE1..1one of: Y, N
isFoundInViolationOfRegulationYES_NO_TYPE1..1one of: Y, N
isDismissedYES_NO_TYPE1..1one of: Y, N
isNamedInCivilProceedingYES_NO_TYPE1..1one of: Y, N
hasAnnualReceiptsLessThan7MillionYES_NO_TYPE1..1one of: Y, N
isAffiliatedWithReceiptsMoreThan7MillionYES_NO_TYPE1..1one of: Y, N
scheduleA(group: DIRECT_OWNERS_CONTAINER)0..1
businesses(group: DIRECT_OWNERS_BUSINESSES_CONTAINER)0..1
business(group: DIRECT_OWNER_BUSINESS)1..200
nameSTRING_256_TYPE1..1minLength=1; maxLength=256
controPersonPRYES_NO_TYPE0..1one of: Y, N
empIDNumberSTRING_256_TYPE0..1minLength=1; maxLength=256
deFeNp(group: OWNING_ENTITY_DE_FE_NP)1..1
(choice)1..1exactly one of the following branches
destring1*..1
festring1*..1
irsNumTAX_ID_TYPE0..1pattern=\d{2}[\-]?\d{7}
baseInformation(group: OWNING_ENTITY_BASE)1..1
titleStatusSTRING_256_TYPE1..1minLength=1; maxLength=256
statusAcquiredDATE_TYPE1..1pattern=\d{1,2}-\d{1,2}-\d{4}
ownershipCodeOWNERSHIP_CODE1..1one of: NA, A, B, C, D, E, F
isControPersonYES_NO_TYPE1..1one of: Y, N
crdNumberCRD_NUMBER_TYPE0..1minLength=1; maxLength=9
foreignBusIdNoSTRING_256_TYPE0..1minLength=1; maxLength=256
persons(group: DIRECT_OWNERS_PERSONS_CONTAINER)0..1
person(group: DIRECT_OWNER_PERSON)1..200
name(group: INDIVIDUAL_NAME_NO_SUFIX_TYPE)1..1
firstNameSTRING_50_TYPE1..1minLength=1; maxLength=50
middleNameSTRING_30_TYPE1..1minLength=1; maxLength=30
lastNameSTRING_50_TYPE1..1minLength=1; maxLength=50
baseInformation(group: OWNING_ENTITY_BASE_PERSON)1..1
titleStatusSTRING_256_TYPE1..1minLength=1; maxLength=256
statusAcquiredDATE_TYPE1..1pattern=\d{1,2}-\d{1,2}-\d{4}
ownershipCodeOWNERSHIP_CODE1..1one of: NA, A, B, C, D, E, F
isControPersonYES_NO_TYPE1..1one of: Y, N
crdNumberCRD_NUMBER_TYPE0..1minLength=1; maxLength=9
scheduleB(group: INDIRECT_OWNERS_CONTAINER)0..1
businesses(group: INDIRECT_OWNERS_BUSINESSES_CONTAINER)0..1
business(group: INDIRECT_OWNER_BUSINESS)1..200
owningEntitySTRING_256_TYPE1..1minLength=1; maxLength=256
baseInfo(group: DIRECT_OWNER_BUSINESS)1..1
nameSTRING_256_TYPE1..1minLength=1; maxLength=256
controPersonPRYES_NO_TYPE0..1one of: Y, N
empIDNumberSTRING_256_TYPE0..1minLength=1; maxLength=256
deFeNp(group: OWNING_ENTITY_DE_FE_NP)1..1
(choice)1..1exactly one of the following branches
destring1*..1
festring1*..1
irsNumTAX_ID_TYPE0..1pattern=\d{2}[\-]?\d{7}
baseInformation(group: OWNING_ENTITY_BASE)1..1
titleStatusSTRING_256_TYPE1..1minLength=1; maxLength=256
statusAcquiredDATE_TYPE1..1pattern=\d{1,2}-\d{1,2}-\d{4}
ownershipCodeOWNERSHIP_CODE1..1one of: NA, A, B, C, D, E, F
isControPersonYES_NO_TYPE1..1one of: Y, N
crdNumberCRD_NUMBER_TYPE0..1minLength=1; maxLength=9
foreignBusIdNoSTRING_256_TYPE0..1minLength=1; maxLength=256
persons(group: INDIRECT_OWNERS_PERSONS_CONTAINER)0..1
person(group: INDIRECT_OWNER_PERSON)1..200
owningEntitySTRING_256_TYPE1..1minLength=1; maxLength=256
baseInfo(group: DIRECT_OWNER_PERSON)1..1
name(group: INDIVIDUAL_NAME_NO_SUFIX_TYPE)1..1
firstNameSTRING_50_TYPE1..1minLength=1; maxLength=50
middleNameSTRING_30_TYPE1..1minLength=1; maxLength=30
lastNameSTRING_50_TYPE1..1minLength=1; maxLength=50
baseInformation(group: OWNING_ENTITY_BASE_PERSON)1..1
titleStatusSTRING_256_TYPE1..1minLength=1; maxLength=256
statusAcquiredDATE_TYPE1..1pattern=\d{1,2}-\d{1,2}-\d{4}
ownershipCodeOWNERSHIP_CODE1..1one of: NA, A, B, C, D, E, F
isControPersonYES_NO_TYPE1..1one of: Y, N
crdNumberCRD_NUMBER_TYPE0..1minLength=1; maxLength=9
scheduleC(group: INDIRECT_DIRECT_OWNERS_CONTAINER)0..1
directBusinesses(group: AMENDED_DIRECT_OWNERS_BUSINESSES_CONTAINER)0..1
business(group: AMENDED_DIRECT_OWNER_BUSINESS)1..200
type(group: ADD_DELETE_AMEND)0..1
(choice)1..1exactly one of the following branches
addstring1*..1
deletestring1*..1
amendstring1*..1
newAddstring1*..1
baseInformation(group: DIRECT_OWNER_BUSINESS)1..1
nameSTRING_256_TYPE1..1minLength=1; maxLength=256
controPersonPRYES_NO_TYPE0..1one of: Y, N
empIDNumberSTRING_256_TYPE0..1minLength=1; maxLength=256
deFeNp(group: OWNING_ENTITY_DE_FE_NP)1..1
(choice)1..1exactly one of the following branches
destring1*..1
festring1*..1
irsNumTAX_ID_TYPE0..1pattern=\d{2}[\-]?\d{7}
baseInformation(group: OWNING_ENTITY_BASE)1..1
titleStatusSTRING_256_TYPE1..1minLength=1; maxLength=256
statusAcquiredDATE_TYPE1..1pattern=\d{1,2}-\d{1,2}-\d{4}
ownershipCodeOWNERSHIP_CODE1..1one of: NA, A, B, C, D, E, F
isControPersonYES_NO_TYPE1..1one of: Y, N
crdNumberCRD_NUMBER_TYPE0..1minLength=1; maxLength=9
foreignBusIdNoSTRING_256_TYPE0..1minLength=1; maxLength=256
directPersons(group: AMENDED_DIRECT_OWNERS_PERSONS_CONTAINER)0..1
person(group: AMENDED_DIRECT_OWNER_PERSON)1..200
type(group: ADD_DELETE_AMEND)0..1
(choice)1..1exactly one of the following branches
addstring1*..1
deletestring1*..1
amendstring1*..1
newAddstring1*..1
baseInformation(group: DIRECT_OWNER_PERSON)1..1
name(group: INDIVIDUAL_NAME_NO_SUFIX_TYPE)1..1
firstNameSTRING_50_TYPE1..1minLength=1; maxLength=50
middleNameSTRING_30_TYPE1..1minLength=1; maxLength=30
lastNameSTRING_50_TYPE1..1minLength=1; maxLength=50
baseInformation(group: OWNING_ENTITY_BASE_PERSON)1..1
titleStatusSTRING_256_TYPE1..1minLength=1; maxLength=256
statusAcquiredDATE_TYPE1..1pattern=\d{1,2}-\d{1,2}-\d{4}
ownershipCodeOWNERSHIP_CODE1..1one of: NA, A, B, C, D, E, F
isControPersonYES_NO_TYPE1..1one of: Y, N
crdNumberCRD_NUMBER_TYPE0..1minLength=1; maxLength=9
indirectBusinesses(group: AMENDED_INDIRECT_OWNERS_BUSINESSES_CONTAINER)0..1
business(group: AMENDED_INDIRECT_OWNER_BUSINESS)1..200
type(group: ADD_DELETE_AMEND)0..1
(choice)1..1exactly one of the following branches
addstring1*..1
deletestring1*..1
amendstring1*..1
newAddstring1*..1
baseInformation(group: INDIRECT_OWNER_BUSINESS)1..1
owningEntitySTRING_256_TYPE1..1minLength=1; maxLength=256
baseInfo(group: DIRECT_OWNER_BUSINESS)1..1
nameSTRING_256_TYPE1..1minLength=1; maxLength=256
controPersonPRYES_NO_TYPE0..1one of: Y, N
empIDNumberSTRING_256_TYPE0..1minLength=1; maxLength=256
deFeNp(group: OWNING_ENTITY_DE_FE_NP)1..1
(choice)1..1exactly one of the following branches
destring1*..1
festring1*..1
irsNumTAX_ID_TYPE0..1pattern=\d{2}[\-]?\d{7}
baseInformation(group: OWNING_ENTITY_BASE)1..1
titleStatusSTRING_256_TYPE1..1minLength=1; maxLength=256
statusAcquiredDATE_TYPE1..1pattern=\d{1,2}-\d{1,2}-\d{4}
ownershipCodeOWNERSHIP_CODE1..1one of: NA, A, B, C, D, E, F
isControPersonYES_NO_TYPE1..1one of: Y, N
crdNumberCRD_NUMBER_TYPE0..1minLength=1; maxLength=9
foreignBusIdNoSTRING_256_TYPE0..1minLength=1; maxLength=256
indirectPersons(group: AMENDED_INDIRECT_OWNERS_PERSONS_CONTAINER)0..1
person(group: AMENDED_INDIRECT_OWNER_PERSON)1..200
type(group: ADD_DELETE_AMEND)0..1
(choice)1..1exactly one of the following branches
addstring1*..1
deletestring1*..1
amendstring1*..1
newAddstring1*..1
baseInformation(group: INDIRECT_OWNER_PERSON)1..1
owningEntitySTRING_256_TYPE1..1minLength=1; maxLength=256
baseInfo(group: DIRECT_OWNER_PERSON)1..1
name(group: INDIVIDUAL_NAME_NO_SUFIX_TYPE)1..1
firstNameSTRING_50_TYPE1..1minLength=1; maxLength=50
middleNameSTRING_30_TYPE1..1minLength=1; maxLength=30
lastNameSTRING_50_TYPE1..1minLength=1; maxLength=50
baseInformation(group: OWNING_ENTITY_BASE_PERSON)1..1
titleStatusSTRING_256_TYPE1..1minLength=1; maxLength=256
statusAcquiredDATE_TYPE1..1pattern=\d{1,2}-\d{1,2}-\d{4}
ownershipCodeOWNERSHIP_CODE1..1one of: NA, A, B, C, D, E, F
isControPersonYES_NO_TYPE1..1one of: Y, N
crdNumberCRD_NUMBER_TYPE0..1minLength=1; maxLength=9
drpInfo(group: DRP_INFO_TYPE)0..1
criminalDisclosure(group: CRIMINAL_DISCLOSURE_CONTAINER)0..1
criminalDrp(group: CRIMINAL_DISCLOSURE_TYPE)1..1000
headerData(group: CRIMINAL_HEADER_DATA)1..1
baseHeader(group: HEADER_DATA)1..1
type(group: ADD_AMENDED)0..1
(choice)1..1exactly one of the following branches
addstring1*..1
amendstring1*..1
apDrpFiledCountSTRING_NUMERIC_3_TYPE0..1pattern=\d{1,10}
drpFor(group: DRP_FILED_FOR)1..1
(choice)1..1exactly one of the following branches
applicantstring1*..1
applicantAndAPstring1*..1
apstring1*..1
respondingTo(group: CRIMINAL_RESPONDING_TO_TYPES)1..1
responseQuestionCRIMINAL_RESPONDING_TO_TYPE1..4one of: 9-A1, 9-A2, 9-B1, 9-B2
applicantInfo(group: CRIMINAL_APPLICANT_INFORMATION)0..1
drpInfo(group: CRIMINAL_DRP_DETAILS)1..1
(choice)1..1exactly one of the following branches
filedDisclosure(group: FILED_DRP)1*..1
advBDU4Filing(group: ADV_BD_U4_FILING)0..1
nameSTRING_256_TYPE1..1minLength=1; maxLength=256
crdNumberCRD_NUMBER_TYPE1..1minLength=1; maxLength=9
disclosureNumberSTRING_256_TYPE1..1minLength=1; maxLength=256
maFiling(group: MA_FILING)0..1
nameSTRING_256_TYPE1..1minLength=1; maxLength=256
regNumberFILE_NUMBER_TYPE1..1pattern=\d{1,3}-\d{1,8}-[a-zA-Z0-9]{1,4}|\d{1,3}-\d{1,8}|24R-\d{1,8}-[a-zA-Z0-9]{1,4}|24R-\d{1,8}
drpDateDATE_TYPE1..1pattern=\d{1,2}-\d{1,2}-\d{4}
accessionNumberACCESSION_NUMBER_TYPE1..1pattern=[*]{0}|[0-9]{1,10}\-[0-9]{1,2}\-[0-9]{1,6}
matFiling(group: MAT_FILING)0..1
nameSTRING_256_TYPE1..1minLength=1; maxLength=256
regNumberFILE_NUMBER_TYPE1..1pattern=\d{1,3}-\d{1,8}-[a-zA-Z0-9]{1,4}|\d{1,3}-\d{1,8}|24R-\d{1,8}-[a-zA-Z0-9]{1,4}|24R-\d{1,8}
dateDATE_TYPE1..1pattern=\d{1,2}-\d{1,2}-\d{4}
maiFiling(group: MA_FILING)0..1
nameSTRING_256_TYPE1..1minLength=1; maxLength=256
regNumberFILE_NUMBER_TYPE1..1pattern=\d{1,3}-\d{1,8}-[a-zA-Z0-9]{1,4}|\d{1,3}-\d{1,8}|24R-\d{1,8}-[a-zA-Z0-9]{1,4}|24R-\d{1,8}
drpDateDATE_TYPE1..1pattern=\d{1,2}-\d{1,2}-\d{4}
accessionNumberACCESSION_NUMBER_TYPE1..1pattern=[*]{0}|[0-9]{1,10}\-[0-9]{1,2}\-[0-9]{1,6}
detailedDisclosure(group: CRIMINAL_DETAILED_DISCLOSURE_CONTAINER)1*..1
eventDRP(group: CRIMINAL_DETAILED_DISCLOSURE)1..1
event(group: CRIMINAL_EVENT_DETAILS)0..1
chargesBroughtAgainstControlledYES_NO_TYPE0..1one of: Y, N
chargedControlInfo(group: CHARGED_CONTROL_INFORMATION)0..1
nameSTRING_256_TYPE1..1minLength=1; maxLength=256
isEngagedInMARBusinessYES_NO_TYPE1..1one of: Y, N
relationshipToChargedSTRING_10K_TYPE1..1minLength=1; maxLength=10000
hasFelonyChargesYES_NO_TYPE0..1one of: Y, N
court(group: CRIMINAL_EVENT_COURT_INFO)0..1
criminalCourt(group: CRIMINAL_EVENT_COURT_TYPES_INFO)1..1
(choice)1..1exactly one of the following branches
fedCourtstring1*..1
milCourtstring1*..1
stateCourtstring1*..1
foreignCourtstring1*..1
intnlCourtstring1*..1
otherstring1*..1
otherSTRING_256_TYPE0..1minLength=1; maxLength=256
dateFirstCharged(group: EXACT_OR_EXPLANATION_10K)0..1
dateDATE_TYPE0..1pattern=\d{1,2}-\d{1,2}-\d{4}
(choice)1..1exactly one of the following branches
exactstring1*..1
explanationInfo(group: EXPLANATION_INFO_10K)1*..1
explanationstring1..1
provideExplanationSTRING_10K_TYPE1..1minLength=1; maxLength=10000
actionAppealedTo(group: CRIMINAL_APPEALED_TO_TYPE)0..1
dateDATE_TYPE1..1pattern=\d{1,2}-\d{1,2}-\d{4}
appealedTo(group: CRIMINAL_EVENT_COURT_INFO)1..1
criminalCourt(group: CRIMINAL_EVENT_COURT_TYPES_INFO)1..1
(choice)1..1exactly one of the following branches
fedCourtstring1*..1
milCourtstring1*..1
stateCourtstring1*..1
foreignCourtstring1*..1
intnlCourtstring1*..1
otherstring1*..1
otherSTRING_256_TYPE0..1minLength=1; maxLength=256
appealedToCourtNameSTRING_256_TYPE1..1minLength=1; maxLength=256
statusDateInfo(group: EXACT_OR_EXPLANATION_3K)0..1
dateDATE_TYPE0..1pattern=\d{1,2}-\d{1,2}-\d{4}
(choice)1..1exactly one of the following branches
exactstring1*..1
explanationInfo(group: EXPLANATION_INFO_3K)1*..1
explanationstring1..1
provideExplanationSTRING_3K_TYPE1..1minLength=1; maxLength=3000
baseInformation(group: BASE_DRP_INFORMATION)0..1
chargesBroughtIn(group: CHARGES_WHERE_BROUGHT_IN)0..1
nameSTRING_256_TYPE0..1minLength=1; maxLength=256
docketOrCaseNoSTRING_256_TYPE1..1minLength=1; maxLength=256
address(group: ADDRESS_TYPE)1..1
street1STREET_TYPE1..1minLength=1; maxLength=40
street2STREET_TYPE0..1minLength=1; maxLength=40
citySTRING_30_TYPE1..1minLength=1; maxLength=30
stateOrCountrySTATE_COUNTRY_CODE1..1one of 331 codes (AL, AK, AZ, AR, CA, …; full list in the XSD)
zipCodeZIP_TYPE1..1minLength=1; maxLength=10; pattern=[0-9A-Za-z #\-]*
status(group: EVENT_STATUS_TYPE)1..1
(choice)1..1exactly one of the following branches
pendingstring1*..1
onAppealstring1*..1
finalstring1*..1
summarySTRING_10K_TYPE0..1minLength=1; maxLength=10000
charges(group: CRIMINAL_CHARGES_CONTAINER)0..1
charge(group: CRIMINAL_CHARGE)0..100
(choice)1..1exactly one of the following branches
baseInformation(group: EVENT_DISC_DETAIL_TYPE)1*..1
chargeSTRING_10K_TYPE1..1minLength=1; maxLength=10000
numberOfCountsSTRING_NUMERIC_3_TYPE1..1pattern=\d{1,10}
felonyOrMisdemeanor(group: FELONY_MISDEMEANOR_TYPE)1..1
(choice)1..1exactly one of the following branches
felonystring1*..1
misdemeanorstring1*..1
pleaSTRING_1K_TYPE1..1minLength=1; maxLength=1000
productTypeSTRING_1K_TYPE0..1minLength=1; maxLength=1000
investmentProductTypeSTRING_1K_TYPE0..1minLength=1; maxLength=1000
amendedReducedDateDATE_TYPE0..1pattern=\d{1,2}-\d{1,2}-\d{4}
dispositionDisclosureDetail(group: DISPOSITION_DISCLOSURE_DETAIL)1*..1
dispositionType(group: DISPOSITION_TYPE_CONTAINER)1..1
typeDISPOSITION_TYPES1..13one of: Acquitted, Amended, Convicted, Deferred Adjudication, Dismissed, Found not guilty, Pled guilty, Pled nolo contendere, Pled not guilty, Pre-trial diversion/intervention, Reduced, Other, Appealed
appealTypeAPPEAL_TYPES0..4one of: Affirmed, Vacated & Returned For Further Action, Vacated / Final, Other
explanationSTRING_3K_TYPE0..1minLength=1; maxLength=3000
otherDispSTRING_256_TYPE0..1minLength=1; maxLength=256
otherAppealSTRING_256_TYPE0..1minLength=1; maxLength=256
dateSTRING_3K_TYPE1..1minLength=1; maxLength=3000
sentencePenaltyTypeSTRING_3K_TYPE0..1minLength=1; maxLength=3000
incarcerationInfo(group: INCARCERATION_INFORMATION)0..1
duration(group: SENTENCE_DURATION_TYPE)0..1
daysSTRING_NUMERIC_3_TYPE0..1pattern=\d{1,10}
monthsSTRING_NUMERIC_3_TYPE0..1pattern=\d{1,10}
yearsSTRING_NUMERIC_3_TYPE0..1pattern=\d{1,10}
startDate(group: DATE_SENTENCE_TYPE)1..1
(choice)1..1exactly one of the following branches
dateDATE_TYPE1*..1pattern=\d{1,2}-\d{1,2}-\d{4}
notDeterminedstring1*..1
endDate(group: DATE_SENTENCE_TYPE)1..1
(choice)1..1exactly one of the following branches
dateDATE_TYPE1*..1pattern=\d{1,2}-\d{1,2}-\d{4}
notDeterminedstring1*..1
concurrentEndDateDATE_TYPE0..1pattern=\d{1,2}-\d{1,2}-\d{4}
explanationSTRING_3K_TYPE0..1minLength=1; maxLength=3000
monetaryPenalty(group: MONETARY_PENALTY)0..1
totalFineDECIMAL_TYPE14_2_FIXED1..1totalDigits=16; fractionDigits=2; pattern=[\+\-]?\d{0,14}\.\d\d
reducedAmountDECIMAL_TYPE14_2_FIXED0..1totalDigits=16; fractionDigits=2; pattern=[\+\-]?\d{0,14}\.\d\d
paidStatus(group: MONETARY_PAYMENT_STATUS)1..1
(choice)1..1exactly one of the following branches
paidInFullDateDATE_TYPE1*..1pattern=\d{1,2}-\d{1,2}-\d{4}
notPaidInfo(group: MONETARY_NON_PAYMENT_INFORMATION)1*..1
amountUNPAIDDECIMAL_TYPE14_2_FIXED1..1totalDigits=16; fractionDigits=2; pattern=[\+\-]?\d{0,14}\.\d\d
explanationSTRING_3K_TYPE1..1minLength=1; maxLength=3000
finalAmountDECIMAL_TYPE14_2_FIXED1..1totalDigits=16; fractionDigits=2; pattern=[\+\-]?\d{0,14}\.\d\d
drpRemoveReason(group: DRP_REMOVE_REASON_1K)0..1
(choice)1..1exactly one of the following branches
isRegisteredstring1*..1
isFiledError(group: FILEDERROR_1K)1*..1
explainTheCircumstancesSTRING_1K_TYPE1..1minLength=1; maxLength=1000
isOlderThan10Years(group: ORDERTHAN10YEARS_1K)1*..1
explainTheCircumstancesSTRING_1K_TYPE0..1minLength=1; maxLength=1000
apInfo(group: CRIMINAL_ASSOCIATED_PERSONS_CONTAINER)0..1
associatedPerson(group: CRIMINAL_ASSOCIATED_PERSON_INFORMATION)1..500
apType(group: ASSOCIATED_PERSON_TYPE)1..1
(choice)1..1exactly one of the following branches
firmInfoENTITY_NAME_256_TYPE1*..1minLength=1; maxLength=256; pattern=([\w\s!\\#$(),.:;=@\-{}|/&]+)
naturalPersonInfo(group: INDIVIDUAL_NAME_TYPE)1*..1
firstNameSTRING_50_TYPE0..1minLength=1; maxLength=50
middleNameSTRING_30_TYPE0..1minLength=1; maxLength=30
lastNameSTRING_50_TYPE0..1minLength=1; maxLength=50
suffixSTRING_10_TYPE0..1minLength=1; maxLength=10
registrationInfo(group: SEC_REGISTERED_INFO)1..1
isSECRegisteredYES_NO_TYPE1..1one of: Y, N
secRegistrationNumberSTRING_150_TYPE0..1minLength=1; maxLength=150
crdNumberCRD_NUMBER_TYPE0..1minLength=1; maxLength=9
drpRemovalInformation(group: ASSOCIATED_PERSON_DRP_REMOVAL_INFORMATION_1K)0..1
(choice)1..1exactly one of the following branches
apNotAssociatedstring1*..1
eventResolvedstring1*..1
eventOccurTenYearsAgostring1*..1
isFiledError(group: FILEDERROR_1K)1*..1
explainTheCircumstancesSTRING_1K_TYPE1..1minLength=1; maxLength=1000
isORDERTHAN10YEARS(group: ORDERTHAN10YEARS_1K)1*..1
explainTheCircumstancesSTRING_1K_TYPE0..1minLength=1; maxLength=1000
drpInfo(group: CRIMINAL_DRP_DETAILS)1..1
(choice)1..1exactly one of the following branches
filedDisclosure(group: FILED_DRP)1*..1
advBDU4Filing(group: ADV_BD_U4_FILING)0..1
nameSTRING_256_TYPE1..1minLength=1; maxLength=256
crdNumberCRD_NUMBER_TYPE1..1minLength=1; maxLength=9
disclosureNumberSTRING_256_TYPE1..1minLength=1; maxLength=256
maFiling(group: MA_FILING)0..1
nameSTRING_256_TYPE1..1minLength=1; maxLength=256
regNumberFILE_NUMBER_TYPE1..1pattern=\d{1,3}-\d{1,8}-[a-zA-Z0-9]{1,4}|\d{1,3}-\d{1,8}|24R-\d{1,8}-[a-zA-Z0-9]{1,4}|24R-\d{1,8}
drpDateDATE_TYPE1..1pattern=\d{1,2}-\d{1,2}-\d{4}
accessionNumberACCESSION_NUMBER_TYPE1..1pattern=[*]{0}|[0-9]{1,10}\-[0-9]{1,2}\-[0-9]{1,6}
matFiling(group: MAT_FILING)0..1
nameSTRING_256_TYPE1..1minLength=1; maxLength=256
regNumberFILE_NUMBER_TYPE1..1pattern=\d{1,3}-\d{1,8}-[a-zA-Z0-9]{1,4}|\d{1,3}-\d{1,8}|24R-\d{1,8}-[a-zA-Z0-9]{1,4}|24R-\d{1,8}
dateDATE_TYPE1..1pattern=\d{1,2}-\d{1,2}-\d{4}
maiFiling(group: MA_FILING)0..1
nameSTRING_256_TYPE1..1minLength=1; maxLength=256
regNumberFILE_NUMBER_TYPE1..1pattern=\d{1,3}-\d{1,8}-[a-zA-Z0-9]{1,4}|\d{1,3}-\d{1,8}|24R-\d{1,8}-[a-zA-Z0-9]{1,4}|24R-\d{1,8}
drpDateDATE_TYPE1..1pattern=\d{1,2}-\d{1,2}-\d{4}
accessionNumberACCESSION_NUMBER_TYPE1..1pattern=[*]{0}|[0-9]{1,10}\-[0-9]{1,2}\-[0-9]{1,6}
detailedDisclosure(group: CRIMINAL_DETAILED_DISCLOSURE_CONTAINER)1*..1
eventDRP(group: CRIMINAL_DETAILED_DISCLOSURE)1..1
event(group: CRIMINAL_EVENT_DETAILS)0..1
chargesBroughtAgainstControlledYES_NO_TYPE0..1one of: Y, N
chargedControlInfo(group: CHARGED_CONTROL_INFORMATION)0..1
nameSTRING_256_TYPE1..1minLength=1; maxLength=256
isEngagedInMARBusinessYES_NO_TYPE1..1one of: Y, N
relationshipToChargedSTRING_10K_TYPE1..1minLength=1; maxLength=10000
hasFelonyChargesYES_NO_TYPE0..1one of: Y, N
court(group: CRIMINAL_EVENT_COURT_INFO)0..1
criminalCourt(group: CRIMINAL_EVENT_COURT_TYPES_INFO)1..1
(choice)1..1exactly one of the following branches
fedCourtstring1*..1
milCourtstring1*..1
stateCourtstring1*..1
foreignCourtstring1*..1
intnlCourtstring1*..1
otherstring1*..1
otherSTRING_256_TYPE0..1minLength=1; maxLength=256
dateFirstCharged(group: EXACT_OR_EXPLANATION_10K)0..1
dateDATE_TYPE0..1pattern=\d{1,2}-\d{1,2}-\d{4}
(choice)1..1exactly one of the following branches
exactstring1*..1
explanationInfo(group: EXPLANATION_INFO_10K)1*..1
explanationstring1..1
provideExplanationSTRING_10K_TYPE1..1minLength=1; maxLength=10000
actionAppealedTo(group: CRIMINAL_APPEALED_TO_TYPE)0..1
dateDATE_TYPE1..1pattern=\d{1,2}-\d{1,2}-\d{4}
appealedTo(group: CRIMINAL_EVENT_COURT_INFO)1..1
criminalCourt(group: CRIMINAL_EVENT_COURT_TYPES_INFO)1..1
(choice)1..1exactly one of the following branches
fedCourtstring1*..1
milCourtstring1*..1
stateCourtstring1*..1
foreignCourtstring1*..1
intnlCourtstring1*..1
otherstring1*..1
otherSTRING_256_TYPE0..1minLength=1; maxLength=256
appealedToCourtNameSTRING_256_TYPE1..1minLength=1; maxLength=256
statusDateInfo(group: EXACT_OR_EXPLANATION_3K)0..1
dateDATE_TYPE0..1pattern=\d{1,2}-\d{1,2}-\d{4}
(choice)1..1exactly one of the following branches
exactstring1*..1
explanationInfo(group: EXPLANATION_INFO_3K)1*..1
explanationstring1..1
provideExplanationSTRING_3K_TYPE1..1minLength=1; maxLength=3000
baseInformation(group: BASE_DRP_INFORMATION)0..1
chargesBroughtIn(group: CHARGES_WHERE_BROUGHT_IN)0..1
nameSTRING_256_TYPE0..1minLength=1; maxLength=256
docketOrCaseNoSTRING_256_TYPE1..1minLength=1; maxLength=256
address(group: ADDRESS_TYPE)1..1
street1STREET_TYPE1..1minLength=1; maxLength=40
street2STREET_TYPE0..1minLength=1; maxLength=40
citySTRING_30_TYPE1..1minLength=1; maxLength=30
stateOrCountrySTATE_COUNTRY_CODE1..1one of 331 codes (AL, AK, AZ, AR, CA, …; full list in the XSD)
zipCodeZIP_TYPE1..1minLength=1; maxLength=10; pattern=[0-9A-Za-z #\-]*
status(group: EVENT_STATUS_TYPE)1..1
(choice)1..1exactly one of the following branches
pendingstring1*..1
onAppealstring1*..1
finalstring1*..1
summarySTRING_10K_TYPE0..1minLength=1; maxLength=10000
charges(group: CRIMINAL_CHARGES_CONTAINER)0..1
charge(group: CRIMINAL_CHARGE)0..100
(choice)1..1exactly one of the following branches
baseInformation(group: EVENT_DISC_DETAIL_TYPE)1*..1
chargeSTRING_10K_TYPE1..1minLength=1; maxLength=10000
numberOfCountsSTRING_NUMERIC_3_TYPE1..1pattern=\d{1,10}
felonyOrMisdemeanor(group: FELONY_MISDEMEANOR_TYPE)1..1
(choice)1..1exactly one of the following branches
felonystring1*..1
misdemeanorstring1*..1
pleaSTRING_1K_TYPE1..1minLength=1; maxLength=1000
productTypeSTRING_1K_TYPE0..1minLength=1; maxLength=1000
investmentProductTypeSTRING_1K_TYPE0..1minLength=1; maxLength=1000
amendedReducedDateDATE_TYPE0..1pattern=\d{1,2}-\d{1,2}-\d{4}
dispositionDisclosureDetail(group: DISPOSITION_DISCLOSURE_DETAIL)1*..1
dispositionType(group: DISPOSITION_TYPE_CONTAINER)1..1
typeDISPOSITION_TYPES1..13one of: Acquitted, Amended, Convicted, Deferred Adjudication, Dismissed, Found not guilty, Pled guilty, Pled nolo contendere, Pled not guilty, Pre-trial diversion/intervention, Reduced, Other, Appealed
appealTypeAPPEAL_TYPES0..4one of: Affirmed, Vacated & Returned For Further Action, Vacated / Final, Other
explanationSTRING_3K_TYPE0..1minLength=1; maxLength=3000
otherDispSTRING_256_TYPE0..1minLength=1; maxLength=256
otherAppealSTRING_256_TYPE0..1minLength=1; maxLength=256
dateSTRING_3K_TYPE1..1minLength=1; maxLength=3000
sentencePenaltyTypeSTRING_3K_TYPE0..1minLength=1; maxLength=3000
incarcerationInfo(group: INCARCERATION_INFORMATION)0..1
duration(group: SENTENCE_DURATION_TYPE)0..1
daysSTRING_NUMERIC_3_TYPE0..1pattern=\d{1,10}
monthsSTRING_NUMERIC_3_TYPE0..1pattern=\d{1,10}
yearsSTRING_NUMERIC_3_TYPE0..1pattern=\d{1,10}
startDate(group: DATE_SENTENCE_TYPE)1..1
(choice)1..1exactly one of the following branches
dateDATE_TYPE1*..1pattern=\d{1,2}-\d{1,2}-\d{4}
notDeterminedstring1*..1
endDate(group: DATE_SENTENCE_TYPE)1..1
(choice)1..1exactly one of the following branches
dateDATE_TYPE1*..1pattern=\d{1,2}-\d{1,2}-\d{4}
notDeterminedstring1*..1
concurrentEndDateDATE_TYPE0..1pattern=\d{1,2}-\d{1,2}-\d{4}
explanationSTRING_3K_TYPE0..1minLength=1; maxLength=3000
monetaryPenalty(group: MONETARY_PENALTY)0..1
totalFineDECIMAL_TYPE14_2_FIXED1..1totalDigits=16; fractionDigits=2; pattern=[\+\-]?\d{0,14}\.\d\d
reducedAmountDECIMAL_TYPE14_2_FIXED0..1totalDigits=16; fractionDigits=2; pattern=[\+\-]?\d{0,14}\.\d\d
paidStatus(group: MONETARY_PAYMENT_STATUS)1..1
(choice)1..1exactly one of the following branches
paidInFullDateDATE_TYPE1*..1pattern=\d{1,2}-\d{1,2}-\d{4}
notPaidInfo(group: MONETARY_NON_PAYMENT_INFORMATION)1*..1
amountUNPAIDDECIMAL_TYPE14_2_FIXED1..1totalDigits=16; fractionDigits=2; pattern=[\+\-]?\d{0,14}\.\d\d
explanationSTRING_3K_TYPE1..1minLength=1; maxLength=3000
finalAmountDECIMAL_TYPE14_2_FIXED1..1totalDigits=16; fractionDigits=2; pattern=[\+\-]?\d{0,14}\.\d\d
regulatoryDisclosure(group: REGULATORY_DISCLOSURE_CONTAINER)0..1
regulatoryDrp(group: REGULATORY_DISCLOSURE_TYPE)1..1000
headerData(group: REGULATORY_HEADER_DATA)1..1
baseHeader(group: HEADER_DATA)1..1
type(group: ADD_AMENDED)0..1
(choice)1..1exactly one of the following branches
addstring1*..1
amendstring1*..1
apDrpFiledCountSTRING_NUMERIC_3_TYPE0..1pattern=\d{1,10}
drpFor(group: DRP_FILED_FOR)1..1
(choice)1..1exactly one of the following branches
applicantstring1*..1
applicantAndAPstring1*..1
apstring1*..1
respondingTo(group: REGULATORY_RESPONDING_TO_TYPES)1..1
responseQuestionREGULATORY_RESPONDING_TO_TYPE1..16one of: 9-C1, 9-C2, 9-C3, 9-C4, 9-C5, 9-D1, 9-D2, 9-D3, 9-D4, 9-D5, 9-E1, 9-E2, 9-E3, 9-E4, 9-F, 9-G
applicantInfo(group: REGULATORY_APPLICANT_INFORMATION)0..1
drpInfo(group: REGULATORY_DRP_DETAILS)1..1
(choice)1..1exactly one of the following branches
filedDisclosure(group: FILED_DRP)1*..1
advBDU4Filing(group: ADV_BD_U4_FILING)0..1
nameSTRING_256_TYPE1..1minLength=1; maxLength=256
crdNumberCRD_NUMBER_TYPE1..1minLength=1; maxLength=9
disclosureNumberSTRING_256_TYPE1..1minLength=1; maxLength=256
maFiling(group: MA_FILING)0..1
nameSTRING_256_TYPE1..1minLength=1; maxLength=256
regNumberFILE_NUMBER_TYPE1..1pattern=\d{1,3}-\d{1,8}-[a-zA-Z0-9]{1,4}|\d{1,3}-\d{1,8}|24R-\d{1,8}-[a-zA-Z0-9]{1,4}|24R-\d{1,8}
drpDateDATE_TYPE1..1pattern=\d{1,2}-\d{1,2}-\d{4}
accessionNumberACCESSION_NUMBER_TYPE1..1pattern=[*]{0}|[0-9]{1,10}\-[0-9]{1,2}\-[0-9]{1,6}
matFiling(group: MAT_FILING)0..1
nameSTRING_256_TYPE1..1minLength=1; maxLength=256
regNumberFILE_NUMBER_TYPE1..1pattern=\d{1,3}-\d{1,8}-[a-zA-Z0-9]{1,4}|\d{1,3}-\d{1,8}|24R-\d{1,8}-[a-zA-Z0-9]{1,4}|24R-\d{1,8}
dateDATE_TYPE1..1pattern=\d{1,2}-\d{1,2}-\d{4}
maiFiling(group: MA_FILING)0..1
nameSTRING_256_TYPE1..1minLength=1; maxLength=256
regNumberFILE_NUMBER_TYPE1..1pattern=\d{1,3}-\d{1,8}-[a-zA-Z0-9]{1,4}|\d{1,3}-\d{1,8}|24R-\d{1,8}-[a-zA-Z0-9]{1,4}|24R-\d{1,8}
drpDateDATE_TYPE1..1pattern=\d{1,2}-\d{1,2}-\d{4}
accessionNumberACCESSION_NUMBER_TYPE1..1pattern=[*]{0}|[0-9]{1,10}\-[0-9]{1,2}\-[0-9]{1,6}
detailedDisclosure(group: REGULATORY_DETAILED_DISCLOSURE_CONTAINER)1*..1
initiatedDRP(group: REGULATORY_DETAILED_DISCLOSURE)1..1
baseInformation(group: BASE_DRP_INFORMATION)1..1
chargesBroughtIn(group: CHARGES_WHERE_BROUGHT_IN)0..1
nameSTRING_256_TYPE0..1minLength=1; maxLength=256
docketOrCaseNoSTRING_256_TYPE1..1minLength=1; maxLength=256
address(group: ADDRESS_TYPE)1..1
street1STREET_TYPE1..1minLength=1; maxLength=40
street2STREET_TYPE0..1minLength=1; maxLength=40
citySTRING_30_TYPE1..1minLength=1; maxLength=30
stateOrCountrySTATE_COUNTRY_CODE1..1one of 331 codes (AL, AK, AZ, AR, CA, …; full list in the XSD)
zipCodeZIP_TYPE1..1minLength=1; maxLength=10; pattern=[0-9A-Za-z #\-]*
status(group: EVENT_STATUS_TYPE)1..1
(choice)1..1exactly one of the following branches
pendingstring1*..1
onAppealstring1*..1
finalstring1*..1
summarySTRING_10K_TYPE0..1minLength=1; maxLength=10000
statusDateInfo(group: EXACT_OR_EXPLANATION_10K)0..1
dateDATE_TYPE0..1pattern=\d{1,2}-\d{1,2}-\d{4}
(choice)1..1exactly one of the following branches
exactstring1*..1
explanationInfo(group: EXPLANATION_INFO_10K)1*..1
explanationstring1..1
provideExplanationSTRING_10K_TYPE1..1minLength=1; maxLength=10000
dateInitiated(group: EXACT_OR_EXPLANATION_3K)1..1
dateDATE_TYPE0..1pattern=\d{1,2}-\d{1,2}-\d{4}
(choice)1..1exactly one of the following branches
exactstring1*..1
explanationInfo(group: EXPLANATION_INFO_3K)1*..1
explanationstring1..1
provideExplanationSTRING_3K_TYPE1..1minLength=1; maxLength=3000
initiatedBy(group: REGULATORY_ACTION_INITIATED_BY_TYPES)1..1
initiator(group: REGULATORY_ACTION_INITIATED_BY_TYPE)1..1
(choice)1..1exactly one of the following branches
secstring1*..1
otherFederalAuthoritystring1*..1
statestring1*..1
srostring1*..1
foreignFRAstring1*..1
cftcstring1*..1
federalBankingAgencystring1*..1
nationalCUAdminstring1*..1
otherstring1*..1
otherSTRING_256_TYPE0..1minLength=1; maxLength=256
nameSTRING_256_TYPE0..1minLength=1; maxLength=256
sanctionsSought(group: SANCTION_TYPES)1..1
sanctionSANCTION_TYPE1..18SANCTION_BASE_TYPE (one of: BarPermanent, BarTemporary, Censure, CivilAdminPenaltyFine, Denial, Expulsion, Prohibition, Reprimand, Rescission, Requalification, Revocation, Suspension, Undertaking, Other) or PRINCIPAL_SANCTION_RELIEF_BASE (one of: Cease and Desist, Disgorgement, Injunction, Restitution)
otherSanctionsSTRING_10K_TYPE0..1minLength=1; maxLength=10000
principalProductTypes(group: PRINCIPAL_PRODUCT_TYPES)1..1
productPRINCIPAL_PRODUCT_TYPE1..35PRINCIPAL_PRODUCT_OPTION_TYPE (one of: Annuity(ies) - Fixed, Annuity(ies) - Variable, CD(s), Commodity Option(s), Debt - Asset Backed, Debt - Corporate, Debt - Government, Debt - Municipal, Derivative(s), Direct Investment(s) - DPP & LP Interest(s), Equity - OTC, Equity Listed (Common & Preferred Stock), Futures - Commodity, Futures - Financial, Index Option(s), Insurance, Investment Contract(s), Money Market Fund(s), Mutual Fund(s), No Product, Options, Penny Sock(s), Unit Investment Trust(s)) or PRINCIPAL_PRODUCT_TYPE_EXTENDED (one of: AnnuityCharitable, BankingProduct, EquipmentLeasing, OilAndGas, PrimeBankInstrument, Promissory Note, Real Estate Security, Security Futures, Security-based Swap, Swap, Viatical Settlement, Other)
productOtherSTRING_256_TYPE0..1minLength=1; maxLength=256
otherProductTypesSTRING_1K_TYPE0..1minLength=1; maxLength=1000
allegationsDescriptionSTRING_10K_TYPE1..1minLength=1; maxLength=10000
pendingInformation(group: REGULATORY_PENDING_INFORMATION)0..1
servedInformation(group: EXACT_OR_EXPLANATION_10K)0..1
dateDATE_TYPE0..1pattern=\d{1,2}-\d{1,2}-\d{4}
(choice)1..1exactly one of the following branches
exactstring1*..1
explanationInfo(group: EXPLANATION_INFO_10K)1*..1
explanationstring1..1
provideExplanationSTRING_10K_TYPE1..1minLength=1; maxLength=10000
limitationsRestrictionsSTRING_1K_TYPE0..1minLength=1; maxLength=1000
appealInformation(group: REGULATORY_APPEAL_INFORMATION_TYPE)0..1
appealBroughtInInformation(group: CHARGES_WHERE_BROUGHT_IN)0..1
nameSTRING_256_TYPE0..1minLength=1; maxLength=256
docketOrCaseNoSTRING_256_TYPE1..1minLength=1; maxLength=256
address(group: ADDRESS_TYPE)1..1
street1STREET_TYPE1..1minLength=1; maxLength=40
street2STREET_TYPE0..1minLength=1; maxLength=40
citySTRING_30_TYPE1..1minLength=1; maxLength=30
stateOrCountrySTATE_COUNTRY_CODE1..1one of 331 codes (AL, AK, AZ, AR, CA, …; full list in the XSD)
zipCodeZIP_TYPE1..1minLength=1; maxLength=10; pattern=[0-9A-Za-z #\-]*
docketNameSTRING_256_TYPE0..1minLength=1; maxLength=256
dateInformation(group: EXACT_OR_EXPLANATION_1K)0..1
dateDATE_TYPE0..1pattern=\d{1,2}-\d{1,2}-\d{4}
(choice)1..1exactly one of the following branches
exactstring1*..1
explanationInfo(group: EXPLANATION_INFO_1K)1*..1
explanationstring1..1
provideExplanationSTRING_1K_TYPE1..1minLength=1; maxLength=1000
detailsSTRING_10K_TYPE0..1minLength=1; maxLength=10000
limitationsRestrictionsSTRING_1K_TYPE0..1minLength=1; maxLength=1000
resolutionInformation(group: REGULATORY_RESOLUTION_INFORMATION)0..1
date(group: EXACT_OR_EXPLANATION_3K)1..1
dateDATE_TYPE0..1pattern=\d{1,2}-\d{1,2}-\d{4}
(choice)1..1exactly one of the following branches
exactstring1*..1
explanationInfo(group: EXPLANATION_INFO_3K)1*..1
explanationstring1..1
provideExplanationSTRING_3K_TYPE1..1minLength=1; maxLength=3000
types(group: REGULATORY_RESOLUTION_TYPES)1..1
judgementREGULATORY_RESOLUTION_TYPE1..12one of: Acceptance Waiver & Consent (AWC), Consent, Decision, Decision & Order of Offer of Settlement, Dismissed, Judgement Rendered, Order, Settled, Opinion, Withdrawn, Stipulation and Consent, Other, Appealed
judgementOtherSTRING_3K_TYPE0..1minLength=1; maxLength=3000
appealJudgementAPPEAL_EXTENDED_TYPES0..5APPEAL_TYPES (one of: Affirmed, Vacated & Returned For Further Action, Vacated / Final, Other) or APPEAL_EXTENDED_TYPE (one of: Vacated Nunc Pro Tunc / ab initio)
appealJudgementOtherSTRING_1K_TYPE0..1minLength=1; maxLength=1000
explanationSTRING_10K_TYPE0..1minLength=1; maxLength=10000
isFinalOrderYES_NO_TYPE0..1one of: Y, N
details(group: REGULATORY_RESOLUTION_DETAILS)1..1
sanctionsOrderedYES_NO_TYPE1..1one of: Y, N
sanctions(group: SANCTION_TYPES)0..1
sanctionSANCTION_TYPE1..18SANCTION_BASE_TYPE (one of: BarPermanent, BarTemporary, Censure, CivilAdminPenaltyFine, Denial, Expulsion, Prohibition, Reprimand, Rescission, Requalification, Revocation, Suspension, Undertaking, Other) or PRINCIPAL_SANCTION_RELIEF_BASE (one of: Cease and Desist, Disgorgement, Injunction, Restitution)
otherSanctionsSTRING_10K_TYPE0..1minLength=1; maxLength=10000
sanctionDetails(group: REGULATORY_SANCTION_DETAILS)0..1
barred(group: SANCTION_BASE_INFORMATION_10K)0..n
duration(group: DURATION_INFORMATION_TYPE)1..1
durationType(group: DURATION_TYPE)1..1
(choice)1..1exactly one of the following branches
permanentstring1*..1
noTimeSpecifiedstring1*..1
limited(group: DURATION_TYPE_LIMITED)1*..1
limitedstring1..1
durationTime(group: SENTENCE_DURATION_TYPE)1..1
daysSTRING_NUMERIC_3_TYPE0..1pattern=\d{1,10}
monthsSTRING_NUMERIC_3_TYPE0..1pattern=\d{1,10}
yearsSTRING_NUMERIC_3_TYPE0..1pattern=\d{1,10}
startDate(group: EXACT_OR_EXPLANATION_1K)1..1
dateDATE_TYPE0..1pattern=\d{1,2}-\d{1,2}-\d{4}
(choice)1..1exactly one of the following branches
exactstring1*..1
explanationInfo(group: EXPLANATION_INFO_1K)1*..1
explanationstring1..1
provideExplanationSTRING_1K_TYPE1..1minLength=1; maxLength=1000
endDate(group: EXACT_OR_EXPLANATION_1K)0..1
dateDATE_TYPE0..1pattern=\d{1,2}-\d{1,2}-\d{4}
(choice)1..1exactly one of the following branches
exactstring1*..1
explanationInfo(group: EXPLANATION_INFO_1K)1*..1
explanationstring1..1
provideExplanationSTRING_1K_TYPE1..1minLength=1; maxLength=1000
descriptionSTRING_10K_TYPE1..1minLength=1; maxLength=10000
enjoined(group: SANCTION_BASE_INFORMATION_10K)0..n
duration(group: DURATION_INFORMATION_TYPE)1..1
durationType(group: DURATION_TYPE)1..1
(choice)1..1exactly one of the following branches
permanentstring1*..1
noTimeSpecifiedstring1*..1
limited(group: DURATION_TYPE_LIMITED)1*..1
limitedstring1..1
durationTime(group: SENTENCE_DURATION_TYPE)1..1
daysSTRING_NUMERIC_3_TYPE0..1pattern=\d{1,10}
monthsSTRING_NUMERIC_3_TYPE0..1pattern=\d{1,10}
yearsSTRING_NUMERIC_3_TYPE0..1pattern=\d{1,10}
startDate(group: EXACT_OR_EXPLANATION_1K)1..1
dateDATE_TYPE0..1pattern=\d{1,2}-\d{1,2}-\d{4}
(choice)1..1exactly one of the following branches
exactstring1*..1
explanationInfo(group: EXPLANATION_INFO_1K)1*..1
explanationstring1..1
provideExplanationSTRING_1K_TYPE1..1minLength=1; maxLength=1000
endDate(group: EXACT_OR_EXPLANATION_1K)0..1
dateDATE_TYPE0..1pattern=\d{1,2}-\d{1,2}-\d{4}
(choice)1..1exactly one of the following branches
exactstring1*..1
explanationInfo(group: EXPLANATION_INFO_1K)1*..1
explanationstring1..1
provideExplanationSTRING_1K_TYPE1..1minLength=1; maxLength=1000
descriptionSTRING_10K_TYPE1..1minLength=1; maxLength=10000
suspended(group: SANCTION_BASE_INFORMATION_10K)0..n
duration(group: DURATION_INFORMATION_TYPE)1..1
durationType(group: DURATION_TYPE)1..1
(choice)1..1exactly one of the following branches
permanentstring1*..1
noTimeSpecifiedstring1*..1
limited(group: DURATION_TYPE_LIMITED)1*..1
limitedstring1..1
durationTime(group: SENTENCE_DURATION_TYPE)1..1
daysSTRING_NUMERIC_3_TYPE0..1pattern=\d{1,10}
monthsSTRING_NUMERIC_3_TYPE0..1pattern=\d{1,10}
yearsSTRING_NUMERIC_3_TYPE0..1pattern=\d{1,10}
startDate(group: EXACT_OR_EXPLANATION_1K)1..1
dateDATE_TYPE0..1pattern=\d{1,2}-\d{1,2}-\d{4}
(choice)1..1exactly one of the following branches
exactstring1*..1
explanationInfo(group: EXPLANATION_INFO_1K)1*..1
explanationstring1..1
provideExplanationSTRING_1K_TYPE1..1minLength=1; maxLength=1000
endDate(group: EXACT_OR_EXPLANATION_1K)0..1
dateDATE_TYPE0..1pattern=\d{1,2}-\d{1,2}-\d{4}
(choice)1..1exactly one of the following branches
exactstring1*..1
explanationInfo(group: EXPLANATION_INFO_1K)1*..1
explanationstring1..1
provideExplanationSTRING_1K_TYPE1..1minLength=1; maxLength=1000
descriptionSTRING_10K_TYPE1..1minLength=1; maxLength=10000
isReqaulificationRequiredYES_NO_TYPE0..1one of: Y, N
requalificationDetails(group: REGULATORY_SANCTION_REQUALIFICATION_INFORMATION)0..n
timeToReqaulifyRetrain(group: DURATION_INFORMATION_TYPE)1..1
durationType(group: DURATION_TYPE)1..1
(choice)1..1exactly one of the following branches
permanentstring1*..1
noTimeSpecifiedstring1*..1
limited(group: DURATION_TYPE_LIMITED)1*..1
limitedstring1..1
durationTime(group: SENTENCE_DURATION_TYPE)1..1
daysSTRING_NUMERIC_3_TYPE0..1pattern=\d{1,10}
monthsSTRING_NUMERIC_3_TYPE0..1pattern=\d{1,10}
yearsSTRING_NUMERIC_3_TYPE0..1pattern=\d{1,10}
typeRequiredSTRING_1K_TYPE1..1minLength=1; maxLength=1000
conditionState(group: CONDITION_STATE_10K)1..1
(choice)1..1exactly one of the following branches
satisfiedDATE_TYPE1*..1pattern=\d{1,2}-\d{1,2}-\d{4}
notSatisfiedSTRING_10K_TYPE1*..1minLength=1; maxLength=10000
monetarySanctions(group: REGULATORY_MONETARY_SANCTION)0..1
amountOrderedDECIMAL_TYPE16_21..1totalDigits=16; fractionDigits=2; minInclusive=0; pattern=\d{0,14}\.\d\d
waivedPortionDECIMAL_TYPE16_20..1totalDigits=16; fractionDigits=2; minInclusive=0; pattern=\d{0,14}\.\d\d
finalAmountDECIMAL_TYPE16_2_NEGATIVE1..1totalDigits=18; fractionDigits=2; pattern=[\+\-]?\d{0,16}\.\d\d
paymentState(group: CONDITION_STATE_3K)1..1
(choice)1..1exactly one of the following branches
satisfiedDATE_TYPE1*..1pattern=\d{1,2}-\d{1,2}-\d{4}
notSatisfiedSTRING_3K_TYPE1*..1minLength=1; maxLength=3000
totalAmountOrderedDECIMAL_TYPE16_20..1totalDigits=16; fractionDigits=2; minInclusive=0; pattern=\d{0,14}\.\d\d
drpRemoveReason(group: DRP_REMOVE_REASON_10K)0..1
(choice)1..1exactly one of the following branches
isRegisteredstring1*..1
isFiledError(group: FILEDERROR_10K)1*..1
explainTheCircumstancesSTRING_10K_TYPE1..1minLength=1; maxLength=10000
apInfo(group: REGULATORY_ASSOCIATED_PERSONS_INFORMATION_CONTAINER)0..1
associatedPerson(group: REGULATORY_ASSOCIATED_PERSON_INFORMATION)1..500
apType(group: ASSOCIATED_PERSON_TYPE)1..1
(choice)1..1exactly one of the following branches
firmInfoENTITY_NAME_256_TYPE1*..1minLength=1; maxLength=256; pattern=([\w\s!\\#$(),.:;=@\-{}|/&]+)
naturalPersonInfo(group: INDIVIDUAL_NAME_TYPE)1*..1
firstNameSTRING_50_TYPE0..1minLength=1; maxLength=50
middleNameSTRING_30_TYPE0..1minLength=1; maxLength=30
lastNameSTRING_50_TYPE0..1minLength=1; maxLength=50
suffixSTRING_10_TYPE0..1minLength=1; maxLength=10
registrationInfo(group: SEC_REGISTERED_INFO)1..1
isSECRegisteredYES_NO_TYPE1..1one of: Y, N
secRegistrationNumberSTRING_150_TYPE0..1minLength=1; maxLength=150
crdNumberCRD_NUMBER_TYPE0..1minLength=1; maxLength=9
drpRemovalInformation(group: ASSOCIATED_PERSON_DRP_REMOVAL_INFORMATION_10K)0..1
(choice)1..1exactly one of the following branches
apNotAssociatedstring1*..1
eventResolvedstring1*..1
isFiledError(group: FILEDERROR_10K)1*..1
explainTheCircumstancesSTRING_10K_TYPE1..1minLength=1; maxLength=10000
drpInfo(group: REGULATORY_DRP_DETAILS)1..1
(choice)1..1exactly one of the following branches
filedDisclosure(group: FILED_DRP)1*..1
advBDU4Filing(group: ADV_BD_U4_FILING)0..1
nameSTRING_256_TYPE1..1minLength=1; maxLength=256
crdNumberCRD_NUMBER_TYPE1..1minLength=1; maxLength=9
disclosureNumberSTRING_256_TYPE1..1minLength=1; maxLength=256
maFiling(group: MA_FILING)0..1
nameSTRING_256_TYPE1..1minLength=1; maxLength=256
regNumberFILE_NUMBER_TYPE1..1pattern=\d{1,3}-\d{1,8}-[a-zA-Z0-9]{1,4}|\d{1,3}-\d{1,8}|24R-\d{1,8}-[a-zA-Z0-9]{1,4}|24R-\d{1,8}
drpDateDATE_TYPE1..1pattern=\d{1,2}-\d{1,2}-\d{4}
accessionNumberACCESSION_NUMBER_TYPE1..1pattern=[*]{0}|[0-9]{1,10}\-[0-9]{1,2}\-[0-9]{1,6}
matFiling(group: MAT_FILING)0..1
nameSTRING_256_TYPE1..1minLength=1; maxLength=256
regNumberFILE_NUMBER_TYPE1..1pattern=\d{1,3}-\d{1,8}-[a-zA-Z0-9]{1,4}|\d{1,3}-\d{1,8}|24R-\d{1,8}-[a-zA-Z0-9]{1,4}|24R-\d{1,8}
dateDATE_TYPE1..1pattern=\d{1,2}-\d{1,2}-\d{4}
maiFiling(group: MA_FILING)0..1
nameSTRING_256_TYPE1..1minLength=1; maxLength=256
regNumberFILE_NUMBER_TYPE1..1pattern=\d{1,3}-\d{1,8}-[a-zA-Z0-9]{1,4}|\d{1,3}-\d{1,8}|24R-\d{1,8}-[a-zA-Z0-9]{1,4}|24R-\d{1,8}
drpDateDATE_TYPE1..1pattern=\d{1,2}-\d{1,2}-\d{4}
accessionNumberACCESSION_NUMBER_TYPE1..1pattern=[*]{0}|[0-9]{1,10}\-[0-9]{1,2}\-[0-9]{1,6}
detailedDisclosure(group: REGULATORY_DETAILED_DISCLOSURE_CONTAINER)1*..1
initiatedDRP(group: REGULATORY_DETAILED_DISCLOSURE)1..1
baseInformation(group: BASE_DRP_INFORMATION)1..1
chargesBroughtIn(group: CHARGES_WHERE_BROUGHT_IN)0..1
nameSTRING_256_TYPE0..1minLength=1; maxLength=256
docketOrCaseNoSTRING_256_TYPE1..1minLength=1; maxLength=256
address(group: ADDRESS_TYPE)1..1
street1STREET_TYPE1..1minLength=1; maxLength=40
street2STREET_TYPE0..1minLength=1; maxLength=40
citySTRING_30_TYPE1..1minLength=1; maxLength=30
stateOrCountrySTATE_COUNTRY_CODE1..1one of 331 codes (AL, AK, AZ, AR, CA, …; full list in the XSD)
zipCodeZIP_TYPE1..1minLength=1; maxLength=10; pattern=[0-9A-Za-z #\-]*
status(group: EVENT_STATUS_TYPE)1..1
(choice)1..1exactly one of the following branches
pendingstring1*..1
onAppealstring1*..1
finalstring1*..1
summarySTRING_10K_TYPE0..1minLength=1; maxLength=10000
statusDateInfo(group: EXACT_OR_EXPLANATION_10K)0..1
dateDATE_TYPE0..1pattern=\d{1,2}-\d{1,2}-\d{4}
(choice)1..1exactly one of the following branches
exactstring1*..1
explanationInfo(group: EXPLANATION_INFO_10K)1*..1
explanationstring1..1
provideExplanationSTRING_10K_TYPE1..1minLength=1; maxLength=10000
dateInitiated(group: EXACT_OR_EXPLANATION_3K)1..1
dateDATE_TYPE0..1pattern=\d{1,2}-\d{1,2}-\d{4}
(choice)1..1exactly one of the following branches
exactstring1*..1
explanationInfo(group: EXPLANATION_INFO_3K)1*..1
explanationstring1..1
provideExplanationSTRING_3K_TYPE1..1minLength=1; maxLength=3000
initiatedBy(group: REGULATORY_ACTION_INITIATED_BY_TYPES)1..1
initiator(group: REGULATORY_ACTION_INITIATED_BY_TYPE)1..1
(choice)1..1exactly one of the following branches
secstring1*..1
otherFederalAuthoritystring1*..1
statestring1*..1
srostring1*..1
foreignFRAstring1*..1
cftcstring1*..1
federalBankingAgencystring1*..1
nationalCUAdminstring1*..1
otherstring1*..1
otherSTRING_256_TYPE0..1minLength=1; maxLength=256
nameSTRING_256_TYPE0..1minLength=1; maxLength=256
sanctionsSought(group: SANCTION_TYPES)1..1
sanctionSANCTION_TYPE1..18SANCTION_BASE_TYPE (one of: BarPermanent, BarTemporary, Censure, CivilAdminPenaltyFine, Denial, Expulsion, Prohibition, Reprimand, Rescission, Requalification, Revocation, Suspension, Undertaking, Other) or PRINCIPAL_SANCTION_RELIEF_BASE (one of: Cease and Desist, Disgorgement, Injunction, Restitution)
otherSanctionsSTRING_10K_TYPE0..1minLength=1; maxLength=10000
principalProductTypes(group: PRINCIPAL_PRODUCT_TYPES)1..1
productPRINCIPAL_PRODUCT_TYPE1..35PRINCIPAL_PRODUCT_OPTION_TYPE (one of: Annuity(ies) - Fixed, Annuity(ies) - Variable, CD(s), Commodity Option(s), Debt - Asset Backed, Debt - Corporate, Debt - Government, Debt - Municipal, Derivative(s), Direct Investment(s) - DPP & LP Interest(s), Equity - OTC, Equity Listed (Common & Preferred Stock), Futures - Commodity, Futures - Financial, Index Option(s), Insurance, Investment Contract(s), Money Market Fund(s), Mutual Fund(s), No Product, Options, Penny Sock(s), Unit Investment Trust(s)) or PRINCIPAL_PRODUCT_TYPE_EXTENDED (one of: AnnuityCharitable, BankingProduct, EquipmentLeasing, OilAndGas, PrimeBankInstrument, Promissory Note, Real Estate Security, Security Futures, Security-based Swap, Swap, Viatical Settlement, Other)
productOtherSTRING_256_TYPE0..1minLength=1; maxLength=256
otherProductTypesSTRING_1K_TYPE0..1minLength=1; maxLength=1000
allegationsDescriptionSTRING_10K_TYPE1..1minLength=1; maxLength=10000
pendingInformation(group: REGULATORY_PENDING_INFORMATION)0..1
servedInformation(group: EXACT_OR_EXPLANATION_10K)0..1
dateDATE_TYPE0..1pattern=\d{1,2}-\d{1,2}-\d{4}
(choice)1..1exactly one of the following branches
exactstring1*..1
explanationInfo(group: EXPLANATION_INFO_10K)1*..1
explanationstring1..1
provideExplanationSTRING_10K_TYPE1..1minLength=1; maxLength=10000
limitationsRestrictionsSTRING_1K_TYPE0..1minLength=1; maxLength=1000
appealInformation(group: REGULATORY_APPEAL_INFORMATION_TYPE)0..1
appealBroughtInInformation(group: CHARGES_WHERE_BROUGHT_IN)0..1
nameSTRING_256_TYPE0..1minLength=1; maxLength=256
docketOrCaseNoSTRING_256_TYPE1..1minLength=1; maxLength=256
address(group: ADDRESS_TYPE)1..1
street1STREET_TYPE1..1minLength=1; maxLength=40
street2STREET_TYPE0..1minLength=1; maxLength=40
citySTRING_30_TYPE1..1minLength=1; maxLength=30
stateOrCountrySTATE_COUNTRY_CODE1..1one of 331 codes (AL, AK, AZ, AR, CA, …; full list in the XSD)
zipCodeZIP_TYPE1..1minLength=1; maxLength=10; pattern=[0-9A-Za-z #\-]*
docketNameSTRING_256_TYPE0..1minLength=1; maxLength=256
dateInformation(group: EXACT_OR_EXPLANATION_1K)0..1
dateDATE_TYPE0..1pattern=\d{1,2}-\d{1,2}-\d{4}
(choice)1..1exactly one of the following branches
exactstring1*..1
explanationInfo(group: EXPLANATION_INFO_1K)1*..1
explanationstring1..1
provideExplanationSTRING_1K_TYPE1..1minLength=1; maxLength=1000
detailsSTRING_10K_TYPE0..1minLength=1; maxLength=10000
limitationsRestrictionsSTRING_1K_TYPE0..1minLength=1; maxLength=1000
resolutionInformation(group: REGULATORY_RESOLUTION_INFORMATION)0..1
date(group: EXACT_OR_EXPLANATION_3K)1..1
dateDATE_TYPE0..1pattern=\d{1,2}-\d{1,2}-\d{4}
(choice)1..1exactly one of the following branches
exactstring1*..1
explanationInfo(group: EXPLANATION_INFO_3K)1*..1
explanationstring1..1
provideExplanationSTRING_3K_TYPE1..1minLength=1; maxLength=3000
types(group: REGULATORY_RESOLUTION_TYPES)1..1
judgementREGULATORY_RESOLUTION_TYPE1..12one of: Acceptance Waiver & Consent (AWC), Consent, Decision, Decision & Order of Offer of Settlement, Dismissed, Judgement Rendered, Order, Settled, Opinion, Withdrawn, Stipulation and Consent, Other, Appealed
judgementOtherSTRING_3K_TYPE0..1minLength=1; maxLength=3000
appealJudgementAPPEAL_EXTENDED_TYPES0..5APPEAL_TYPES (one of: Affirmed, Vacated & Returned For Further Action, Vacated / Final, Other) or APPEAL_EXTENDED_TYPE (one of: Vacated Nunc Pro Tunc / ab initio)
appealJudgementOtherSTRING_1K_TYPE0..1minLength=1; maxLength=1000
explanationSTRING_10K_TYPE0..1minLength=1; maxLength=10000
isFinalOrderYES_NO_TYPE0..1one of: Y, N
details(group: REGULATORY_RESOLUTION_DETAILS)1..1
sanctionsOrderedYES_NO_TYPE1..1one of: Y, N
sanctions(group: SANCTION_TYPES)0..1
sanctionSANCTION_TYPE1..18SANCTION_BASE_TYPE (one of: BarPermanent, BarTemporary, Censure, CivilAdminPenaltyFine, Denial, Expulsion, Prohibition, Reprimand, Rescission, Requalification, Revocation, Suspension, Undertaking, Other) or PRINCIPAL_SANCTION_RELIEF_BASE (one of: Cease and Desist, Disgorgement, Injunction, Restitution)
otherSanctionsSTRING_10K_TYPE0..1minLength=1; maxLength=10000
sanctionDetails(group: REGULATORY_SANCTION_DETAILS)0..1
barred(group: SANCTION_BASE_INFORMATION_10K)0..n
duration(group: DURATION_INFORMATION_TYPE)1..1
durationType(group: DURATION_TYPE)1..1
(choice)1..1exactly one of the following branches
permanentstring1*..1
noTimeSpecifiedstring1*..1
limited(group: DURATION_TYPE_LIMITED)1*..1
limitedstring1..1
durationTime(group: SENTENCE_DURATION_TYPE)1..1
daysSTRING_NUMERIC_3_TYPE0..1pattern=\d{1,10}
monthsSTRING_NUMERIC_3_TYPE0..1pattern=\d{1,10}
yearsSTRING_NUMERIC_3_TYPE0..1pattern=\d{1,10}
startDate(group: EXACT_OR_EXPLANATION_1K)1..1
dateDATE_TYPE0..1pattern=\d{1,2}-\d{1,2}-\d{4}
(choice)1..1exactly one of the following branches
exactstring1*..1
explanationInfo(group: EXPLANATION_INFO_1K)1*..1
explanationstring1..1
provideExplanationSTRING_1K_TYPE1..1minLength=1; maxLength=1000
endDate(group: EXACT_OR_EXPLANATION_1K)0..1
dateDATE_TYPE0..1pattern=\d{1,2}-\d{1,2}-\d{4}
(choice)1..1exactly one of the following branches
exactstring1*..1
explanationInfo(group: EXPLANATION_INFO_1K)1*..1
explanationstring1..1
provideExplanationSTRING_1K_TYPE1..1minLength=1; maxLength=1000
descriptionSTRING_10K_TYPE1..1minLength=1; maxLength=10000
enjoined(group: SANCTION_BASE_INFORMATION_10K)0..n
duration(group: DURATION_INFORMATION_TYPE)1..1
durationType(group: DURATION_TYPE)1..1
(choice)1..1exactly one of the following branches
permanentstring1*..1
noTimeSpecifiedstring1*..1
limited(group: DURATION_TYPE_LIMITED)1*..1
limitedstring1..1
durationTime(group: SENTENCE_DURATION_TYPE)1..1
daysSTRING_NUMERIC_3_TYPE0..1pattern=\d{1,10}
monthsSTRING_NUMERIC_3_TYPE0..1pattern=\d{1,10}
yearsSTRING_NUMERIC_3_TYPE0..1pattern=\d{1,10}
startDate(group: EXACT_OR_EXPLANATION_1K)1..1
dateDATE_TYPE0..1pattern=\d{1,2}-\d{1,2}-\d{4}
(choice)1..1exactly one of the following branches
exactstring1*..1
explanationInfo(group: EXPLANATION_INFO_1K)1*..1
explanationstring1..1
provideExplanationSTRING_1K_TYPE1..1minLength=1; maxLength=1000
endDate(group: EXACT_OR_EXPLANATION_1K)0..1
dateDATE_TYPE0..1pattern=\d{1,2}-\d{1,2}-\d{4}
(choice)1..1exactly one of the following branches
exactstring1*..1
explanationInfo(group: EXPLANATION_INFO_1K)1*..1
explanationstring1..1
provideExplanationSTRING_1K_TYPE1..1minLength=1; maxLength=1000
descriptionSTRING_10K_TYPE1..1minLength=1; maxLength=10000
suspended(group: SANCTION_BASE_INFORMATION_10K)0..n
duration(group: DURATION_INFORMATION_TYPE)1..1
durationType(group: DURATION_TYPE)1..1
(choice)1..1exactly one of the following branches
permanentstring1*..1
noTimeSpecifiedstring1*..1
limited(group: DURATION_TYPE_LIMITED)1*..1
limitedstring1..1
durationTime(group: SENTENCE_DURATION_TYPE)1..1
daysSTRING_NUMERIC_3_TYPE0..1pattern=\d{1,10}
monthsSTRING_NUMERIC_3_TYPE0..1pattern=\d{1,10}
yearsSTRING_NUMERIC_3_TYPE0..1pattern=\d{1,10}
startDate(group: EXACT_OR_EXPLANATION_1K)1..1
dateDATE_TYPE0..1pattern=\d{1,2}-\d{1,2}-\d{4}
(choice)1..1exactly one of the following branches
exactstring1*..1
explanationInfo(group: EXPLANATION_INFO_1K)1*..1
explanationstring1..1
provideExplanationSTRING_1K_TYPE1..1minLength=1; maxLength=1000
endDate(group: EXACT_OR_EXPLANATION_1K)0..1
dateDATE_TYPE0..1pattern=\d{1,2}-\d{1,2}-\d{4}
(choice)1..1exactly one of the following branches
exactstring1*..1
explanationInfo(group: EXPLANATION_INFO_1K)1*..1
explanationstring1..1
provideExplanationSTRING_1K_TYPE1..1minLength=1; maxLength=1000
descriptionSTRING_10K_TYPE1..1minLength=1; maxLength=10000
isReqaulificationRequiredYES_NO_TYPE0..1one of: Y, N
requalificationDetails(group: REGULATORY_SANCTION_REQUALIFICATION_INFORMATION)0..n
timeToReqaulifyRetrain(group: DURATION_INFORMATION_TYPE)1..1
durationType(group: DURATION_TYPE)1..1
(choice)1..1exactly one of the following branches
permanentstring1*..1
noTimeSpecifiedstring1*..1
limited(group: DURATION_TYPE_LIMITED)1*..1
limitedstring1..1
durationTime(group: SENTENCE_DURATION_TYPE)1..1
daysSTRING_NUMERIC_3_TYPE0..1pattern=\d{1,10}
monthsSTRING_NUMERIC_3_TYPE0..1pattern=\d{1,10}
yearsSTRING_NUMERIC_3_TYPE0..1pattern=\d{1,10}
typeRequiredSTRING_1K_TYPE1..1minLength=1; maxLength=1000
conditionState(group: CONDITION_STATE_10K)1..1
(choice)1..1exactly one of the following branches
satisfiedDATE_TYPE1*..1pattern=\d{1,2}-\d{1,2}-\d{4}
notSatisfiedSTRING_10K_TYPE1*..1minLength=1; maxLength=10000
monetarySanctions(group: REGULATORY_MONETARY_SANCTION)0..1
amountOrderedDECIMAL_TYPE16_21..1totalDigits=16; fractionDigits=2; minInclusive=0; pattern=\d{0,14}\.\d\d
waivedPortionDECIMAL_TYPE16_20..1totalDigits=16; fractionDigits=2; minInclusive=0; pattern=\d{0,14}\.\d\d
finalAmountDECIMAL_TYPE16_2_NEGATIVE1..1totalDigits=18; fractionDigits=2; pattern=[\+\-]?\d{0,16}\.\d\d
paymentState(group: CONDITION_STATE_3K)1..1
(choice)1..1exactly one of the following branches
satisfiedDATE_TYPE1*..1pattern=\d{1,2}-\d{1,2}-\d{4}
notSatisfiedSTRING_3K_TYPE1*..1minLength=1; maxLength=3000
totalAmountOrderedDECIMAL_TYPE16_20..1totalDigits=16; fractionDigits=2; minInclusive=0; pattern=\d{0,14}\.\d\d
civilJudicialDisclosure(group: CIVIL_JUDICIAL_DISCLOSURE_CONTAINER)0..1
civilJudicialDrp(group: CIVIL_JUDICIAL_DISCLOSURE_TYPE)1..1000
headerData(group: CIVIL_JUDICIAL_HEADER_DATA)1..1
baseHeader(group: HEADER_DATA)1..1
type(group: ADD_AMENDED)0..1
(choice)1..1exactly one of the following branches
addstring1*..1
amendstring1*..1
apDrpFiledCountSTRING_NUMERIC_3_TYPE0..1pattern=\d{1,10}
drpFor(group: DRP_FILED_FOR)1..1
(choice)1..1exactly one of the following branches
applicantstring1*..1
applicantAndAPstring1*..1
apstring1*..1
respondingTo(group: CIVIL_JUDICIAL_RESPONDING_TO_TYPES)1..1
responseQuestionCIVIL_JUDICIAL_RESPONDING_TO_TYPE1..4one of: 9-H1a, 9-H1b, 9-H1c, 9-H2
applicantInfo(group: CIVIL_JUDICIAL_APPLICANT_INFORMATION)0..1
drpInfo(group: CIVIL_JUDICIAL_DRP_DETAILS)1..1
(choice)1..1exactly one of the following branches
filedDisclosre(group: FILED_DRP)1*..1
advBDU4Filing(group: ADV_BD_U4_FILING)0..1
nameSTRING_256_TYPE1..1minLength=1; maxLength=256
crdNumberCRD_NUMBER_TYPE1..1minLength=1; maxLength=9
disclosureNumberSTRING_256_TYPE1..1minLength=1; maxLength=256
maFiling(group: MA_FILING)0..1
nameSTRING_256_TYPE1..1minLength=1; maxLength=256
regNumberFILE_NUMBER_TYPE1..1pattern=\d{1,3}-\d{1,8}-[a-zA-Z0-9]{1,4}|\d{1,3}-\d{1,8}|24R-\d{1,8}-[a-zA-Z0-9]{1,4}|24R-\d{1,8}
drpDateDATE_TYPE1..1pattern=\d{1,2}-\d{1,2}-\d{4}
accessionNumberACCESSION_NUMBER_TYPE1..1pattern=[*]{0}|[0-9]{1,10}\-[0-9]{1,2}\-[0-9]{1,6}
matFiling(group: MAT_FILING)0..1
nameSTRING_256_TYPE1..1minLength=1; maxLength=256
regNumberFILE_NUMBER_TYPE1..1pattern=\d{1,3}-\d{1,8}-[a-zA-Z0-9]{1,4}|\d{1,3}-\d{1,8}|24R-\d{1,8}-[a-zA-Z0-9]{1,4}|24R-\d{1,8}
dateDATE_TYPE1..1pattern=\d{1,2}-\d{1,2}-\d{4}
maiFiling(group: MA_FILING)0..1
nameSTRING_256_TYPE1..1minLength=1; maxLength=256
regNumberFILE_NUMBER_TYPE1..1pattern=\d{1,3}-\d{1,8}-[a-zA-Z0-9]{1,4}|\d{1,3}-\d{1,8}|24R-\d{1,8}-[a-zA-Z0-9]{1,4}|24R-\d{1,8}
drpDateDATE_TYPE1..1pattern=\d{1,2}-\d{1,2}-\d{4}
accessionNumberACCESSION_NUMBER_TYPE1..1pattern=[*]{0}|[0-9]{1,10}\-[0-9]{1,2}\-[0-9]{1,6}
detailedDisclosure(group: CIVIL_JUDICIAL_DETAILED_DISCLOSURE)1*..1
baseInformation(group: BASE_DRP_INFORMATION)1..1
chargesBroughtIn(group: CHARGES_WHERE_BROUGHT_IN)0..1
nameSTRING_256_TYPE0..1minLength=1; maxLength=256
docketOrCaseNoSTRING_256_TYPE1..1minLength=1; maxLength=256
address(group: ADDRESS_TYPE)1..1
street1STREET_TYPE1..1minLength=1; maxLength=40
street2STREET_TYPE0..1minLength=1; maxLength=40
citySTRING_30_TYPE1..1minLength=1; maxLength=30
stateOrCountrySTATE_COUNTRY_CODE1..1one of 331 codes (AL, AK, AZ, AR, CA, …; full list in the XSD)
zipCodeZIP_TYPE1..1minLength=1; maxLength=10; pattern=[0-9A-Za-z #\-]*
status(group: EVENT_STATUS_TYPE)1..1
(choice)1..1exactly one of the following branches
pendingstring1*..1
onAppealstring1*..1
finalstring1*..1
summarySTRING_10K_TYPE0..1minLength=1; maxLength=10000
statusDateInfo(group: EXACT_OR_EXPLANATION_10K)0..1
dateDATE_TYPE0..1pattern=\d{1,2}-\d{1,2}-\d{4}
(choice)1..1exactly one of the following branches
exactstring1*..1
explanationInfo(group: EXPLANATION_INFO_10K)1*..1
explanationstring1..1
provideExplanationSTRING_10K_TYPE1..1minLength=1; maxLength=10000
initiatedBy(group: CIVIL_JUDICIAL_ACTION_INITIATED_BY_TYPES)1..1
initiatorCIVIL_JUDICIAL_ACTION_INITIATED_BY_TYPE1..10one of: SEC, Other Federal Authority, State, SRO, Foreign Financial Regulatory Authority, Commodities Exchange, Private Plantiff, CFTC, Municipal Advisory Firm, Other
otherSTRING_256_TYPE0..1minLength=1; maxLength=256
plantiffsInformation(group: PLANTIFFS_INFORMATION_CONTAINER)0..1
plantiffNameSTRING_3K_TYPE0..1minLength=1; maxLength=3000
isMissingPlantiffsYES_NO_TYPE1..1one of: Y, N
defendantInformation(group: DEFENDANTS_INFORMATION_CONTAINER)1..1
defendantNameSTRING_1K_TYPE1..1minLength=1; maxLength=1000
isADefendantYES_NO_TYPE1..1one of: Y, N
involementInformationSTRING_256_TYPE0..1minLength=1; maxLength=256
sanctionsReliefSought(group: CIVIL_JUDICIAL_SANCTIONS_TYPES)1..1
sanctionReliefCIVIL_JUDICIAL_SANCTIONS1..21SANCTION_TYPE (SANCTION_BASE_TYPE (one of: BarPermanent, BarTemporary, Censure, CivilAdminPenaltyFine, Denial, Expulsion, Prohibition, Reprimand, Rescission, Requalification, Revocation, Suspension, Undertaking, Other) or PRINCIPAL_SANCTION_RELIEF_BASE (one of: Cease and Desist, Disgorgement, Injunction, Restitution)) or CIVIL_JUDICIAL_SANCTIONS_TYPE (one of: Exemption, Money Damage(s) (Private/Civil Complaint), Restraining Order)
otherSTRING_10K_TYPE0..1minLength=1; maxLength=10000
notificationServedInformation(group: EXACT_OR_EXPLANATION_10K)1..1
dateDATE_TYPE0..1pattern=\d{1,2}-\d{1,2}-\d{4}
(choice)1..1exactly one of the following branches
exactstring1*..1
explanationInfo(group: EXPLANATION_INFO_10K)1*..1
explanationstring1..1
provideExplanationSTRING_10K_TYPE1..1minLength=1; maxLength=10000
courtBroughIn(group: CIVIL_JUDICIAL_COURT)1..1
civilJudicialCourt(group: CIVIL_JUDICIAL_COURT_TYPES)1..1
(choice)1..1exactly one of the following branches
fedCourtstring1*..1
milCourtstring1*..1
stateCourtstring1*..1
foreignCourtstring1*..1
intnlCourtstring1*..1
otherstring1*..1
otherSTRING_256_TYPE0..1minLength=1; maxLength=256
principalProductTypes(group: PRINCIPAL_PRODUCT_TYPES)1..1
productPRINCIPAL_PRODUCT_TYPE1..35PRINCIPAL_PRODUCT_OPTION_TYPE (one of: Annuity(ies) - Fixed, Annuity(ies) - Variable, CD(s), Commodity Option(s), Debt - Asset Backed, Debt - Corporate, Debt - Government, Debt - Municipal, Derivative(s), Direct Investment(s) - DPP & LP Interest(s), Equity - OTC, Equity Listed (Common & Preferred Stock), Futures - Commodity, Futures - Financial, Index Option(s), Insurance, Investment Contract(s), Money Market Fund(s), Mutual Fund(s), No Product, Options, Penny Sock(s), Unit Investment Trust(s)) or PRINCIPAL_PRODUCT_TYPE_EXTENDED (one of: AnnuityCharitable, BankingProduct, EquipmentLeasing, OilAndGas, PrimeBankInstrument, Promissory Note, Real Estate Security, Security Futures, Security-based Swap, Swap, Viatical Settlement, Other)
productOtherSTRING_256_TYPE0..1minLength=1; maxLength=256
otherProductTypesSTRING_1K_TYPE0..1minLength=1; maxLength=1000
allegationsDescriptionSTRING_10K_TYPE1..1minLength=1; maxLength=10000
pendingInformation(group: CIVIL_JUDICIAL_PENDING_INFORMATION)0..1
servedInformation(group: EXACT_OR_EXPLANATION_10K)1..1
dateDATE_TYPE0..1pattern=\d{1,2}-\d{1,2}-\d{4}
(choice)1..1exactly one of the following branches
exactstring1*..1
explanationInfo(group: EXPLANATION_INFO_10K)1*..1
explanationstring1..1
provideExplanationSTRING_10K_TYPE1..1minLength=1; maxLength=10000
limitationsRestrictionsSTRING_3K_TYPE0..1minLength=1; maxLength=3000
appealInformation(group: CIVIL_JUDICIAL_APPEAL_INFORMATION_TYPE)0..1
appealBroughtInInformation(group: CHARGES_WHERE_BROUGHT_IN)0..1
nameSTRING_256_TYPE0..1minLength=1; maxLength=256
docketOrCaseNoSTRING_256_TYPE1..1minLength=1; maxLength=256
address(group: ADDRESS_TYPE)1..1
street1STREET_TYPE1..1minLength=1; maxLength=40
street2STREET_TYPE0..1minLength=1; maxLength=40
citySTRING_30_TYPE1..1minLength=1; maxLength=30
stateOrCountrySTATE_COUNTRY_CODE1..1one of 331 codes (AL, AK, AZ, AR, CA, …; full list in the XSD)
zipCodeZIP_TYPE1..1minLength=1; maxLength=10; pattern=[0-9A-Za-z #\-]*
docketNameSTRING_256_TYPE0..1minLength=1; maxLength=256
dateInformation(group: EXACT_OR_EXPLANATION_3K)0..1
dateDATE_TYPE0..1pattern=\d{1,2}-\d{1,2}-\d{4}
(choice)1..1exactly one of the following branches
exactstring1*..1
explanationInfo(group: EXPLANATION_INFO_3K)1*..1
explanationstring1..1
provideExplanationSTRING_3K_TYPE1..1minLength=1; maxLength=3000
detailsSTRING_10K_TYPE0..1minLength=1; maxLength=10000
limitationsRestrictionsSTRING_1K_TYPE0..1minLength=1; maxLength=1000
resolutionInformation(group: CIVIL_JUDICIAL_RESOLUTION_INFORMATION)0..1
date(group: EXACT_OR_EXPLANATION_1K)1..1
dateDATE_TYPE0..1pattern=\d{1,2}-\d{1,2}-\d{4}
(choice)1..1exactly one of the following branches
exactstring1*..1
explanationInfo(group: EXPLANATION_INFO_1K)1*..1
explanationstring1..1
provideExplanationSTRING_1K_TYPE1..1minLength=1; maxLength=1000
types(group: CIVIL_JUDICIAL_RESOLUTION)1..1
judgementCIVIL_JUDICIAL_RESOLUTION_TYPES1..12REGULATORY_RESOLUTION_TYPE (one of: Acceptance Waiver & Consent (AWC), Consent, Decision, Decision & Order of Offer of Settlement, Dismissed, Judgement Rendered, Order, Settled, Opinion, Withdrawn, Stipulation and Consent, Other, Appealed) or CIVIL_JUDICIAL_RESOLUTION_TYPE (one of: Exemption, Restraining Order, Money Damage(s) (Private/Civil Complaint), Opinion)
judgementOtherSTRING_1K_TYPE0..1minLength=1; maxLength=1000
appealJudgementAPPEAL_EXTENDED_TYPES0..5APPEAL_TYPES (one of: Affirmed, Vacated & Returned For Further Action, Vacated / Final, Other) or APPEAL_EXTENDED_TYPE (one of: Vacated Nunc Pro Tunc / ab initio)
appealJudgementOtherSTRING_1K_TYPE0..1minLength=1; maxLength=1000
explanationSTRING_10K_TYPE0..1minLength=1; maxLength=10000
isFinalOrderYES_NO_TYPE0..1one of: Y, N
details(group: CIVIL_JUDICIAL_RESOLUTION_DETAILS)1..1
sanctionsOrderedYES_NO_TYPE1..1one of: Y, N
sanctions(group: CIVIL_JUDICIAL_SANCTIONS_TYPES)0..1
sanctionReliefCIVIL_JUDICIAL_SANCTIONS1..21SANCTION_TYPE (SANCTION_BASE_TYPE (one of: BarPermanent, BarTemporary, Censure, CivilAdminPenaltyFine, Denial, Expulsion, Prohibition, Reprimand, Rescission, Requalification, Revocation, Suspension, Undertaking, Other) or PRINCIPAL_SANCTION_RELIEF_BASE (one of: Cease and Desist, Disgorgement, Injunction, Restitution)) or CIVIL_JUDICIAL_SANCTIONS_TYPE (one of: Exemption, Money Damage(s) (Private/Civil Complaint), Restraining Order)
otherSTRING_10K_TYPE0..1minLength=1; maxLength=10000
sanctionDetails(group: CIVIL_JUDICIAL_SANCTION_DETAILS)0..1
barred(group: SANCTION_BASE_INFORMATION_10K)0..n
duration(group: DURATION_INFORMATION_TYPE)1..1
durationType(group: DURATION_TYPE)1..1
(choice)1..1exactly one of the following branches
permanentstring1*..1
noTimeSpecifiedstring1*..1
limited(group: DURATION_TYPE_LIMITED)1*..1
limitedstring1..1
durationTime(group: SENTENCE_DURATION_TYPE)1..1
daysSTRING_NUMERIC_3_TYPE0..1pattern=\d{1,10}
monthsSTRING_NUMERIC_3_TYPE0..1pattern=\d{1,10}
yearsSTRING_NUMERIC_3_TYPE0..1pattern=\d{1,10}
startDate(group: EXACT_OR_EXPLANATION_1K)1..1
dateDATE_TYPE0..1pattern=\d{1,2}-\d{1,2}-\d{4}
(choice)1..1exactly one of the following branches
exactstring1*..1
explanationInfo(group: EXPLANATION_INFO_1K)1*..1
explanationstring1..1
provideExplanationSTRING_1K_TYPE1..1minLength=1; maxLength=1000
endDate(group: EXACT_OR_EXPLANATION_1K)0..1
dateDATE_TYPE0..1pattern=\d{1,2}-\d{1,2}-\d{4}
(choice)1..1exactly one of the following branches
exactstring1*..1
explanationInfo(group: EXPLANATION_INFO_1K)1*..1
explanationstring1..1
provideExplanationSTRING_1K_TYPE1..1minLength=1; maxLength=1000
descriptionSTRING_10K_TYPE1..1minLength=1; maxLength=10000
enjoined(group: SANCTION_BASE_INFORMATION_3K)0..n
duration(group: DURATION_INFORMATION_TYPE)1..1
durationType(group: DURATION_TYPE)1..1
(choice)1..1exactly one of the following branches
permanentstring1*..1
noTimeSpecifiedstring1*..1
limited(group: DURATION_TYPE_LIMITED)1*..1
limitedstring1..1
durationTime(group: SENTENCE_DURATION_TYPE)1..1
daysSTRING_NUMERIC_3_TYPE0..1pattern=\d{1,10}
monthsSTRING_NUMERIC_3_TYPE0..1pattern=\d{1,10}
yearsSTRING_NUMERIC_3_TYPE0..1pattern=\d{1,10}
startDate(group: EXACT_OR_EXPLANATION_1K)1..1
dateDATE_TYPE0..1pattern=\d{1,2}-\d{1,2}-\d{4}
(choice)1..1exactly one of the following branches
exactstring1*..1
explanationInfo(group: EXPLANATION_INFO_1K)1*..1
explanationstring1..1
provideExplanationSTRING_1K_TYPE1..1minLength=1; maxLength=1000
endDate(group: EXACT_OR_EXPLANATION_1K)0..1
dateDATE_TYPE0..1pattern=\d{1,2}-\d{1,2}-\d{4}
(choice)1..1exactly one of the following branches
exactstring1*..1
explanationInfo(group: EXPLANATION_INFO_1K)1*..1
explanationstring1..1
provideExplanationSTRING_1K_TYPE1..1minLength=1; maxLength=1000
descriptionSTRING_3K_TYPE1..1minLength=1; maxLength=3000
suspended(group: SANCTION_BASE_INFORMATION_3K)0..n
duration(group: DURATION_INFORMATION_TYPE)1..1
durationType(group: DURATION_TYPE)1..1
(choice)1..1exactly one of the following branches
permanentstring1*..1
noTimeSpecifiedstring1*..1
limited(group: DURATION_TYPE_LIMITED)1*..1
limitedstring1..1
durationTime(group: SENTENCE_DURATION_TYPE)1..1
daysSTRING_NUMERIC_3_TYPE0..1pattern=\d{1,10}
monthsSTRING_NUMERIC_3_TYPE0..1pattern=\d{1,10}
yearsSTRING_NUMERIC_3_TYPE0..1pattern=\d{1,10}
startDate(group: EXACT_OR_EXPLANATION_1K)1..1
dateDATE_TYPE0..1pattern=\d{1,2}-\d{1,2}-\d{4}
(choice)1..1exactly one of the following branches
exactstring1*..1
explanationInfo(group: EXPLANATION_INFO_1K)1*..1
explanationstring1..1
provideExplanationSTRING_1K_TYPE1..1minLength=1; maxLength=1000
endDate(group: EXACT_OR_EXPLANATION_1K)0..1
dateDATE_TYPE0..1pattern=\d{1,2}-\d{1,2}-\d{4}
(choice)1..1exactly one of the following branches
exactstring1*..1
explanationInfo(group: EXPLANATION_INFO_1K)1*..1
explanationstring1..1
provideExplanationSTRING_1K_TYPE1..1minLength=1; maxLength=1000
descriptionSTRING_3K_TYPE1..1minLength=1; maxLength=3000
isReqaulificationRequiredYES_NO_TYPE0..1one of: Y, N
requalificationDetails(group: CIVIL_JUDICIAL_SANCTION_REQUALIFICATION_INFORMATION)0..n
timeToReqaulifyRetrain(group: DURATION_INFORMATION_TYPE)1..1
durationType(group: DURATION_TYPE)1..1
(choice)1..1exactly one of the following branches
permanentstring1*..1
noTimeSpecifiedstring1*..1
limited(group: DURATION_TYPE_LIMITED)1*..1
limitedstring1..1
durationTime(group: SENTENCE_DURATION_TYPE)1..1
daysSTRING_NUMERIC_3_TYPE0..1pattern=\d{1,10}
monthsSTRING_NUMERIC_3_TYPE0..1pattern=\d{1,10}
yearsSTRING_NUMERIC_3_TYPE0..1pattern=\d{1,10}
typeRequiredSTRING_3K_TYPE1..1minLength=1; maxLength=3000
conditionState(group: CONDITION_STATE_10K)1..1
(choice)1..1exactly one of the following branches
satisfiedDATE_TYPE1*..1pattern=\d{1,2}-\d{1,2}-\d{4}
notSatisfiedSTRING_10K_TYPE1*..1minLength=1; maxLength=10000
monetarySanctions(group: CIVIL_JUDICIAL_MONETARY_SANCTION)0..1
amountOrderedDECIMAL_TYPE16_21..1totalDigits=16; fractionDigits=2; minInclusive=0; pattern=\d{0,14}\.\d\d
waivedPortionDECIMAL_TYPE16_20..1totalDigits=16; fractionDigits=2; minInclusive=0; pattern=\d{0,14}\.\d\d
finalAmountDECIMAL_TYPE16_2_NEGATIVE1..1totalDigits=18; fractionDigits=2; pattern=[\+\-]?\d{0,16}\.\d\d
paymentState(group: CONDITION_STATE_1K)1..1
(choice)1..1exactly one of the following branches
satisfiedDATE_TYPE1*..1pattern=\d{1,2}-\d{1,2}-\d{4}
notSatisfiedSTRING_1K_TYPE1*..1minLength=1; maxLength=1000
totalAmountOrderedDECIMAL_TYPE16_20..1totalDigits=16; fractionDigits=2; minInclusive=0; pattern=\d{0,14}\.\d\d
drpRemoveReason(group: DRP_REMOVE_REASON_1K)0..1
(choice)1..1exactly one of the following branches
isRegisteredstring1*..1
isFiledError(group: FILEDERROR_1K)1*..1
explainTheCircumstancesSTRING_1K_TYPE1..1minLength=1; maxLength=1000
isOlderThan10Years(group: ORDERTHAN10YEARS_1K)1*..1
explainTheCircumstancesSTRING_1K_TYPE0..1minLength=1; maxLength=1000
apInfo(group: CIVIL_JUDICIAL_ASSOCIATED_PERSONS_INFORMATION_CONTAINER)0..1
associatedPerson(group: CIVIL_JUDICIAL_ASSOCIATED_PERSON_INFORMATION)1..500
apType(group: ASSOCIATED_PERSON_TYPE)1..1
(choice)1..1exactly one of the following branches
firmInfoENTITY_NAME_256_TYPE1*..1minLength=1; maxLength=256; pattern=([\w\s!\\#$(),.:;=@\-{}|/&]+)
naturalPersonInfo(group: INDIVIDUAL_NAME_TYPE)1*..1
firstNameSTRING_50_TYPE0..1minLength=1; maxLength=50
middleNameSTRING_30_TYPE0..1minLength=1; maxLength=30
lastNameSTRING_50_TYPE0..1minLength=1; maxLength=50
suffixSTRING_10_TYPE0..1minLength=1; maxLength=10
registrationInfo(group: SEC_REGISTERED_INFO)1..1
isSECRegisteredYES_NO_TYPE1..1one of: Y, N
secRegistrationNumberSTRING_150_TYPE0..1minLength=1; maxLength=150
crdNumberCRD_NUMBER_TYPE0..1minLength=1; maxLength=9
drpRemovalInformation(group: ASSOCIATED_PERSON_DRP_REMOVAL_INFORMATION_10K)0..1
(choice)1..1exactly one of the following branches
apNotAssociatedstring1*..1
eventResolvedstring1*..1
isFiledError(group: FILEDERROR_10K)1*..1
explainTheCircumstancesSTRING_10K_TYPE1..1minLength=1; maxLength=10000
drpInfo(group: CIVIL_JUDICIAL_DRP_DETAILS)1..1
(choice)1..1exactly one of the following branches
filedDisclosre(group: FILED_DRP)1*..1
advBDU4Filing(group: ADV_BD_U4_FILING)0..1
nameSTRING_256_TYPE1..1minLength=1; maxLength=256
crdNumberCRD_NUMBER_TYPE1..1minLength=1; maxLength=9
disclosureNumberSTRING_256_TYPE1..1minLength=1; maxLength=256
maFiling(group: MA_FILING)0..1
nameSTRING_256_TYPE1..1minLength=1; maxLength=256
regNumberFILE_NUMBER_TYPE1..1pattern=\d{1,3}-\d{1,8}-[a-zA-Z0-9]{1,4}|\d{1,3}-\d{1,8}|24R-\d{1,8}-[a-zA-Z0-9]{1,4}|24R-\d{1,8}
drpDateDATE_TYPE1..1pattern=\d{1,2}-\d{1,2}-\d{4}
accessionNumberACCESSION_NUMBER_TYPE1..1pattern=[*]{0}|[0-9]{1,10}\-[0-9]{1,2}\-[0-9]{1,6}
matFiling(group: MAT_FILING)0..1
nameSTRING_256_TYPE1..1minLength=1; maxLength=256
regNumberFILE_NUMBER_TYPE1..1pattern=\d{1,3}-\d{1,8}-[a-zA-Z0-9]{1,4}|\d{1,3}-\d{1,8}|24R-\d{1,8}-[a-zA-Z0-9]{1,4}|24R-\d{1,8}
dateDATE_TYPE1..1pattern=\d{1,2}-\d{1,2}-\d{4}
maiFiling(group: MA_FILING)0..1
nameSTRING_256_TYPE1..1minLength=1; maxLength=256
regNumberFILE_NUMBER_TYPE1..1pattern=\d{1,3}-\d{1,8}-[a-zA-Z0-9]{1,4}|\d{1,3}-\d{1,8}|24R-\d{1,8}-[a-zA-Z0-9]{1,4}|24R-\d{1,8}
drpDateDATE_TYPE1..1pattern=\d{1,2}-\d{1,2}-\d{4}
accessionNumberACCESSION_NUMBER_TYPE1..1pattern=[*]{0}|[0-9]{1,10}\-[0-9]{1,2}\-[0-9]{1,6}
detailedDisclosure(group: CIVIL_JUDICIAL_DETAILED_DISCLOSURE)1*..1
baseInformation(group: BASE_DRP_INFORMATION)1..1
chargesBroughtIn(group: CHARGES_WHERE_BROUGHT_IN)0..1
nameSTRING_256_TYPE0..1minLength=1; maxLength=256
docketOrCaseNoSTRING_256_TYPE1..1minLength=1; maxLength=256
address(group: ADDRESS_TYPE)1..1
street1STREET_TYPE1..1minLength=1; maxLength=40
street2STREET_TYPE0..1minLength=1; maxLength=40
citySTRING_30_TYPE1..1minLength=1; maxLength=30
stateOrCountrySTATE_COUNTRY_CODE1..1one of 331 codes (AL, AK, AZ, AR, CA, …; full list in the XSD)
zipCodeZIP_TYPE1..1minLength=1; maxLength=10; pattern=[0-9A-Za-z #\-]*
status(group: EVENT_STATUS_TYPE)1..1
(choice)1..1exactly one of the following branches
pendingstring1*..1
onAppealstring1*..1
finalstring1*..1
summarySTRING_10K_TYPE0..1minLength=1; maxLength=10000
statusDateInfo(group: EXACT_OR_EXPLANATION_10K)0..1
dateDATE_TYPE0..1pattern=\d{1,2}-\d{1,2}-\d{4}
(choice)1..1exactly one of the following branches
exactstring1*..1
explanationInfo(group: EXPLANATION_INFO_10K)1*..1
explanationstring1..1
provideExplanationSTRING_10K_TYPE1..1minLength=1; maxLength=10000
initiatedBy(group: CIVIL_JUDICIAL_ACTION_INITIATED_BY_TYPES)1..1
initiatorCIVIL_JUDICIAL_ACTION_INITIATED_BY_TYPE1..10one of: SEC, Other Federal Authority, State, SRO, Foreign Financial Regulatory Authority, Commodities Exchange, Private Plantiff, CFTC, Municipal Advisory Firm, Other
otherSTRING_256_TYPE0..1minLength=1; maxLength=256
plantiffsInformation(group: PLANTIFFS_INFORMATION_CONTAINER)0..1
plantiffNameSTRING_3K_TYPE0..1minLength=1; maxLength=3000
isMissingPlantiffsYES_NO_TYPE1..1one of: Y, N
defendantInformation(group: DEFENDANTS_INFORMATION_CONTAINER)1..1
defendantNameSTRING_1K_TYPE1..1minLength=1; maxLength=1000
isADefendantYES_NO_TYPE1..1one of: Y, N
involementInformationSTRING_256_TYPE0..1minLength=1; maxLength=256
sanctionsReliefSought(group: CIVIL_JUDICIAL_SANCTIONS_TYPES)1..1
sanctionReliefCIVIL_JUDICIAL_SANCTIONS1..21SANCTION_TYPE (SANCTION_BASE_TYPE (one of: BarPermanent, BarTemporary, Censure, CivilAdminPenaltyFine, Denial, Expulsion, Prohibition, Reprimand, Rescission, Requalification, Revocation, Suspension, Undertaking, Other) or PRINCIPAL_SANCTION_RELIEF_BASE (one of: Cease and Desist, Disgorgement, Injunction, Restitution)) or CIVIL_JUDICIAL_SANCTIONS_TYPE (one of: Exemption, Money Damage(s) (Private/Civil Complaint), Restraining Order)
otherSTRING_10K_TYPE0..1minLength=1; maxLength=10000
notificationServedInformation(group: EXACT_OR_EXPLANATION_10K)1..1
dateDATE_TYPE0..1pattern=\d{1,2}-\d{1,2}-\d{4}
(choice)1..1exactly one of the following branches
exactstring1*..1
explanationInfo(group: EXPLANATION_INFO_10K)1*..1
explanationstring1..1
provideExplanationSTRING_10K_TYPE1..1minLength=1; maxLength=10000
courtBroughIn(group: CIVIL_JUDICIAL_COURT)1..1
civilJudicialCourt(group: CIVIL_JUDICIAL_COURT_TYPES)1..1
(choice)1..1exactly one of the following branches
fedCourtstring1*..1
milCourtstring1*..1
stateCourtstring1*..1
foreignCourtstring1*..1
intnlCourtstring1*..1
otherstring1*..1
otherSTRING_256_TYPE0..1minLength=1; maxLength=256
principalProductTypes(group: PRINCIPAL_PRODUCT_TYPES)1..1
productPRINCIPAL_PRODUCT_TYPE1..35PRINCIPAL_PRODUCT_OPTION_TYPE (one of: Annuity(ies) - Fixed, Annuity(ies) - Variable, CD(s), Commodity Option(s), Debt - Asset Backed, Debt - Corporate, Debt - Government, Debt - Municipal, Derivative(s), Direct Investment(s) - DPP & LP Interest(s), Equity - OTC, Equity Listed (Common & Preferred Stock), Futures - Commodity, Futures - Financial, Index Option(s), Insurance, Investment Contract(s), Money Market Fund(s), Mutual Fund(s), No Product, Options, Penny Sock(s), Unit Investment Trust(s)) or PRINCIPAL_PRODUCT_TYPE_EXTENDED (one of: AnnuityCharitable, BankingProduct, EquipmentLeasing, OilAndGas, PrimeBankInstrument, Promissory Note, Real Estate Security, Security Futures, Security-based Swap, Swap, Viatical Settlement, Other)
productOtherSTRING_256_TYPE0..1minLength=1; maxLength=256
otherProductTypesSTRING_1K_TYPE0..1minLength=1; maxLength=1000
allegationsDescriptionSTRING_10K_TYPE1..1minLength=1; maxLength=10000
pendingInformation(group: CIVIL_JUDICIAL_PENDING_INFORMATION)0..1
servedInformation(group: EXACT_OR_EXPLANATION_10K)1..1
dateDATE_TYPE0..1pattern=\d{1,2}-\d{1,2}-\d{4}
(choice)1..1exactly one of the following branches
exactstring1*..1
explanationInfo(group: EXPLANATION_INFO_10K)1*..1
explanationstring1..1
provideExplanationSTRING_10K_TYPE1..1minLength=1; maxLength=10000
limitationsRestrictionsSTRING_3K_TYPE0..1minLength=1; maxLength=3000
appealInformation(group: CIVIL_JUDICIAL_APPEAL_INFORMATION_TYPE)0..1
appealBroughtInInformation(group: CHARGES_WHERE_BROUGHT_IN)0..1
nameSTRING_256_TYPE0..1minLength=1; maxLength=256
docketOrCaseNoSTRING_256_TYPE1..1minLength=1; maxLength=256
address(group: ADDRESS_TYPE)1..1
street1STREET_TYPE1..1minLength=1; maxLength=40
street2STREET_TYPE0..1minLength=1; maxLength=40
citySTRING_30_TYPE1..1minLength=1; maxLength=30
stateOrCountrySTATE_COUNTRY_CODE1..1one of 331 codes (AL, AK, AZ, AR, CA, …; full list in the XSD)
zipCodeZIP_TYPE1..1minLength=1; maxLength=10; pattern=[0-9A-Za-z #\-]*
docketNameSTRING_256_TYPE0..1minLength=1; maxLength=256
dateInformation(group: EXACT_OR_EXPLANATION_3K)0..1
dateDATE_TYPE0..1pattern=\d{1,2}-\d{1,2}-\d{4}
(choice)1..1exactly one of the following branches
exactstring1*..1
explanationInfo(group: EXPLANATION_INFO_3K)1*..1
explanationstring1..1
provideExplanationSTRING_3K_TYPE1..1minLength=1; maxLength=3000
detailsSTRING_10K_TYPE0..1minLength=1; maxLength=10000
limitationsRestrictionsSTRING_1K_TYPE0..1minLength=1; maxLength=1000
resolutionInformation(group: CIVIL_JUDICIAL_RESOLUTION_INFORMATION)0..1
date(group: EXACT_OR_EXPLANATION_1K)1..1
dateDATE_TYPE0..1pattern=\d{1,2}-\d{1,2}-\d{4}
(choice)1..1exactly one of the following branches
exactstring1*..1
explanationInfo(group: EXPLANATION_INFO_1K)1*..1
explanationstring1..1
provideExplanationSTRING_1K_TYPE1..1minLength=1; maxLength=1000
types(group: CIVIL_JUDICIAL_RESOLUTION)1..1
judgementCIVIL_JUDICIAL_RESOLUTION_TYPES1..12REGULATORY_RESOLUTION_TYPE (one of: Acceptance Waiver & Consent (AWC), Consent, Decision, Decision & Order of Offer of Settlement, Dismissed, Judgement Rendered, Order, Settled, Opinion, Withdrawn, Stipulation and Consent, Other, Appealed) or CIVIL_JUDICIAL_RESOLUTION_TYPE (one of: Exemption, Restraining Order, Money Damage(s) (Private/Civil Complaint), Opinion)
judgementOtherSTRING_1K_TYPE0..1minLength=1; maxLength=1000
appealJudgementAPPEAL_EXTENDED_TYPES0..5APPEAL_TYPES (one of: Affirmed, Vacated & Returned For Further Action, Vacated / Final, Other) or APPEAL_EXTENDED_TYPE (one of: Vacated Nunc Pro Tunc / ab initio)
appealJudgementOtherSTRING_1K_TYPE0..1minLength=1; maxLength=1000
explanationSTRING_10K_TYPE0..1minLength=1; maxLength=10000
isFinalOrderYES_NO_TYPE0..1one of: Y, N
details(group: CIVIL_JUDICIAL_RESOLUTION_DETAILS)1..1
sanctionsOrderedYES_NO_TYPE1..1one of: Y, N
sanctions(group: CIVIL_JUDICIAL_SANCTIONS_TYPES)0..1
sanctionReliefCIVIL_JUDICIAL_SANCTIONS1..21SANCTION_TYPE (SANCTION_BASE_TYPE (one of: BarPermanent, BarTemporary, Censure, CivilAdminPenaltyFine, Denial, Expulsion, Prohibition, Reprimand, Rescission, Requalification, Revocation, Suspension, Undertaking, Other) or PRINCIPAL_SANCTION_RELIEF_BASE (one of: Cease and Desist, Disgorgement, Injunction, Restitution)) or CIVIL_JUDICIAL_SANCTIONS_TYPE (one of: Exemption, Money Damage(s) (Private/Civil Complaint), Restraining Order)
otherSTRING_10K_TYPE0..1minLength=1; maxLength=10000
sanctionDetails(group: CIVIL_JUDICIAL_SANCTION_DETAILS)0..1
barred(group: SANCTION_BASE_INFORMATION_10K)0..n
duration(group: DURATION_INFORMATION_TYPE)1..1
durationType(group: DURATION_TYPE)1..1
(choice)1..1exactly one of the following branches
permanentstring1*..1
noTimeSpecifiedstring1*..1
limited(group: DURATION_TYPE_LIMITED)1*..1
limitedstring1..1
durationTime(group: SENTENCE_DURATION_TYPE)1..1
daysSTRING_NUMERIC_3_TYPE0..1pattern=\d{1,10}
monthsSTRING_NUMERIC_3_TYPE0..1pattern=\d{1,10}
yearsSTRING_NUMERIC_3_TYPE0..1pattern=\d{1,10}
startDate(group: EXACT_OR_EXPLANATION_1K)1..1
dateDATE_TYPE0..1pattern=\d{1,2}-\d{1,2}-\d{4}
(choice)1..1exactly one of the following branches
exactstring1*..1
explanationInfo(group: EXPLANATION_INFO_1K)1*..1
explanationstring1..1
provideExplanationSTRING_1K_TYPE1..1minLength=1; maxLength=1000
endDate(group: EXACT_OR_EXPLANATION_1K)0..1
dateDATE_TYPE0..1pattern=\d{1,2}-\d{1,2}-\d{4}
(choice)1..1exactly one of the following branches
exactstring1*..1
explanationInfo(group: EXPLANATION_INFO_1K)1*..1
explanationstring1..1
provideExplanationSTRING_1K_TYPE1..1minLength=1; maxLength=1000
descriptionSTRING_10K_TYPE1..1minLength=1; maxLength=10000
enjoined(group: SANCTION_BASE_INFORMATION_3K)0..n
duration(group: DURATION_INFORMATION_TYPE)1..1
durationType(group: DURATION_TYPE)1..1
(choice)1..1exactly one of the following branches
permanentstring1*..1
noTimeSpecifiedstring1*..1
limited(group: DURATION_TYPE_LIMITED)1*..1
limitedstring1..1
durationTime(group: SENTENCE_DURATION_TYPE)1..1
daysSTRING_NUMERIC_3_TYPE0..1pattern=\d{1,10}
monthsSTRING_NUMERIC_3_TYPE0..1pattern=\d{1,10}
yearsSTRING_NUMERIC_3_TYPE0..1pattern=\d{1,10}
startDate(group: EXACT_OR_EXPLANATION_1K)1..1
dateDATE_TYPE0..1pattern=\d{1,2}-\d{1,2}-\d{4}
(choice)1..1exactly one of the following branches
exactstring1*..1
explanationInfo(group: EXPLANATION_INFO_1K)1*..1
explanationstring1..1
provideExplanationSTRING_1K_TYPE1..1minLength=1; maxLength=1000
endDate(group: EXACT_OR_EXPLANATION_1K)0..1
dateDATE_TYPE0..1pattern=\d{1,2}-\d{1,2}-\d{4}
(choice)1..1exactly one of the following branches
exactstring1*..1
explanationInfo(group: EXPLANATION_INFO_1K)1*..1
explanationstring1..1
provideExplanationSTRING_1K_TYPE1..1minLength=1; maxLength=1000
descriptionSTRING_3K_TYPE1..1minLength=1; maxLength=3000
suspended(group: SANCTION_BASE_INFORMATION_3K)0..n
duration(group: DURATION_INFORMATION_TYPE)1..1
durationType(group: DURATION_TYPE)1..1
(choice)1..1exactly one of the following branches
permanentstring1*..1
noTimeSpecifiedstring1*..1
limited(group: DURATION_TYPE_LIMITED)1*..1
limitedstring1..1
durationTime(group: SENTENCE_DURATION_TYPE)1..1
daysSTRING_NUMERIC_3_TYPE0..1pattern=\d{1,10}
monthsSTRING_NUMERIC_3_TYPE0..1pattern=\d{1,10}
yearsSTRING_NUMERIC_3_TYPE0..1pattern=\d{1,10}
startDate(group: EXACT_OR_EXPLANATION_1K)1..1
dateDATE_TYPE0..1pattern=\d{1,2}-\d{1,2}-\d{4}
(choice)1..1exactly one of the following branches
exactstring1*..1
explanationInfo(group: EXPLANATION_INFO_1K)1*..1
explanationstring1..1
provideExplanationSTRING_1K_TYPE1..1minLength=1; maxLength=1000
endDate(group: EXACT_OR_EXPLANATION_1K)0..1
dateDATE_TYPE0..1pattern=\d{1,2}-\d{1,2}-\d{4}
(choice)1..1exactly one of the following branches
exactstring1*..1
explanationInfo(group: EXPLANATION_INFO_1K)1*..1
explanationstring1..1
provideExplanationSTRING_1K_TYPE1..1minLength=1; maxLength=1000
descriptionSTRING_3K_TYPE1..1minLength=1; maxLength=3000
isReqaulificationRequiredYES_NO_TYPE0..1one of: Y, N
requalificationDetails(group: CIVIL_JUDICIAL_SANCTION_REQUALIFICATION_INFORMATION)0..n
timeToReqaulifyRetrain(group: DURATION_INFORMATION_TYPE)1..1
durationType(group: DURATION_TYPE)1..1
(choice)1..1exactly one of the following branches
permanentstring1*..1
noTimeSpecifiedstring1*..1
limited(group: DURATION_TYPE_LIMITED)1*..1
limitedstring1..1
durationTime(group: SENTENCE_DURATION_TYPE)1..1
daysSTRING_NUMERIC_3_TYPE0..1pattern=\d{1,10}
monthsSTRING_NUMERIC_3_TYPE0..1pattern=\d{1,10}
yearsSTRING_NUMERIC_3_TYPE0..1pattern=\d{1,10}
typeRequiredSTRING_3K_TYPE1..1minLength=1; maxLength=3000
conditionState(group: CONDITION_STATE_10K)1..1
(choice)1..1exactly one of the following branches
satisfiedDATE_TYPE1*..1pattern=\d{1,2}-\d{1,2}-\d{4}
notSatisfiedSTRING_10K_TYPE1*..1minLength=1; maxLength=10000
monetarySanctions(group: CIVIL_JUDICIAL_MONETARY_SANCTION)0..1
amountOrderedDECIMAL_TYPE16_21..1totalDigits=16; fractionDigits=2; minInclusive=0; pattern=\d{0,14}\.\d\d
waivedPortionDECIMAL_TYPE16_20..1totalDigits=16; fractionDigits=2; minInclusive=0; pattern=\d{0,14}\.\d\d
finalAmountDECIMAL_TYPE16_2_NEGATIVE1..1totalDigits=18; fractionDigits=2; pattern=[\+\-]?\d{0,16}\.\d\d
paymentState(group: CONDITION_STATE_1K)1..1
(choice)1..1exactly one of the following branches
satisfiedDATE_TYPE1*..1pattern=\d{1,2}-\d{1,2}-\d{4}
notSatisfiedSTRING_1K_TYPE1*..1minLength=1; maxLength=1000
totalAmountOrderedDECIMAL_TYPE16_20..1totalDigits=16; fractionDigits=2; minInclusive=0; pattern=\d{0,14}\.\d\d
scheduleD(group: SCHEDULE_D_ITEMS)0..1
type(group: ADD_DELETE_AMEND)0..1
(choice)1..1exactly one of the following branches
addstring1*..1
deletestring1*..1
amendstring1*..1
newAddstring1*..1
miscSTRING_10K_TYPE0..1minLength=1; maxLength=10000
maSelfCertification(group: MA_EXECUTION)0..1
signature(group: SIGNATURE_TYPE_3)1..1
signatureSTRING_150_TYPE1..1minLength=1; maxLength=150
signerNameSTRING_150_TYPE1..1minLength=1; maxLength=150
titleSTRING_150_TYPE1..1minLength=1; maxLength=150
dateDATE_TYPE1..1pattern=\d{1,2}-\d{1,2}-\d{4}
crdNumberCRD_NUMBER_TYPE0..1minLength=1; maxLength=9
maExecutionPage(group: MA_EXECUTION)1..1
signature(group: SIGNATURE_TYPE_3)1..1
signatureSTRING_150_TYPE1..1minLength=1; maxLength=150
signerNameSTRING_150_TYPE1..1minLength=1; maxLength=150
titleSTRING_150_TYPE1..1minLength=1; maxLength=150
dateDATE_TYPE1..1pattern=\d{1,2}-\d{1,2}-\d{4}
crdNumberCRD_NUMBER_TYPE0..1minLength=1; maxLength=9
maNRSelfCertification(group: MA_EXECUTION)0..1
signature(group: SIGNATURE_TYPE_3)1..1
signatureSTRING_150_TYPE1..1minLength=1; maxLength=150
signerNameSTRING_150_TYPE1..1minLength=1; maxLength=150
titleSTRING_150_TYPE1..1minLength=1; maxLength=150
dateDATE_TYPE1..1pattern=\d{1,2}-\d{1,2}-\d{4}
crdNumberCRD_NUMBER_TYPE0..1minLength=1; maxLength=9
maNRExecutionPage(group: MA_EXECUTION)0..1
signature(group: SIGNATURE_TYPE_3)1..1
signatureSTRING_150_TYPE1..1minLength=1; maxLength=150
signerNameSTRING_150_TYPE1..1minLength=1; maxLength=150
titleSTRING_150_TYPE1..1minLength=1; maxLength=150
dateDATE_TYPE1..1pattern=\d{1,2}-\d{1,2}-\d{4}
crdNumberCRD_NUMBER_TYPE0..1minLength=1; maxLength=9
documents(group: EDGAR_DOCUMENT_TYPE)0..1000Document names must be lower case and no longer than thirty-two (32) characters in length. The names must start with a letter (a-z) and may contain numbers (0-9) with no spaces. Document names may contain one period (.), one hyphen (-), and one underscore (_) character and must end with *.htm, *.txt, *.pdf, *.fil, *.jpg, *.gif, *.xml or *.xsd extensions.
conformedNameDOCUMENT_NAME_TYPE1..1minLength=1; maxLength=32; pattern=([a-zA-Z0-9]+[\w\._\-]*)([\.](([hH][tT][mM])|([tT][xX][tT])|([pP][dD][fF])|([xX][mM][lL])|([jJ][pP][gG])|([gG][iI][fF])|([fF][iI][lL])|([xX][sS][dD])))
conformedDocumentTypeSUB_DOCUMENT_TYPE1..1SUBMISSION_TYPE (one of 448 codes (10-12B, 10-12B/A, 10-12G, 10-12G/A, 10-D, …; full list in the XSD)) or DOCUMENT_TYPE (BASE_DOCUMENT_TYPE (one of 374 codes (CORRESP, COVER, EU-1, EX-1, EX-1.01, …; full list in the XSD)) or OPEN_DOCUMENT_TYPE (minLength=4; maxLength=128))
relatedFormTypeRELATED_FORM_TYPE0..1one of: 10-D, 10-D/A, ABS-EE, ABS-EE/A
descriptionDOCUMENT_DESCRIPTION_TYPE0..1maxLength=255; minLength=1; pattern=[A-Za-z0-9!#-$%():;'@\*\+\-/=\?\^_~{|},. \\\s<>&"\[\]]{1,255}
contentsDOCUMENT_MIME_BLOCK_TYPE1..1minLength=1
controls(group: FORM_CONTROLS)0..1
isSolePropietorYES_NO_TYPE0..1one of: Y, N
hasNameChangeYES_NO_TYPE0..1one of: Y, N
hasDBANameYES_NO_TYPE0..1one of: Y, N
hasPreviousDBANameYES_NO_TYPE0..1one of: Y, N
hasAdditionalDBANamesYES_NO_TYPE0..1one of: Y, N
hasMATRegYES_NO_TYPE0..1one of: Y, N
additionalRegsYES_NO_TYPE0..1one of: Y, N
additionalOfficesYES_NO_TYPE0..1one of: Y, N
hasMailingAddressYES_NO_TYPE0..1one of: Y, N
hasAdditionalWebsitesYES_NO_TYPE0..1one of: Y, N
hasBooksRecordsYES_NO_TYPE0..1one of: Y, N
isRegisteredFFRAYES_NO_TYPE0..1one of: Y, N
isAffiliatedOtherBusYES_NO_TYPE0..1one of: Y, N
independentBusinessEmployeeYES_NO_TYPE0..1one of: Y, N
receiveCompensationForMAAFromOtherClientsYES_NO_TYPE0..1one of: Y, N
isSucceedingApplicantYES_NO_TYPE0..1one of: Y, N
isCPForApplicantPolicyYES_NO_TYPE0..1one of: Y, N
isPRCompanyUnder1215YES_NO_TYPE0..1one of: Y, N
isCPForFirmYES_NO_TYPE0..1one of: Y, N
hasOtherProductTypesYES_NO_TYPE0..1one of: Y, N
wasSanctionsOrderedYES_NO_TYPE0..1one of: Y, N
moneytarySanctionsYES_NO_TYPE0..1one of: Y, N
hasScheduleBYES_NO_TYPE0..1one of: Y, N
isSection12Or15ReportingCompanyYES_NO_TYPE0..1one of: Y, N
isOtherNonMAABuisinesssPrimaryYES_NO_TYPE0..1one of: Y, N
edgarSubmission (eis_MA_I.xsd, 1,282 fields)
Field (path)TypeOccursAllowed valuesSEC's description
edgarSubmission(group)1..1
schemaVersionSCHEMA_VERSION_TYPE0..1length=5
headerData(group: HEADER_DATA)1..1
submissionTypeSUBMISSION_TYPE1..1one of: MA-I, MA-I-A, MA-I/A
filerInfo(group: HEADER_DATA)1..1
liveTestFlagLIVE_TEST_TYPE0..1one of: LIVE, TEST
filer(group: FILER_TYPE)1..1
filerIdCIK_TYPE1..1pattern=\d{1,10}
filerCccCCC_TYPE1..1length=8
filerFileNumberFILE_NUMBER_TYPE0..1pattern=\d{1,3}-\d{1,8}-[a-zA-Z0-9]{1,4}|\d{1,3}-\d{1,8}|24R-\d{1,8}-[a-zA-Z0-9]{1,4}|24R-\d{1,8}
contact(group: CONTACT_TYPE)1..1
nameNAME_TYPE0..1minLength=1; maxLength=30; pattern=[A-Za-z0-9!#-$%():;'@\*\+\-/=\?\^_~{|},. \\\s<>&"\[\]]{1,30}
phoneNumberPHONE_TYPE0..1minLength=1; maxLength=20; pattern=[a-zA-Z0-9\-]{1,20}
contactEmailINTERNET_ADDRESS_TYPE1..1maxLength=80; minLength=4; pattern=([a-zA-Z0-9_\-\.]+)@((\[[0-9]{1,3}\.[0-9]{1,3}\.[0-9]{1,3}\.)|(([a-zA-Z0-9\-]+\.)+))([a-zA-Z]{2,7}|[0-9]{1,3})(\]?)
notifications(group: NOTIFICATION_TYPE)0..1
internetNotificationAddressINTERNET_ADDRESS_TYPE1..nmaxLength=80; minLength=4; pattern=([a-zA-Z0-9_\-\.]+)@((\[[0-9]{1,3}\.[0-9]{1,3}\.[0-9]{1,3}\.)|(([a-zA-Z0-9\-]+\.)+))([a-zA-Z]{2,7}|[0-9]{1,3})(\]?)
periodYEAR_TYPE0..1pattern=\d{4,4}
formData(group: FORM_DATA)1..1
isAmendmentYES_NO_TYPE0..1one of: Y, N
previousAccessionNumberACCESSION_NUMBER_TYPE0..1pattern=[*]{0}|[0-9]{1,10}\-[0-9]{1,2}\-[0-9]{1,6}
isIndividualYES_NO_TYPE0..1one of: Y, N
applicantName(group: INDIVIDUAL_NAME_TYPE)1..1
firstNameSTRING_50_TYPE0..1minLength=1; maxLength=50
middleNameSTRING_30_TYPE0..1minLength=1; maxLength=30
lastNameSTRING_50_TYPE0..1minLength=1; maxLength=50
suffixSTRING_10_TYPE0..1minLength=1; maxLength=10
applicantCrdNumCRD_NUMBER_TYPE0..1minLength=1; maxLength=9
hasMoreThanOneAdvisoryFirmsYES_NO_TYPE0..1one of: Y, N
noOfAdvisoryFirmsNUMBER_TYPE1..1totalDigits=2; minInclusive=1
municipalAdvisorOffices(group: MUNICIPAL_ADVISORY_FIRM_INFO_LIST)0..1
municipalAdvisorOffice(group: MUNICIPAL_ADVISORY_FIRM_INFO)1..n
municipalFirm(group: MUNICIPAL_ADVISORY_FIRM_INFORMATION)1..1
municipalFiler(group: MAI_FILER_TYPE)0..1
filerIdCIK_TYPE1..1pattern=\d{1,10}
municipalFirmNameENTITY_NAME_TYPE1..1minLength=1; maxLength=150; pattern=([A-Za-z0-9\s!\\#$(),.:;=@'\-{}|/&]+)
municipalDbaNameSTRING_256_TYPE0..1minLength=1; maxLength=256
recentEmploymentCommencedDateDATE_TYPE1..1pattern=\d{1,2}-\d{1,2}-\d{4}
isIndependentRelatioshipYES_NO_TYPE1..1one of: Y, N
maRegistration(group: MA_REGISTRATION)1..1
(choice)1..1exactly one of the following branches
secRegistration(group: REG_TYPE_1)1*..1
fileNumberFILE_NUMBER_TYPE0..1pattern=\d{1,3}-\d{1,8}-[a-zA-Z0-9]{1,4}|\d{1,3}-\d{1,8}|24R-\d{1,8}-[a-zA-Z0-9]{1,4}|24R-\d{1,8}
notSecRegistered(group: FORM_FILED_INFO)1*..1
(choice)1..1exactly one of the following branches
hasFiled(group: HAS_FILED_MA)1*..1
filingDateDATE_TYPE1..1pattern=\d{1,2}-\d{1,2}-\d{4}
cikCIK_TYPE1..1pattern=\d{1,10}
explanationSTRING_256_TYPE1*..1minLength=1; maxLength=256
advisorOffices(group: MUNICIPAL_ADVISORY_OFFICES)0..1
advisorOffice(group: ADDRESS_TYPE_2)1..n
locationInfoLOCATED_AT_SUPERVISED_FROM1..2one of: LOCATED, SUPERVISED
startDateDATE_TYPE1..1pattern=\d{1,2}-\d{1,2}-\d{4}
addressInfo(group: ADDRESS_TYPE)0..1
residentialAddressFlagYES_NO_TYPE0..1one of: Y, N
address(group: ADDRESS_TYPE)1..1
street1STREET_TYPE1..1minLength=1; maxLength=40
street2STREET_TYPE0..1minLength=1; maxLength=40
citySTRING_30_TYPE1..1minLength=1; maxLength=30
stateOrCountrySTATE_COUNTRY_CODE1..1one of 331 codes (AL, AK, AZ, AR, CA, …; full list in the XSD)
zipCodeZIP_TYPE1..1minLength=1; maxLength=10; pattern=[0-9A-Za-z #\-]*
otherNames(group: OTHER_NAMES)0..1
otherName(group: INDIVIDUAL_NAME_TYPE)1..10
firstNameSTRING_50_TYPE0..1minLength=1; maxLength=50
middleNameSTRING_30_TYPE0..1minLength=1; maxLength=30
lastNameSTRING_50_TYPE0..1minLength=1; maxLength=50
suffixSTRING_10_TYPE0..1minLength=1; maxLength=10
residentialHistory(group: RESIDENTIAL_HISTORY)1..1
currentAddress(group: ADDRESS_TYPE_1)0..1
startDateDATE_TYPE_21..1pattern=\d{1,2}-\d{4}
endDateDATE_TYPE_20..1pattern=\d{1,2}-\d{4}
addressInfo(group: ADDRESS_TYPE)1..1
street1STREET_TYPE1..1minLength=1; maxLength=40
street2STREET_TYPE0..1minLength=1; maxLength=40
citySTRING_30_TYPE1..1minLength=1; maxLength=30
stateOrCountrySTATE_COUNTRY_CODE1..1one of 331 codes (AL, AK, AZ, AR, CA, …; full list in the XSD)
zipCodeZIP_TYPE1..1minLength=1; maxLength=10; pattern=[0-9A-Za-z #\-]*
priorAddresses(group: PRIOR_ADDRESSES)0..1
priorAddress(group: ADDRESS_TYPE_1)1..n
startDateDATE_TYPE_21..1pattern=\d{1,2}-\d{4}
endDateDATE_TYPE_20..1pattern=\d{1,2}-\d{4}
addressInfo(group: ADDRESS_TYPE)1..1
street1STREET_TYPE1..1minLength=1; maxLength=40
street2STREET_TYPE0..1minLength=1; maxLength=40
citySTRING_30_TYPE1..1minLength=1; maxLength=30
stateOrCountrySTATE_COUNTRY_CODE1..1one of 331 codes (AL, AK, AZ, AR, CA, …; full list in the XSD)
zipCodeZIP_TYPE1..1minLength=1; maxLength=10; pattern=[0-9A-Za-z #\-]*
employmentHistory(group: EMPLOYMENT_HISTORY)1..1
currentEmployer(group: EMPLOYMENT_INFO)1..1
startDateDATE_TYPE_21..1pattern=\d{1,2}-\d{4}
endDateDATE_TYPE_20..1pattern=\d{1,2}-\d{4}
nameSTRING_256_TYPE1..1minLength=1; maxLength=256
addressInfo(group: ADDRESS_TYPE_3)1..1
citySTRING_30_TYPE1..1minLength=1; maxLength=30
stateOrCountry(group: STATE_COUNTRY_TYPE)1..1
stateOrCountrySTATE_COUNTRY_CODE1..1one of 331 codes (AL, AK, AZ, AR, CA, …; full list in the XSD)
zipCodeZIP_TYPE1..1minLength=1; maxLength=10; pattern=[0-9A-Za-z #\-]*
isRelatedToMunicipalAdvisorYES_NO_TYPE1..1one of: Y, N
isRelatedToInvestmentYES_NO_TYPE1..1one of: Y, N
positionDescriptionSTRING_256_TYPE1..1minLength=1; maxLength=256
priorEmployers(group: PRIOR_EMPLOYERS)0..1
priorEmployer(group: EMPLOYMENT_INFO)1..n
startDateDATE_TYPE_21..1pattern=\d{1,2}-\d{4}
endDateDATE_TYPE_20..1pattern=\d{1,2}-\d{4}
nameSTRING_256_TYPE1..1minLength=1; maxLength=256
addressInfo(group: ADDRESS_TYPE_3)1..1
citySTRING_30_TYPE1..1minLength=1; maxLength=30
stateOrCountry(group: STATE_COUNTRY_TYPE)1..1
stateOrCountrySTATE_COUNTRY_CODE1..1one of 331 codes (AL, AK, AZ, AR, CA, …; full list in the XSD)
zipCodeZIP_TYPE1..1minLength=1; maxLength=10; pattern=[0-9A-Za-z #\-]*
isRelatedToMunicipalAdvisorYES_NO_TYPE1..1one of: Y, N
isRelatedToInvestmentYES_NO_TYPE1..1one of: Y, N
positionDescriptionSTRING_256_TYPE1..1minLength=1; maxLength=256
isEngagedInOtherBusinessYES_NO_TYPE1..1one of: Y, N
otherBusinesses(group: OTHER_BUSINESSES)0..1
otherBusiness(group: OTHER_BUSINESS)1..15
startDateDATE_TYPE_21..1pattern=\d{1,2}-\d{4}
nameSTRING_256_TYPE1..1minLength=1; maxLength=256
addressInfo(group: ADDRESS_TYPE)1..1
street1STREET_TYPE1..1minLength=1; maxLength=40
street2STREET_TYPE0..1minLength=1; maxLength=40
citySTRING_30_TYPE1..1minLength=1; maxLength=30
stateOrCountrySTATE_COUNTRY_CODE1..1one of 331 codes (AL, AK, AZ, AR, CA, …; full list in the XSD)
zipCodeZIP_TYPE1..1minLength=1; maxLength=10; pattern=[0-9A-Za-z #\-]*
isRelatedToMunicipalAdvisorYES_NO_TYPE1..1one of: Y, N
isRelatedToInvestmentYES_NO_TYPE1..1one of: Y, N
natureOfBusinessSTRING_256_TYPE1..1minLength=1; maxLength=256
positionDescriptionSTRING_1K_TYPE1..1minLength=1; maxLength=1000
approximateHoursOrMonthsNO_OF_HOURS1..1totalDigits=3; minInclusive=0; maxInclusive=745
dutiesDescriptionSTRING_3K_TYPE1..1minLength=1; maxLength=3000
disclosureQuestions(group: DISCLOSURE_QUESTIONS)1..1
criminalDisclosure(group: CRIMINAL_DISCLOSURE_QUESTION)1..1
criminalDisclosureCommonQuestion(group: CRIMINAL_ACTION_DISCLOSURE)1..1
isConvictedOfFelonyYES_NO_TYPE1..1one of: Y, N
isChargedWithFelonyYES_NO_TYPE1..1one of: Y, N
isOrgConvictedOfFelonyYES_NO_TYPE1..1one of: Y, N
isOrgChargedWithFelonyYES_NO_TYPE1..1one of: Y, N
isConvictedOfMisdemeanorYES_NO_TYPE1..1one of: Y, N
isChargedWithMisdemeanorYES_NO_TYPE1..1one of: Y, N
isOrgConvictedOfMisdemeanorYES_NO_TYPE1..1one of: Y, N
isOrgChargedWithMisdemeanorYES_NO_TYPE1..1one of: Y, N
regulatoryDisclosure(group: REGULATORY_DISCLOSURE_QUESTION)1..1
regulatoryDisclosureCommonQuestion(group: REGULATORY_ACTION_DISCLOSURE)1..1
isMadeFalseStatementYES_NO_TYPE1..1one of: Y, N
isViolatedRegulationYES_NO_TYPE1..1one of: Y, N
isCauseOfDenialYES_NO_TYPE1..1one of: Y, N
isOrderAgainstYES_NO_TYPE1..1one of: Y, N
isImposedPenaltyYES_NO_TYPE1..1one of: Y, N
isUnEthicalYES_NO_TYPE1..1one of: Y, N
isFoundInViolationOfRegulationYES_NO_TYPE1..1one of: Y, N
isFoundInCauseOfDenialYES_NO_TYPE1..1one of: Y, N
isOrderAgainstActivityYES_NO_TYPE1..1one of: Y, N
isDeniedLicenseYES_NO_TYPE1..1one of: Y, N
isFoundMadeFalseStatementYES_NO_TYPE1..1one of: Y, N
isFoundInViolationOfRulesYES_NO_TYPE1..1one of: Y, N
isFoundInCauseOfSuspensionYES_NO_TYPE1..1one of: Y, N
isDiscipliendYES_NO_TYPE1..1one of: Y, N
isAuthorizedToActAttorneyYES_NO_TYPE1..1one of: Y, N
isRegulatoryComplaintYES_NO_TYPE1..1one of: Y, N
isViolatedSecurityActYES_NO_TYPE1..1one of: Y, N
isWillFullyAidedYES_NO_TYPE1..1one of: Y, N
isFailedToSuperviseYES_NO_TYPE1..1one of: Y, N
isFoundWillFullyAidedYES_NO_TYPE1..1one of: Y, N
isAssociationBaredYES_NO_TYPE1..1one of: Y, N
isFinalOrderYES_NO_TYPE1..1one of: Y, N
isWillFullyViolatedSecurityActYES_NO_TYPE1..1one of: Y, N
isFailedResonablyYES_NO_TYPE1..1one of: Y, N
investigationDisclosure(group: INVESTIGATION_DISCLOSURE_QUESTION)1..1
isInvestigatedYES_NO_TYPE1..1one of: Y, N
civilDisclosure(group: CIVIL_JUDICIAL_ACTION_DISCLOSURE)1..1
isEnjoinedYES_NO_TYPE1..1one of: Y, N
isFoundInViolationOfRegulationYES_NO_TYPE1..1one of: Y, N
isDismissedYES_NO_TYPE1..1one of: Y, N
isNamedInCivilProceedingYES_NO_TYPE1..1one of: Y, N
complaintDisclosure(group: CUSTOMER_COMPLAINT_DISCLOSURE)1..1
isComplaintPendingYES_NO_TYPE1..1one of: Y, N
isComplaintSettledYES_NO_TYPE1..1one of: Y, N
isFraudCasePendingYES_NO_TYPE1..1one of: Y, N
isFraudCaseResultedAwardYES_NO_TYPE1..1one of: Y, N
isFraudCaseSettledYES_NO_TYPE1..1one of: Y, N
terminationDisclosure(group: TERMINATION_DISCLOSURE)1..1
isViloatedIndustryStandardYES_NO_TYPE1..1one of: Y, N
isInvolvedInFraudYES_NO_TYPE1..1one of: Y, N
isFailedToSuperviseYES_NO_TYPE1..1one of: Y, N
financialDisclosure(group: FINANCIAL_JUDGEMENT_DISCLOSURE)1..1
isCompromisedYES_NO_TYPE1..1one of: Y, N
isBankruptcyPetitionYES_NO_TYPE1..1one of: Y, N
isTrusteeApointedYES_NO_TYPE1..1one of: Y, N
isBondRevokedYES_NO_TYPE1..1one of: Y, N
judgmentLienDisclosure(group: JUDGMENT_LIEN_DISCLOSURE_QUESTION)1..1
isLienAgainstYES_NO_TYPE1..1one of: Y, N
signatureInfo(group: SIGNATURE_SELF_CERTIFICATION_EXECUTION)0..1
signature(group: SIGNATURE_TYPE)0..1
dateSignedDATE_TYPE0..1pattern=\d{1,2}-\d{1,2}-\d{4}
nameOfApplicant(group: INDIVIDUAL_NAME_TYPE)0..1
firstNameSTRING_50_TYPE0..1minLength=1; maxLength=50
middleNameSTRING_30_TYPE0..1minLength=1; maxLength=30
lastNameSTRING_50_TYPE0..1minLength=1; maxLength=50
suffixSTRING_10_TYPE0..1minLength=1; maxLength=10
signatureENTITY_NAME_TYPE0..1minLength=1; maxLength=150; pattern=([A-Za-z0-9\s!\\#$(),.:;=@'\-{}|/&]+)
titleSTRING_256_TYPE0..1minLength=1; maxLength=256
crdNumberCRD_NUMBER_TYPE0..1minLength=1; maxLength=9
selfCertification(group: SIGNATURE_SELF_CERTIFICATION_EXECUTION)0..1
signature(group: SIGNATURE_TYPE)0..1
dateSignedDATE_TYPE0..1pattern=\d{1,2}-\d{1,2}-\d{4}
nameOfApplicant(group: INDIVIDUAL_NAME_TYPE)0..1
firstNameSTRING_50_TYPE0..1minLength=1; maxLength=50
middleNameSTRING_30_TYPE0..1minLength=1; maxLength=30
lastNameSTRING_50_TYPE0..1minLength=1; maxLength=50
suffixSTRING_10_TYPE0..1minLength=1; maxLength=10
signatureENTITY_NAME_TYPE0..1minLength=1; maxLength=150; pattern=([A-Za-z0-9\s!\\#$(),.:;=@'\-{}|/&]+)
titleSTRING_256_TYPE0..1minLength=1; maxLength=256
crdNumberCRD_NUMBER_TYPE0..1minLength=1; maxLength=9
drpInfo(group: DRP_INFO_TYPE)0..1
criminalDisclosure(group: CRIMINAL_DISCLOSURE_CONTAINER)0..1
criminalDrp(group: CRIMINAL_DISCLOSURE_TYPE)1..100
baseHeader(group: HEADER_DATA)1..1
reponseType(group: ADD_AMENDED)1..1
(choice)1..1exactly one of the following branches
addstring1*..1
amendstring1*..1
filingInfo(group: FILED_DRP)0..1
formADVBDFiling(group: IARD_CRD_FILING)0..1
filingNameSTRING_256_TYPE1..1minLength=1; maxLength=256
crdNumberCRD_NUMBER_TYPE1..1minLength=1; maxLength=9
disclosureNumberSTRING_256_TYPE1..1minLength=1; maxLength=256
maFiling(group: MAI_COMMON_FILING)0..1
filingNameSTRING_256_TYPE1..1minLength=1; maxLength=256
registrationNumberFILE_NUMBER_TYPE1..1pattern=\d{1,3}-\d{1,8}-[a-zA-Z0-9]{1,4}|\d{1,3}-\d{1,8}|24R-\d{1,8}-[a-zA-Z0-9]{1,4}|24R-\d{1,8}
filingDateDATE_TYPE1..1pattern=\d{1,2}-\d{1,2}-\d{4}
accessionNumberACCESSION_NUMBER_TYPE1..1pattern=[*]{0}|[0-9]{1,10}\-[0-9]{1,2}\-[0-9]{1,6}
maiFiling(group: MAI_COMMON_FILING)0..1
filingNameSTRING_256_TYPE1..1minLength=1; maxLength=256
registrationNumberFILE_NUMBER_TYPE1..1pattern=\d{1,3}-\d{1,8}-[a-zA-Z0-9]{1,4}|\d{1,3}-\d{1,8}|24R-\d{1,8}-[a-zA-Z0-9]{1,4}|24R-\d{1,8}
filingDateDATE_TYPE1..1pattern=\d{1,2}-\d{1,2}-\d{4}
accessionNumberACCESSION_NUMBER_TYPE1..1pattern=[*]{0}|[0-9]{1,10}\-[0-9]{1,2}\-[0-9]{1,6}
matFiling(group: MAT_FILING)0..1
filingNameSTRING_256_TYPE1..1minLength=1; maxLength=256
registrationNumberFILE_NUMBER_TYPE1..1pattern=\d{1,3}-\d{1,8}-[a-zA-Z0-9]{1,4}|\d{1,3}-\d{1,8}|24R-\d{1,8}-[a-zA-Z0-9]{1,4}|24R-\d{1,8}
filingDateDATE_TYPE1..1pattern=\d{1,2}-\d{1,2}-\d{4}
summarySTRING_10K_TYPE0..1minLength=1; maxLength=10000
drpRemovalInfo(group: APPLICANT_HEADER_INFORMATION)0..1
isDrpRemovableYES_NO_TYPE0..1one of: Y, N
drpRemoveReason(group: DRP_REMOVE_REASON)0..1
(choice)1..1exactly one of the following branches
isRegisteredstring1*..1
isFiledError(group: FILEDERROR_10K)1*..1
explainTheCircumstancesSTRING_10K_TYPE1..1minLength=1; maxLength=10000
status(group: EVENT_STATUS_TYPE)0..1
(choice)1..1exactly one of the following branches
pendingstring1*..1
onAppealstring1*..1
finalstring1*..1
criminalQuestionsCRIMINAL_DISCLOSURE_QUESTIONS1..8one of: 6A(1)(a), 6A(1)(b), 6A(2)(a), 6A(2)(b), 6B(1)(a), 6B(1)(b), 6B(2)(a), 6B(2)(b)
drpData(group: CRIMINAL_DRP_DATA)0..1
chargeInfo(group: CHARGED_CONTROL_INFORMATION_10K)0..1
nameENTITY_NAME_256_TYPE1..1minLength=1; maxLength=256; pattern=([\w\s!\\#$(),.:;=@\-{}|/&]+)
isEngagedInMARBusinessYES_NO_TYPE1..1one of: Y, N
relationshipToChargedSTRING_10K_TYPE1..1minLength=1; maxLength=10000
formalCharges(group: FORMAL_CHARGES_INFO_YES_NO)1..1
courtType(group: CRIMINAL_EVENT_COURT_YES_NO_TYPE)1..1
(choice)1..1exactly one of the following branches
isFederalCourtYES_NO_TYPE1*..1one of: Y, N
isMilitaryCourtYES_NO_TYPE1*..1one of: Y, N
isStateCourtYES_NO_TYPE1*..1one of: Y, N
isForeignCountryCourtYES_NO_TYPE1*..1one of: Y, N
isInternationalCourtYES_NO_TYPE1*..1one of: Y, N
isOtherYES_NO_TYPE1*..1one of: Y, N
otherSTRING_256_TYPE0..1minLength=1; maxLength=256
chargesInfo(group: FORMAL_CHARGES_DOCKET_INFO)1..1
courtInfo(group: CHARGES_WHERE_BROUGHT_IN)1..1
nameSTRING_256_TYPE0..1minLength=1; maxLength=256
docketOrCaseNoSTRING_256_TYPE1..1minLength=1; maxLength=256
address(group: ADDRESS_TYPE)1..1
street1STREET_TYPE1..1minLength=1; maxLength=40
street2STREET_TYPE0..1minLength=1; maxLength=40
citySTRING_30_TYPE1..1minLength=1; maxLength=30
stateOrCountrySTATE_COUNTRY_CODE1..1one of 331 codes (AL, AK, AZ, AR, CA, …; full list in the XSD)
zipCodeZIP_TYPE1..1minLength=1; maxLength=10; pattern=[0-9A-Za-z #\-]*
docketCaseNameENTITY_NAME_256_TYPE0..1minLength=1; maxLength=256; pattern=([\w\s!\\#$(),.:;=@\-{}|/&]+)
eventDisclosureDetail(group: EVENT_DETAIL_DICLOSURE_CONTAINER)1..1
eventDetail(group: EXACT_OR_EXPLANATION_10K)1..1
dateDATE_TYPE0..1pattern=\d{1,2}-\d{1,2}-\d{4}
(choice)1..1exactly one of the following branches
exactstring1*..1
explanationInfo(group: EXPLANATION_INFO_10K)1*..1
explanationstring1..1
provideExplanationSTRING_10K_TYPE1..1minLength=1; maxLength=10000
chargeDetails(group: CHARGE_DETAILS)1..1
chargeDetail(group: EVENT_DISC_DETAIL_TYPE)1..100
chargeSTRING_10K_TYPE1..1minLength=1; maxLength=10000
numberOfCountsSTRING_NUMERIC_3_TYPE1..1pattern=\d{1,10}
felonyOrMisdemeanor(group: FELONY_MISDEMEANOR_TYPE)1..1
(choice)1..1exactly one of the following branches
felonystring1*..1
misdemeanorstring1*..1
pleaSTRING_1K_TYPE1..1minLength=1; maxLength=1000
productTypeSTRING_1K_TYPE0..1minLength=1; maxLength=1000
investmentProductTypeSTRING_1K_TYPE0..1minLength=1; maxLength=1000
amendedReducedDateDATE_TYPE0..1pattern=\d{1,2}-\d{1,2}-\d{4}
appealInformation(group: APPEAL_INFORMATION_TYPE)0..1
dispositionDetails(group: CRIMINAL_CHARGES_CONTAINER)0..1
dispositionDetail(group: DISPOSITION_DISCLOSURE_DETAIL)1..100
dispositionType(group: DISPOSITION_TYPE_CONTAINER)1..1
typeDISPOSITION_TYPES1..13one of: Acquitted, Amended, Convicted, Deferred Adjudication, Dismissed, Found not guilty, Pled guilty, Pled nolo contendere, Pled not guilty, Pre-trial diversion/intervention, Reduced, Other, Appealed
appealTypeAPPEAL_TYPES0..4one of: Affirmed, Vacated & Returned For Further Action, Vacated / Final, Other
explanationSTRING_3K_TYPE0..1minLength=1; maxLength=3000
dateDATE_TYPE1..1pattern=\d{1,2}-\d{1,2}-\d{4}
sentencePenaltyTypeSTRING_3K_TYPE0..1minLength=1; maxLength=3000
incarcerationInfo(group: INCARCERATION_INFORMATION)0..1
duration(group: SENTENCE_DURATION_TYPE)1..1
daysSTRING_NUMERIC_3_TYPE0..1pattern=\d{1,10}
monthsSTRING_NUMERIC_3_TYPE0..1pattern=\d{1,10}
yearsSTRING_NUMERIC_3_TYPE0..1pattern=\d{1,10}
startDate(group: DATE_SENTENCE_TYPE)1..1
(choice)1..1exactly one of the following branches
dateDATE_TYPE1*..1pattern=\d{1,2}-\d{1,2}-\d{4}
notDeterminedstring1*..1
endDate(group: DATE_SENTENCE_TYPE)1..1
(choice)1..1exactly one of the following branches
dateDATE_TYPE1*..1pattern=\d{1,2}-\d{1,2}-\d{4}
notDeterminedstring1*..1
concurrentEndDateDATE_TYPE0..1pattern=\d{1,2}-\d{1,2}-\d{4}
explanationSTRING_3K_TYPE0..1minLength=1; maxLength=3000
monetaryPenalty(group: MONETARY_PENALTY)0..1
reducedAmountDECIMAL_TYPE16_20..1totalDigits=16; fractionDigits=2; minInclusive=0; pattern=\d{0,14}\.\d\d
totalFineDECIMAL_TYPE16_2_NEGATIVE1..1totalDigits=18; fractionDigits=2; pattern=[\+\-]?\d{0,16}\.\d\d
paidStatus(group: MONETARY_PAYMENT_STATUS)1..1
(choice)1..1exactly one of the following branches
paidInFullDateDATE_TYPE1*..1pattern=\d{1,2}-\d{1,2}-\d{4}
notPaidInfo(group: MONETARY_NON_PAYMENT_INFORMATION)1*..1
amountUNPAIDDECIMAL_TYPE16_21..1totalDigits=16; fractionDigits=2; minInclusive=0; pattern=\d{0,14}\.\d\d
explanationSTRING_3K_TYPE1..1minLength=1; maxLength=3000
finalAmountDECIMAL_TYPE16_21..1totalDigits=16; fractionDigits=2; minInclusive=0; pattern=\d{0,14}\.\d\d
isFelonyChargeYES_NO_TYPE1..1one of: Y, N
eventStatusDate(group: EXACT_OR_EXPLANATION_3K)0..1
dateDATE_TYPE0..1pattern=\d{1,2}-\d{1,2}-\d{4}
(choice)1..1exactly one of the following branches
exactstring1*..1
explanationInfo(group: EXPLANATION_INFO_3K)1*..1
explanationstring1..1
provideExplanationSTRING_3K_TYPE1..1minLength=1; maxLength=3000
courtInfo(group: FORMAL_CHARGES_INFO)0..1
courtType(group: CRIMINAL_EVENT_COURT)1..1
courtCRIMINAL_EVENT_COURT_TYPES1..1one of: Federal Court, Military Court, State Court, Foreign Country Court, International Court, Other
otherSTRING_1K_TYPE0..1minLength=1; maxLength=1000
chargesInfo(group: FORMAL_CHARGES_DOCKET_INFO)1..1
courtInfo(group: CHARGES_WHERE_BROUGHT_IN)1..1
nameSTRING_256_TYPE0..1minLength=1; maxLength=256
docketOrCaseNoSTRING_256_TYPE1..1minLength=1; maxLength=256
address(group: ADDRESS_TYPE)1..1
street1STREET_TYPE1..1minLength=1; maxLength=40
street2STREET_TYPE0..1minLength=1; maxLength=40
citySTRING_30_TYPE1..1minLength=1; maxLength=30
stateOrCountrySTATE_COUNTRY_CODE1..1one of 331 codes (AL, AK, AZ, AR, CA, …; full list in the XSD)
zipCodeZIP_TYPE1..1minLength=1; maxLength=10; pattern=[0-9A-Za-z #\-]*
docketCaseNameENTITY_NAME_256_TYPE0..1minLength=1; maxLength=256; pattern=([\w\s!\\#$(),.:;=@\-{}|/&]+)
dateAppealFiledDATE_TYPE0..1pattern=\d{1,2}-\d{1,2}-\d{4}
regulatoryDisclosure(group: REGULATORY_DISCLOSURE_CONTAINER)0..1
regulatoryDrp(group: REGULATORY_DISCLOSURE_TYPE)1..100
baseHeader(group: HEADER_DATA)1..1
reponseType(group: ADD_AMENDED)1..1
(choice)1..1exactly one of the following branches
addstring1*..1
amendstring1*..1
filingInfo(group: FILED_DRP)0..1
formADVBDFiling(group: IARD_CRD_FILING)0..1
filingNameSTRING_256_TYPE1..1minLength=1; maxLength=256
crdNumberCRD_NUMBER_TYPE1..1minLength=1; maxLength=9
disclosureNumberSTRING_256_TYPE1..1minLength=1; maxLength=256
maFiling(group: MAI_COMMON_FILING)0..1
filingNameSTRING_256_TYPE1..1minLength=1; maxLength=256
registrationNumberFILE_NUMBER_TYPE1..1pattern=\d{1,3}-\d{1,8}-[a-zA-Z0-9]{1,4}|\d{1,3}-\d{1,8}|24R-\d{1,8}-[a-zA-Z0-9]{1,4}|24R-\d{1,8}
filingDateDATE_TYPE1..1pattern=\d{1,2}-\d{1,2}-\d{4}
accessionNumberACCESSION_NUMBER_TYPE1..1pattern=[*]{0}|[0-9]{1,10}\-[0-9]{1,2}\-[0-9]{1,6}
maiFiling(group: MAI_COMMON_FILING)0..1
filingNameSTRING_256_TYPE1..1minLength=1; maxLength=256
registrationNumberFILE_NUMBER_TYPE1..1pattern=\d{1,3}-\d{1,8}-[a-zA-Z0-9]{1,4}|\d{1,3}-\d{1,8}|24R-\d{1,8}-[a-zA-Z0-9]{1,4}|24R-\d{1,8}
filingDateDATE_TYPE1..1pattern=\d{1,2}-\d{1,2}-\d{4}
accessionNumberACCESSION_NUMBER_TYPE1..1pattern=[*]{0}|[0-9]{1,10}\-[0-9]{1,2}\-[0-9]{1,6}
matFiling(group: MAT_FILING)0..1
filingNameSTRING_256_TYPE1..1minLength=1; maxLength=256
registrationNumberFILE_NUMBER_TYPE1..1pattern=\d{1,3}-\d{1,8}-[a-zA-Z0-9]{1,4}|\d{1,3}-\d{1,8}|24R-\d{1,8}-[a-zA-Z0-9]{1,4}|24R-\d{1,8}
filingDateDATE_TYPE1..1pattern=\d{1,2}-\d{1,2}-\d{4}
summarySTRING_10K_TYPE0..1minLength=1; maxLength=10000
drpRemovalInfo(group: APPLICANT_HEADER_INFORMATION)0..1
isDrpRemovableYES_NO_TYPE0..1one of: Y, N
drpRemoveReason(group: DRP_REMOVE_REASON)0..1
(choice)1..1exactly one of the following branches
isRegisteredstring1*..1
isFiledError(group: FILEDERROR_10K)1*..1
explainTheCircumstancesSTRING_10K_TYPE1..1minLength=1; maxLength=10000
status(group: EVENT_STATUS_TYPE)0..1
(choice)1..1exactly one of the following branches
pendingstring1*..1
onAppealstring1*..1
finalstring1*..1
regulatoryQuestionsREGULATORY_DISCLOSURE_QUESTIONS1..24one of: 6C(1), 6C(2), 6C(3), 6C(4), 6C(5), 6C(6), 6C(7), 6C(8), 6D(1)(a), 6D(1)(b), 6D(1)(c), 6D(1)(d), 6D(1)(e), 6D(2)(a), 6D(2)(b), 6E(1), 6E(2), 6E(3), 6E(4), 6E(5), 6E(6), 6E(7), 6F, 6G(1)
drpData(group: REGULATORY_DRP_DATA)0..1
initiatedBy(group: REGULATORY_ACTION_INITIATED_BY_TYPES)1..1
initiator(group: REGULATORY_ACTION_INITIATED_BY_TYPE)1..1
(choice)1..1exactly one of the following branches
secstring1*..1
otherFederalAuthoritystring1*..1
statestring1*..1
srostring1*..1
foreignFRAstring1*..1
cftcstring1*..1
federalBankingAgencystring1*..1
nationalCUAdminstring1*..1
otherstring1*..1
otherSTRING_256_TYPE0..1minLength=1; maxLength=256
nameSTRING_256_TYPE0..1minLength=1; maxLength=256
sactionsSought(group: SANCTIONS_TYPE)1..1
sactionSANCTION_TYPE1..18SANCTION_BASE_TYPE (one of: BarPermanent, BarTemporary, Censure, CivilAdminPenaltyFine, Denial, Expulsion, Prohibition, Reprimand, Rescission, Requalification, Revocation, Suspension, Undertaking, Other) or PRINCIPAL_SANCTION_RELIEF_BASE (one of: Cease and Desist, Disgorgement, Injunction, Restitution)
otherExplanationSTRING_3K_TYPE0..1minLength=1; maxLength=3000
dateInitiated(group: EXACT_OR_EXPLANATION_1K)1..1
dateDATE_TYPE0..1pattern=\d{1,2}-\d{1,2}-\d{4}
(choice)1..1exactly one of the following branches
exactstring1*..1
explanationInfo(group: EXPLANATION_INFO_1K)1*..1
explanationstring1..1
provideExplanationSTRING_1K_TYPE1..1minLength=1; maxLength=1000
regulatoryInfo(group: JUDICIAL_REG_COMMON_INFO)1..1
regulatoryBroughtInInformation(group: FORMAL_CHARGES_DOCKET_INFO)1..1
courtInfo(group: CHARGES_WHERE_BROUGHT_IN)1..1
nameSTRING_256_TYPE0..1minLength=1; maxLength=256
docketOrCaseNoSTRING_256_TYPE1..1minLength=1; maxLength=256
address(group: ADDRESS_TYPE)1..1
street1STREET_TYPE1..1minLength=1; maxLength=40
street2STREET_TYPE0..1minLength=1; maxLength=40
citySTRING_30_TYPE1..1minLength=1; maxLength=30
stateOrCountrySTATE_COUNTRY_CODE1..1one of 331 codes (AL, AK, AZ, AR, CA, …; full list in the XSD)
zipCodeZIP_TYPE1..1minLength=1; maxLength=10; pattern=[0-9A-Za-z #\-]*
docketCaseNameENTITY_NAME_256_TYPE0..1minLength=1; maxLength=256; pattern=([\w\s!\\#$(),.:;=@\-{}|/&]+)
matterInformation(group: JUDICIAL_REG_CUST_COMMON_INFO)1..1
employingFirmInfo(group: EMPLOYING_FIRM_INFO)1..1
nameSTRING_256_TYPE1..1minLength=1; maxLength=256
registrationNumberFILE_NUMBER_TYPE0..1pattern=\d{1,3}-\d{1,8}-[a-zA-Z0-9]{1,4}|\d{1,3}-\d{1,8}|24R-\d{1,8}-[a-zA-Z0-9]{1,4}|24R-\d{1,8}
crdNumberCRD_NUMBER_TYPE0..1minLength=1; maxLength=9
principalProductTypes(group: PRINCIPAL_PRODUCT_TYPES)1..1
productPRINCIPAL_PRODUCT_TYPE1..35PRINCIPAL_PRODUCT_OPTION_TYPE (one of: Annuity(ies) - Fixed, Annuity(ies) - Variable, CD(s), Commodity Option(s), Debt - Asset Backed, Debt - Corporate, Debt - Government, Debt - Municipal, Derivative(s), Direct Investment(s) - DPP & LP Interest(s), Equity - OTC, Equity Listed (Common & Preferred Stock), Futures - Commodity, Futures - Financial, Index Option(s), Insurance, Investment Contract(s), Money Market Fund(s), Mutual Fund(s), No Product, Options, Penny Sock(s), Unit Investment Trust(s)) or PRINCIPAL_PRODUCT_TYPE_EXTENDED (one of: AnnuityCharitable, BankingProduct, EquipmentLeasing, OilAndGas, PrimeBankInstrument, Promissory Note, Real Estate Security, Security Futures, Security-based Swap, Swap, Viatical Settlement, Other)
productOtherSTRING_1K_TYPE0..1minLength=1; maxLength=1000
otherProductTypesSTRING_1K_TYPE0..1minLength=1; maxLength=1000
allegationsDescriptionSTRING_10K_TYPE1..1minLength=1; maxLength=10000
pendingInformation(group: PENDING_INFORMATION)0..1
servedInformation(group: EXACT_OR_EXPLANATION_1K)1..1
dateDATE_TYPE0..1pattern=\d{1,2}-\d{1,2}-\d{4}
(choice)1..1exactly one of the following branches
exactstring1*..1
explanationInfo(group: EXPLANATION_INFO_1K)1*..1
explanationstring1..1
provideExplanationSTRING_1K_TYPE1..1minLength=1; maxLength=1000
limitationsRestrictions(group: LIMITATIONS_RESTRICTIONS_TYPE)1..1
hasLimitationsOrRestrictionsYES_NO_TYPE1..1one of: Y, N
detailsSTRING_1K_TYPE0..1minLength=1; maxLength=1000
appealInformation(group: APPEAL_INFORMATION_TYPE_JUDICIAL)0..1
appealBroughtInInformation(group: FORMAL_CHARGES_DOCKET_INFO)0..1
courtInfo(group: CHARGES_WHERE_BROUGHT_IN)1..1
nameSTRING_256_TYPE0..1minLength=1; maxLength=256
docketOrCaseNoSTRING_256_TYPE1..1minLength=1; maxLength=256
address(group: ADDRESS_TYPE)1..1
street1STREET_TYPE1..1minLength=1; maxLength=40
street2STREET_TYPE0..1minLength=1; maxLength=40
citySTRING_30_TYPE1..1minLength=1; maxLength=30
stateOrCountrySTATE_COUNTRY_CODE1..1one of 331 codes (AL, AK, AZ, AR, CA, …; full list in the XSD)
zipCodeZIP_TYPE1..1minLength=1; maxLength=10; pattern=[0-9A-Za-z #\-]*
docketCaseNameENTITY_NAME_256_TYPE0..1minLength=1; maxLength=256; pattern=([\w\s!\\#$(),.:;=@\-{}|/&]+)
dateInformation(group: EXACT_OR_EXPLANATION_1K)0..1
dateDATE_TYPE0..1pattern=\d{1,2}-\d{1,2}-\d{4}
(choice)1..1exactly one of the following branches
exactstring1*..1
explanationInfo(group: EXPLANATION_INFO_1K)1*..1
explanationstring1..1
provideExplanationSTRING_1K_TYPE1..1minLength=1; maxLength=1000
detailsSTRING_10K_TYPE0..1minLength=1; maxLength=10000
limitationsRestrictions(group: LIMITATIONS_RESTRICTIONS_TYPE)0..1
hasLimitationsOrRestrictionsYES_NO_TYPE1..1one of: Y, N
detailsSTRING_1K_TYPE0..1minLength=1; maxLength=1000
resolutionDetail(group: RESOLUTION_DETAIL)0..1
sactionsOrdered(group: SANCTIONS_TYPE)1..1
sactionSANCTION_TYPE1..18SANCTION_BASE_TYPE (one of: BarPermanent, BarTemporary, Censure, CivilAdminPenaltyFine, Denial, Expulsion, Prohibition, Reprimand, Rescission, Requalification, Revocation, Suspension, Undertaking, Other) or PRINCIPAL_SANCTION_RELIEF_BASE (one of: Cease and Desist, Disgorgement, Injunction, Restitution)
otherExplanationSTRING_3K_TYPE0..1minLength=1; maxLength=3000
amountOrderedDECIMAL_TYPE16_20..1totalDigits=16; fractionDigits=2; minInclusive=0; pattern=\d{0,14}\.\d\d
sanctionDetails(group: SANCTION_DETAILS)0..1
barred(group: SANCTION_BASE_INFORMATION)0..n
duration(group: DURATION_INFORMATION_TYPE)1..1
durationType(group: DURATION_TYPE)1..1
(choice)1..1exactly one of the following branches
permanentstring0..1
durationTime(group: SENTENCE_DURATION_TYPE)0..1
daysSTRING_NUMERIC_3_TYPE0..1pattern=\d{1,10}
monthsSTRING_NUMERIC_3_TYPE0..1pattern=\d{1,10}
yearsSTRING_NUMERIC_3_TYPE0..1pattern=\d{1,10}
startDate(group: EXACT_OR_EXPLANATION_3K)1..1
dateDATE_TYPE0..1pattern=\d{1,2}-\d{1,2}-\d{4}
(choice)1..1exactly one of the following branches
exactstring1*..1
explanationInfo(group: EXPLANATION_INFO_3K)1*..1
explanationstring1..1
provideExplanationSTRING_3K_TYPE1..1minLength=1; maxLength=3000
endDate(group: EXACT_OR_EXPLANATION_3K)0..1
dateDATE_TYPE0..1pattern=\d{1,2}-\d{1,2}-\d{4}
(choice)1..1exactly one of the following branches
exactstring1*..1
explanationInfo(group: EXPLANATION_INFO_3K)1*..1
explanationstring1..1
provideExplanationSTRING_3K_TYPE1..1minLength=1; maxLength=3000
descriptionSTRING_3K_TYPE0..1minLength=1; maxLength=3000
enjoined(group: SANCTION_BASE_INFORMATION)0..n
duration(group: DURATION_INFORMATION_TYPE)1..1
durationType(group: DURATION_TYPE)1..1
(choice)1..1exactly one of the following branches
permanentstring0..1
durationTime(group: SENTENCE_DURATION_TYPE)0..1
daysSTRING_NUMERIC_3_TYPE0..1pattern=\d{1,10}
monthsSTRING_NUMERIC_3_TYPE0..1pattern=\d{1,10}
yearsSTRING_NUMERIC_3_TYPE0..1pattern=\d{1,10}
startDate(group: EXACT_OR_EXPLANATION_3K)1..1
dateDATE_TYPE0..1pattern=\d{1,2}-\d{1,2}-\d{4}
(choice)1..1exactly one of the following branches
exactstring1*..1
explanationInfo(group: EXPLANATION_INFO_3K)1*..1
explanationstring1..1
provideExplanationSTRING_3K_TYPE1..1minLength=1; maxLength=3000
endDate(group: EXACT_OR_EXPLANATION_3K)0..1
dateDATE_TYPE0..1pattern=\d{1,2}-\d{1,2}-\d{4}
(choice)1..1exactly one of the following branches
exactstring1*..1
explanationInfo(group: EXPLANATION_INFO_3K)1*..1
explanationstring1..1
provideExplanationSTRING_3K_TYPE1..1minLength=1; maxLength=3000
descriptionSTRING_3K_TYPE0..1minLength=1; maxLength=3000
suspended(group: SANCTION_BASE_INFORMATION)0..n
duration(group: DURATION_INFORMATION_TYPE)1..1
durationType(group: DURATION_TYPE)1..1
(choice)1..1exactly one of the following branches
permanentstring0..1
durationTime(group: SENTENCE_DURATION_TYPE)0..1
daysSTRING_NUMERIC_3_TYPE0..1pattern=\d{1,10}
monthsSTRING_NUMERIC_3_TYPE0..1pattern=\d{1,10}
yearsSTRING_NUMERIC_3_TYPE0..1pattern=\d{1,10}
startDate(group: EXACT_OR_EXPLANATION_3K)1..1
dateDATE_TYPE0..1pattern=\d{1,2}-\d{1,2}-\d{4}
(choice)1..1exactly one of the following branches
exactstring1*..1
explanationInfo(group: EXPLANATION_INFO_3K)1*..1
explanationstring1..1
provideExplanationSTRING_3K_TYPE1..1minLength=1; maxLength=3000
endDate(group: EXACT_OR_EXPLANATION_3K)0..1
dateDATE_TYPE0..1pattern=\d{1,2}-\d{1,2}-\d{4}
(choice)1..1exactly one of the following branches
exactstring1*..1
explanationInfo(group: EXPLANATION_INFO_3K)1*..1
explanationstring1..1
provideExplanationSTRING_3K_TYPE1..1minLength=1; maxLength=3000
descriptionSTRING_3K_TYPE0..1minLength=1; maxLength=3000
isReqaulificationRequiredYES_NO_TYPE0..1one of: Y, N
requalificationDetails(group: SANCTION_REQUALIFICATION_INFORMATION)0..1
timeToReqaulifyRetrain(group: REQUALIFY_DURATION_INFORMATION_TYPE)1..1
(choice)1..1exactly one of the following branches
noTimePeriodSpecifiedstring1*..1
durationTime(group: SENTENCE_DURATION_TYPE)1*..1
daysSTRING_NUMERIC_3_TYPE0..1pattern=\d{1,10}
monthsSTRING_NUMERIC_3_TYPE0..1pattern=\d{1,10}
yearsSTRING_NUMERIC_3_TYPE0..1pattern=\d{1,10}
typeRequiredSTRING_1K_TYPE1..1minLength=1; maxLength=1000
conditionState(group: CONDITION_STATE_10K)1..1
(choice)1..1exactly one of the following branches
satisfied(group: CONDITION_STATE_SATISFIED)1*..1
satisfiedstring1..1
satisfiedDateDATE_TYPE1..1pattern=\d{1,2}-\d{1,2}-\d{4}
notSatisfied(group: CONDITION_STATE_NOT_SATISFIED_1K)1*..1
satisfiedstring1..1
explanationSTRING_1K_TYPE1..1minLength=1; maxLength=1000
monetarySanctions(group: MONETARY_SANCTION)0..1
totalAmountOrderedDECIMAL_TYPE16_20..1totalDigits=16; fractionDigits=2; minInclusive=0; pattern=\d{0,14}\.\d\d
amountOrderedDECIMAL_TYPE16_20..1totalDigits=16; fractionDigits=2; minInclusive=0; pattern=\d{0,14}\.\d\d
waivedPortionDECIMAL_TYPE16_20..1totalDigits=16; fractionDigits=2; minInclusive=0; pattern=\d{0,14}\.\d\d
finalAmountDECIMAL_TYPE16_2_NEGATIVE0..1totalDigits=18; fractionDigits=2; pattern=[\+\-]?\d{0,16}\.\d\d
paymentState(group: AMOUNT_PAID_STATE)0..1
(choice)1..1exactly one of the following branches
paidInFull(group: AMOUNT_PAID_IN_FULL)1*..1
amountPaidInFullstring1..1
paidDateDATE_TYPE1..1pattern=\d{1,2}-\d{1,2}-\d{4}
notPaidInFull(group: AMOUNT_NOT_PAID_IN_FULL_TYPE)1*..1
amountNotPaidInFullstring1..1
explanationSTRING_1K_TYPE1..1minLength=1; maxLength=1000
resolutionMatterInfo(group: MATTER_RESOLVE_TYPE_CONTAINER)0..1
typeMATTER_RESOLVED_TYPE1..12one of: Acceptance Waiver & Consent (AWC), Decision & Order of Offer Settlement, Decision, Consent, Dismissed, Judgement Rendered, Settled, Withdrawn, Other (requires explanation), Order, Stipulation and Consent, Appealed
appealTypeMATTER_APPEAL_TYPE0..5one of: Affirmed, Vacated Nunc Pro Tunc / ab initio, Vacated & Returned For Further Action, Vacated / Final, Other (requires explanation)
explanationSTRING_10K_TYPE0..1minLength=1; maxLength=10000
isFinalOrderYES_NO_TYPE0..1one of: Y, N
resolutionDate(group: EXACT_OR_EXPLANATION_1K)1..1
dateDATE_TYPE0..1pattern=\d{1,2}-\d{1,2}-\d{4}
(choice)1..1exactly one of the following branches
exactstring1*..1
explanationInfo(group: EXPLANATION_INFO_1K)1*..1
explanationstring1..1
provideExplanationSTRING_1K_TYPE1..1minLength=1; maxLength=1000
investigationDisclosure(group: INVESTIGATION_DISCLOSURE_CONTAINER)0..1
investigationDrp(group: INVESTIGATION_DISCLOSURE_TYPE)1..100
baseHeader(group: HEADER_DATA)1..1
reponseType(group: ADD_AMENDED)1..1
(choice)1..1exactly one of the following branches
addstring1*..1
amendstring1*..1
filingInfo(group: FILED_DRP)0..1
formADVBDFiling(group: IARD_CRD_FILING)0..1
filingNameSTRING_256_TYPE1..1minLength=1; maxLength=256
crdNumberCRD_NUMBER_TYPE1..1minLength=1; maxLength=9
disclosureNumberSTRING_256_TYPE1..1minLength=1; maxLength=256
maFiling(group: MAI_COMMON_FILING)0..1
filingNameSTRING_256_TYPE1..1minLength=1; maxLength=256
registrationNumberFILE_NUMBER_TYPE1..1pattern=\d{1,3}-\d{1,8}-[a-zA-Z0-9]{1,4}|\d{1,3}-\d{1,8}|24R-\d{1,8}-[a-zA-Z0-9]{1,4}|24R-\d{1,8}
filingDateDATE_TYPE1..1pattern=\d{1,2}-\d{1,2}-\d{4}
accessionNumberACCESSION_NUMBER_TYPE1..1pattern=[*]{0}|[0-9]{1,10}\-[0-9]{1,2}\-[0-9]{1,6}
maiFiling(group: MAI_COMMON_FILING)0..1
filingNameSTRING_256_TYPE1..1minLength=1; maxLength=256
registrationNumberFILE_NUMBER_TYPE1..1pattern=\d{1,3}-\d{1,8}-[a-zA-Z0-9]{1,4}|\d{1,3}-\d{1,8}|24R-\d{1,8}-[a-zA-Z0-9]{1,4}|24R-\d{1,8}
filingDateDATE_TYPE1..1pattern=\d{1,2}-\d{1,2}-\d{4}
accessionNumberACCESSION_NUMBER_TYPE1..1pattern=[*]{0}|[0-9]{1,10}\-[0-9]{1,2}\-[0-9]{1,6}
matFiling(group: MAT_FILING)0..1
filingNameSTRING_256_TYPE1..1minLength=1; maxLength=256
registrationNumberFILE_NUMBER_TYPE1..1pattern=\d{1,3}-\d{1,8}-[a-zA-Z0-9]{1,4}|\d{1,3}-\d{1,8}|24R-\d{1,8}-[a-zA-Z0-9]{1,4}|24R-\d{1,8}
filingDateDATE_TYPE1..1pattern=\d{1,2}-\d{1,2}-\d{4}
summarySTRING_10K_TYPE0..1minLength=1; maxLength=10000
drpRemovalInfo(group: APPLICANT_HEADER_INFORMATION)0..1
isDrpRemovableYES_NO_TYPE0..1one of: Y, N
drpRemoveReason(group: DRP_REMOVE_REASON)0..1
(choice)1..1exactly one of the following branches
isRegisteredstring1*..1
isFiledError(group: FILEDERROR_10K)1*..1
explainTheCircumstancesSTRING_10K_TYPE1..1minLength=1; maxLength=10000
status(group: EVENT_STATUS_TYPE)0..1
(choice)1..1exactly one of the following branches
pendingstring1*..1
onAppealstring1*..1
finalstring1*..1
investigationQuestionsINVESTIGATION_DISCLOSURE_QUESTIONS0..6one of: 6G(2), 6A, 6B, 6C, 6D, 6E
drpData(group: INVESTIGATION_DRP_DATA)0..1
crimeInvestigationInfo(group: CRIMINAL_EVENT_COURT)0..1
courtCRIMINAL_EVENT_COURT_TYPES1..1one of: Federal Court, Military Court, State Court, Foreign Country Court, International Court, Other
otherSTRING_1K_TYPE0..1minLength=1; maxLength=1000
regulatoryInfo(group: REGULATORY_ACTION_INITIATED_BY_TYPES)0..1
initiator(group: REGULATORY_ACTION_INITIATED_BY_TYPE)1..1
(choice)1..1exactly one of the following branches
secstring1*..1
cftcstring1*..1
otherFederalAuthoritystring1*..1
statestring1*..1
srostring1*..1
foreignFRAstring1*..1
otherForeignAuthoritystring1*..1
otherstring1*..1
otherSTRING_256_TYPE0..1minLength=1; maxLength=256
authorityNameSTRING_256_TYPE0..1minLength=1; maxLength=256
noticeDate(group: EXACT_OR_EXPLANATION_1K)0..1
dateDATE_TYPE0..1pattern=\d{1,2}-\d{1,2}-\d{4}
(choice)1..1exactly one of the following branches
exactstring1*..1
explanationInfo(group: EXPLANATION_INFO_1K)1*..1
explanationstring1..1
provideExplanationSTRING_1K_TYPE1..1minLength=1; maxLength=1000
investigationNatureSTRING_10K_TYPE0..1minLength=1; maxLength=10000
productType(group: PRINCIPAL_PRODUCT_TYPES)1..1
productPRINCIPAL_PRODUCT_TYPE1..35PRINCIPAL_PRODUCT_OPTION_TYPE (one of: Annuity(ies) - Fixed, Annuity(ies) - Variable, CD(s), Commodity Option(s), Debt - Asset Backed, Debt - Corporate, Debt - Government, Debt - Municipal, Derivative(s), Direct Investment(s) - DPP & LP Interest(s), Equity - OTC, Equity Listed (Common & Preferred Stock), Futures - Commodity, Futures - Financial, Index Option(s), Insurance, Investment Contract(s), Money Market Fund(s), Mutual Fund(s), No Product, Options, Penny Sock(s), Unit Investment Trust(s)) or PRINCIPAL_PRODUCT_TYPE_EXTENDED (one of: AnnuityCharitable, BankingProduct, EquipmentLeasing, OilAndGas, PrimeBankInstrument, Promissory Note, Real Estate Security, Security Futures, Security-based Swap, Swap, Viatical Settlement, Other)
productOtherSTRING_1K_TYPE0..1minLength=1; maxLength=1000
caseClosedDate(group: EXACT_OR_EXPLANATION_3K)0..1
dateDATE_TYPE0..1pattern=\d{1,2}-\d{1,2}-\d{4}
(choice)1..1exactly one of the following branches
exactstring1*..1
explanationInfo(group: EXPLANATION_INFO_3K)1*..1
explanationstring1..1
provideExplanationSTRING_3K_TYPE1..1minLength=1; maxLength=3000
investigationResolvedInfo(group: INVESTIGATION_RESOLVED)0..1
resolvedTypesINVESTIGATION_RESOLVED_TYPE1..1one of: Closed Without Further Action, Closed - Regulatory Action Initiated, Other (Explain)
reasonSTRING_10K_TYPE0..1minLength=1; maxLength=10000
terminationDisclosure(group: TERMINATION_DISCLOSURE_CONTAINER)0..1
terminationDrp(group: TERMINATION_DISCLOSURE_TYPE)1..100
baseHeader(group: HEADER_DATA)1..1
reponseType(group: ADD_AMENDED)1..1
(choice)1..1exactly one of the following branches
addstring1*..1
amendstring1*..1
filingInfo(group: FILED_DRP)0..1
formADVBDFiling(group: IARD_CRD_FILING)0..1
filingNameSTRING_256_TYPE1..1minLength=1; maxLength=256
crdNumberCRD_NUMBER_TYPE1..1minLength=1; maxLength=9
disclosureNumberSTRING_256_TYPE1..1minLength=1; maxLength=256
maFiling(group: MAI_COMMON_FILING)0..1
filingNameSTRING_256_TYPE1..1minLength=1; maxLength=256
registrationNumberFILE_NUMBER_TYPE1..1pattern=\d{1,3}-\d{1,8}-[a-zA-Z0-9]{1,4}|\d{1,3}-\d{1,8}|24R-\d{1,8}-[a-zA-Z0-9]{1,4}|24R-\d{1,8}
filingDateDATE_TYPE1..1pattern=\d{1,2}-\d{1,2}-\d{4}
accessionNumberACCESSION_NUMBER_TYPE1..1pattern=[*]{0}|[0-9]{1,10}\-[0-9]{1,2}\-[0-9]{1,6}
maiFiling(group: MAI_COMMON_FILING)0..1
filingNameSTRING_256_TYPE1..1minLength=1; maxLength=256
registrationNumberFILE_NUMBER_TYPE1..1pattern=\d{1,3}-\d{1,8}-[a-zA-Z0-9]{1,4}|\d{1,3}-\d{1,8}|24R-\d{1,8}-[a-zA-Z0-9]{1,4}|24R-\d{1,8}
filingDateDATE_TYPE1..1pattern=\d{1,2}-\d{1,2}-\d{4}
accessionNumberACCESSION_NUMBER_TYPE1..1pattern=[*]{0}|[0-9]{1,10}\-[0-9]{1,2}\-[0-9]{1,6}
matFiling(group: MAT_FILING)0..1
filingNameSTRING_256_TYPE1..1minLength=1; maxLength=256
registrationNumberFILE_NUMBER_TYPE1..1pattern=\d{1,3}-\d{1,8}-[a-zA-Z0-9]{1,4}|\d{1,3}-\d{1,8}|24R-\d{1,8}-[a-zA-Z0-9]{1,4}|24R-\d{1,8}
filingDateDATE_TYPE1..1pattern=\d{1,2}-\d{1,2}-\d{4}
summarySTRING_10K_TYPE0..1minLength=1; maxLength=10000
drpRemovalInfo(group: APPLICANT_HEADER_INFORMATION)0..1
isDrpRemovableYES_NO_TYPE0..1one of: Y, N
drpRemoveReason(group: DRP_REMOVE_REASON)0..1
(choice)1..1exactly one of the following branches
isRegisteredstring1*..1
isFiledError(group: FILEDERROR_10K)1*..1
explainTheCircumstancesSTRING_10K_TYPE1..1minLength=1; maxLength=10000
status(group: EVENT_STATUS_TYPE)0..1
(choice)1..1exactly one of the following branches
pendingstring1*..1
onAppealstring1*..1
finalstring1*..1
terminationQuestionsTERMINATION_DISCLOSURE_QUESTIONS1..3one of: 6J(1), 6J(2), 6J(3)
drpData(group: TERMINATION_DRP_DATA)0..1
firmInfo(group: EMPLOYING_FIRM_INFO)1..1
nameSTRING_256_TYPE1..1minLength=1; maxLength=256
registrationNumberFILE_NUMBER_TYPE0..1pattern=\d{1,3}-\d{1,8}-[a-zA-Z0-9]{1,4}|\d{1,3}-\d{1,8}|24R-\d{1,8}-[a-zA-Z0-9]{1,4}|24R-\d{1,8}
crdNumberCRD_NUMBER_TYPE0..1minLength=1; maxLength=9
terminationTypeTERMINATION_TYPE1..1one of: Discharged, Permited to Resign, Voluntary Resignation
terminationDate(group: EXACT_OR_EXPLANATION_3K)1..1
dateDATE_TYPE0..1pattern=\d{1,2}-\d{1,2}-\d{4}
(choice)1..1exactly one of the following branches
exactstring1*..1
explanationInfo(group: EXPLANATION_INFO_3K)1*..1
explanationstring1..1
provideExplanationSTRING_3K_TYPE1..1minLength=1; maxLength=3000
allegationSTRING_10K_TYPE1..1minLength=1; maxLength=10000
productType(group: PRINCIPAL_PRODUCT_TYPES)1..1
productPRINCIPAL_PRODUCT_TYPE1..35PRINCIPAL_PRODUCT_OPTION_TYPE (one of: Annuity(ies) - Fixed, Annuity(ies) - Variable, CD(s), Commodity Option(s), Debt - Asset Backed, Debt - Corporate, Debt - Government, Debt - Municipal, Derivative(s), Direct Investment(s) - DPP & LP Interest(s), Equity - OTC, Equity Listed (Common & Preferred Stock), Futures - Commodity, Futures - Financial, Index Option(s), Insurance, Investment Contract(s), Money Market Fund(s), Mutual Fund(s), No Product, Options, Penny Sock(s), Unit Investment Trust(s)) or PRINCIPAL_PRODUCT_TYPE_EXTENDED (one of: AnnuityCharitable, BankingProduct, EquipmentLeasing, OilAndGas, PrimeBankInstrument, Promissory Note, Real Estate Security, Security Futures, Security-based Swap, Swap, Viatical Settlement, Other)
productOtherSTRING_1K_TYPE0..1minLength=1; maxLength=1000
judgementLienDisclosure(group: JUDGEMENT_LIEN_DISCLOSURE_CONTAINER)0..1
judgementLienDrp(group: JUDGEMENT_LIEN_DISCLOSURE_TYPE)1..100
baseHeader(group: HEADER_DATA)1..1
reponseType(group: ADD_AMENDED)1..1
(choice)1..1exactly one of the following branches
addstring1*..1
amendstring1*..1
filingInfo(group: FILED_DRP)0..1
formADVBDFiling(group: IARD_CRD_FILING)0..1
filingNameSTRING_256_TYPE1..1minLength=1; maxLength=256
crdNumberCRD_NUMBER_TYPE1..1minLength=1; maxLength=9
disclosureNumberSTRING_256_TYPE1..1minLength=1; maxLength=256
maFiling(group: MAI_COMMON_FILING)0..1
filingNameSTRING_256_TYPE1..1minLength=1; maxLength=256
registrationNumberFILE_NUMBER_TYPE1..1pattern=\d{1,3}-\d{1,8}-[a-zA-Z0-9]{1,4}|\d{1,3}-\d{1,8}|24R-\d{1,8}-[a-zA-Z0-9]{1,4}|24R-\d{1,8}
filingDateDATE_TYPE1..1pattern=\d{1,2}-\d{1,2}-\d{4}
accessionNumberACCESSION_NUMBER_TYPE1..1pattern=[*]{0}|[0-9]{1,10}\-[0-9]{1,2}\-[0-9]{1,6}
maiFiling(group: MAI_COMMON_FILING)0..1
filingNameSTRING_256_TYPE1..1minLength=1; maxLength=256
registrationNumberFILE_NUMBER_TYPE1..1pattern=\d{1,3}-\d{1,8}-[a-zA-Z0-9]{1,4}|\d{1,3}-\d{1,8}|24R-\d{1,8}-[a-zA-Z0-9]{1,4}|24R-\d{1,8}
filingDateDATE_TYPE1..1pattern=\d{1,2}-\d{1,2}-\d{4}
accessionNumberACCESSION_NUMBER_TYPE1..1pattern=[*]{0}|[0-9]{1,10}\-[0-9]{1,2}\-[0-9]{1,6}
matFiling(group: MAT_FILING)0..1
filingNameSTRING_256_TYPE1..1minLength=1; maxLength=256
registrationNumberFILE_NUMBER_TYPE1..1pattern=\d{1,3}-\d{1,8}-[a-zA-Z0-9]{1,4}|\d{1,3}-\d{1,8}|24R-\d{1,8}-[a-zA-Z0-9]{1,4}|24R-\d{1,8}
filingDateDATE_TYPE1..1pattern=\d{1,2}-\d{1,2}-\d{4}
summarySTRING_10K_TYPE0..1minLength=1; maxLength=10000
drpRemovalInfo(group: APPLICANT_HEADER_INFORMATION)0..1
isDrpRemovableYES_NO_TYPE0..1one of: Y, N
drpRemoveReason(group: DRP_REMOVE_REASON)0..1
(choice)1..1exactly one of the following branches
isRegisteredstring1*..1
isFiledError(group: FILEDERROR_10K)1*..1
explainTheCircumstancesSTRING_10K_TYPE1..1minLength=1; maxLength=10000
status(group: EVENT_STATUS_TYPE)0..1
(choice)1..1exactly one of the following branches
pendingstring1*..1
onAppealstring1*..1
finalstring1*..1
judgementQuestionsJUDGEMENT_LIEN_DISCLOSURE_QUESTIONS1..1one of: 6M
drpData(group: JUDGEMENT_LIEN_DRP_DATA)0..1
judgementOrLienAmoutDECIMAL_TYPE16_21..1totalDigits=16; fractionDigits=2; minInclusive=0; pattern=\d{0,14}\.\d\d
judgementOrLienHolderENTITY_NAME_256_TYPE1..1minLength=1; maxLength=256; pattern=([\w\s!\\#$(),.:;=@\-{}|/&]+)
judegmentOrLienTypeLIEN_TYPE1..2one of: Civil, Tax
dateFiled(group: EXACT_OR_EXPLANATION_1K)1..1
dateDATE_TYPE0..1pattern=\d{1,2}-\d{1,2}-\d{4}
(choice)1..1exactly one of the following branches
exactstring1*..1
explanationInfo(group: EXPLANATION_INFO_1K)1*..1
explanationstring1..1
provideExplanationSTRING_1K_TYPE1..1minLength=1; maxLength=1000
courtInfo(group: CRIMINAL_EVENT_COURT)1..1
courtCRIMINAL_EVENT_COURT_TYPES1..1one of: Federal Court, Military Court, State Court, Foreign Country Court, International Court, Other
otherSTRING_1K_TYPE0..1minLength=1; maxLength=1000
courtDetail(group: CHARGES_EXACT_COMMON)1..1
detail(group: FORMAL_CHARGES_DOCKET_INFO)1..1
courtInfo(group: CHARGES_WHERE_BROUGHT_IN)1..1
nameSTRING_256_TYPE0..1minLength=1; maxLength=256
docketOrCaseNoSTRING_256_TYPE1..1minLength=1; maxLength=256
address(group: ADDRESS_TYPE)1..1
street1STREET_TYPE1..1minLength=1; maxLength=40
street2STREET_TYPE0..1minLength=1; maxLength=40
citySTRING_30_TYPE1..1minLength=1; maxLength=30
stateOrCountrySTATE_COUNTRY_CODE1..1one of 331 codes (AL, AK, AZ, AR, CA, …; full list in the XSD)
zipCodeZIP_TYPE1..1minLength=1; maxLength=10; pattern=[0-9A-Za-z #\-]*
docketCaseNameENTITY_NAME_256_TYPE0..1minLength=1; maxLength=256; pattern=([\w\s!\\#$(),.:;=@\-{}|/&]+)
date(group: EXACT_OR_EXPLANATION_1K)0..1
dateDATE_TYPE0..1pattern=\d{1,2}-\d{1,2}-\d{4}
(choice)1..1exactly one of the following branches
exactstring1*..1
explanationInfo(group: EXPLANATION_INFO_1K)1*..1
explanationstring1..1
provideExplanationSTRING_1K_TYPE1..1minLength=1; maxLength=1000
matterResolvedLIEN_RESOLVED_OPTION_TYPE0..1LIEN_RESOLVED_TYPE (one of: Discharged, Released, Removed, Satisfied) or LIEN_RESOLVED_TYPE_EXTENDED (one of: Other)
matterResolvedExplanationSTRING_3K_TYPE0..1minLength=1; maxLength=3000
civilJudicialDisclosure(group: CIVIL_JUDICIAL_DISCLOSURE_CONTAINER)0..1
civilJudicialDrp(group: CIVIL_JUDICIAL_DISCLOSURE_TYPE)1..100
baseHeader(group: HEADER_DATA)1..1
reponseType(group: ADD_AMENDED)1..1
(choice)1..1exactly one of the following branches
addstring1*..1
amendstring1*..1
filingInfo(group: FILED_DRP)0..1
formADVBDFiling(group: IARD_CRD_FILING)0..1
filingNameSTRING_256_TYPE1..1minLength=1; maxLength=256
crdNumberCRD_NUMBER_TYPE1..1minLength=1; maxLength=9
disclosureNumberSTRING_256_TYPE1..1minLength=1; maxLength=256
maFiling(group: MAI_COMMON_FILING)0..1
filingNameSTRING_256_TYPE1..1minLength=1; maxLength=256
registrationNumberFILE_NUMBER_TYPE1..1pattern=\d{1,3}-\d{1,8}-[a-zA-Z0-9]{1,4}|\d{1,3}-\d{1,8}|24R-\d{1,8}-[a-zA-Z0-9]{1,4}|24R-\d{1,8}
filingDateDATE_TYPE1..1pattern=\d{1,2}-\d{1,2}-\d{4}
accessionNumberACCESSION_NUMBER_TYPE1..1pattern=[*]{0}|[0-9]{1,10}\-[0-9]{1,2}\-[0-9]{1,6}
maiFiling(group: MAI_COMMON_FILING)0..1
filingNameSTRING_256_TYPE1..1minLength=1; maxLength=256
registrationNumberFILE_NUMBER_TYPE1..1pattern=\d{1,3}-\d{1,8}-[a-zA-Z0-9]{1,4}|\d{1,3}-\d{1,8}|24R-\d{1,8}-[a-zA-Z0-9]{1,4}|24R-\d{1,8}
filingDateDATE_TYPE1..1pattern=\d{1,2}-\d{1,2}-\d{4}
accessionNumberACCESSION_NUMBER_TYPE1..1pattern=[*]{0}|[0-9]{1,10}\-[0-9]{1,2}\-[0-9]{1,6}
matFiling(group: MAT_FILING)0..1
filingNameSTRING_256_TYPE1..1minLength=1; maxLength=256
registrationNumberFILE_NUMBER_TYPE1..1pattern=\d{1,3}-\d{1,8}-[a-zA-Z0-9]{1,4}|\d{1,3}-\d{1,8}|24R-\d{1,8}-[a-zA-Z0-9]{1,4}|24R-\d{1,8}
filingDateDATE_TYPE1..1pattern=\d{1,2}-\d{1,2}-\d{4}
summarySTRING_10K_TYPE0..1minLength=1; maxLength=10000
drpRemovalInfo(group: APPLICANT_HEADER_INFORMATION)0..1
isDrpRemovableYES_NO_TYPE0..1one of: Y, N
drpRemoveReason(group: DRP_REMOVE_REASON)0..1
(choice)1..1exactly one of the following branches
isRegisteredstring1*..1
isFiledError(group: FILEDERROR_10K)1*..1
explainTheCircumstancesSTRING_10K_TYPE1..1minLength=1; maxLength=10000
status(group: EVENT_STATUS_TYPE)0..1
(choice)1..1exactly one of the following branches
pendingstring1*..1
onAppealstring1*..1
finalstring1*..1
civilJudicialQuestionsCIVIL_JUDICIAL_DISCLOSURE_QUESTIONS1..4one of: 6H(1)(a), 6H(1)(b), 6H(1)(c), 6H(2)
drpData(group: CIVIL_JUDICIAL_DRP_DATA)0..1
initiatedBy(group: CIVIL_JUDICIAL_ACTION_INITIATED_BY_TYPES)1..1
initiatorCIVIL_JUDICIAL_ACTION_INITIATED_BY_TYPE1..10one of: SEC, Other Federal Authority, State, SRO, Foreign Financial Regulatory Authority, Commodities Exchange, Private Plantiff, CFTC, Municipal Advisory Firm, Other
otherSTRING_256_TYPE0..1minLength=1; maxLength=256
plantiffsInformation(group: PLANTIFFS_INFORMATION_CONTAINER)0..1
plantiffNameSTRING_10K_TYPE0..1minLength=1; maxLength=10000
isPlantiffsIdentifiedYES_NO_TYPE1..1one of: Y, N
defendantInformation(group: DEFENDANTS_INFORMATION_CONTAINER)1..1
defendantNameSTRING_10K_TYPE1..1minLength=1; maxLength=10000
isADefendantYES_NO_TYPE1..1one of: Y, N
involementInformationSTRING_3K_TYPE0..1minLength=1; maxLength=3000
sactionsReliefSought(group: CIVIL_JUDICIAL_SANCTIONS_TYPES)1..1
sanctionReliefCIVIL_JUDICIAL_SANCTIONS1..21SANCTION_TYPE (SANCTION_BASE_TYPE (one of: BarPermanent, BarTemporary, Censure, CivilAdminPenaltyFine, Denial, Expulsion, Prohibition, Reprimand, Rescission, Requalification, Revocation, Suspension, Undertaking, Other) or PRINCIPAL_SANCTION_RELIEF_BASE (one of: Cease and Desist, Disgorgement, Injunction, Restitution)) or CIVIL_JUDICIAL_SANCTIONS_TYPE (one of: Exemption, Money Damage(s) (Private/Civil Complaint), Restraining Order)
otherSTRING_3K_TYPE0..1minLength=1; maxLength=3000
filingDateCourtAction(group: EXACT_OR_EXPLANATION_1K)1..1
dateDATE_TYPE0..1pattern=\d{1,2}-\d{1,2}-\d{4}
(choice)1..1exactly one of the following branches
exactstring1*..1
explanationInfo(group: EXPLANATION_INFO_1K)1*..1
explanationstring1..1
provideExplanationSTRING_1K_TYPE1..1minLength=1; maxLength=1000
notificationServedInformation(group: EXACT_OR_EXPLANATION_1K)1..1
dateDATE_TYPE0..1pattern=\d{1,2}-\d{1,2}-\d{4}
(choice)1..1exactly one of the following branches
exactstring1*..1
explanationInfo(group: EXPLANATION_INFO_1K)1*..1
explanationstring1..1
provideExplanationSTRING_1K_TYPE1..1minLength=1; maxLength=1000
courtInfo(group: CRIMINAL_EVENT_COURT)1..1
courtCRIMINAL_EVENT_COURT_TYPES1..1one of: Federal Court, Military Court, State Court, Foreign Country Court, International Court, Other
otherSTRING_1K_TYPE0..1minLength=1; maxLength=1000
civilJudicialInfo(group: JUDICIAL_REG_COMMON_INFO_10K)1..1
courtInformation(group: FORMAL_CHARGES_DOCKET_INFO)1..1
courtInfo(group: CHARGES_WHERE_BROUGHT_IN)1..1
nameSTRING_256_TYPE0..1minLength=1; maxLength=256
docketOrCaseNoSTRING_256_TYPE1..1minLength=1; maxLength=256
address(group: ADDRESS_TYPE)1..1
street1STREET_TYPE1..1minLength=1; maxLength=40
street2STREET_TYPE0..1minLength=1; maxLength=40
citySTRING_30_TYPE1..1minLength=1; maxLength=30
stateOrCountrySTATE_COUNTRY_CODE1..1one of 331 codes (AL, AK, AZ, AR, CA, …; full list in the XSD)
zipCodeZIP_TYPE1..1minLength=1; maxLength=10; pattern=[0-9A-Za-z #\-]*
docketCaseNameENTITY_NAME_256_TYPE0..1minLength=1; maxLength=256; pattern=([\w\s!\\#$(),.:;=@\-{}|/&]+)
matterInformation(group: JUDICIAL_REG_CUST_COMMON_INFO)1..1
employingFirmInfo(group: EMPLOYING_FIRM_INFO)1..1
nameSTRING_256_TYPE1..1minLength=1; maxLength=256
registrationNumberFILE_NUMBER_TYPE0..1pattern=\d{1,3}-\d{1,8}-[a-zA-Z0-9]{1,4}|\d{1,3}-\d{1,8}|24R-\d{1,8}-[a-zA-Z0-9]{1,4}|24R-\d{1,8}
crdNumberCRD_NUMBER_TYPE0..1minLength=1; maxLength=9
principalProductTypes(group: PRINCIPAL_PRODUCT_TYPES)1..1
productPRINCIPAL_PRODUCT_TYPE1..35PRINCIPAL_PRODUCT_OPTION_TYPE (one of: Annuity(ies) - Fixed, Annuity(ies) - Variable, CD(s), Commodity Option(s), Debt - Asset Backed, Debt - Corporate, Debt - Government, Debt - Municipal, Derivative(s), Direct Investment(s) - DPP & LP Interest(s), Equity - OTC, Equity Listed (Common & Preferred Stock), Futures - Commodity, Futures - Financial, Index Option(s), Insurance, Investment Contract(s), Money Market Fund(s), Mutual Fund(s), No Product, Options, Penny Sock(s), Unit Investment Trust(s)) or PRINCIPAL_PRODUCT_TYPE_EXTENDED (one of: AnnuityCharitable, BankingProduct, EquipmentLeasing, OilAndGas, PrimeBankInstrument, Promissory Note, Real Estate Security, Security Futures, Security-based Swap, Swap, Viatical Settlement, Other)
productOtherSTRING_1K_TYPE0..1minLength=1; maxLength=1000
otherProductTypesSTRING_1K_TYPE0..1minLength=1; maxLength=1000
allegationsDescriptionSTRING_10K_TYPE1..1minLength=1; maxLength=10000
pendingInformation(group: PENDING_INFORMATION_3K)0..1
servedInformation(group: EXACT_OR_EXPLANATION_1K)1..1
dateDATE_TYPE0..1pattern=\d{1,2}-\d{1,2}-\d{4}
(choice)1..1exactly one of the following branches
exactstring1*..1
explanationInfo(group: EXPLANATION_INFO_1K)1*..1
explanationstring1..1
provideExplanationSTRING_1K_TYPE1..1minLength=1; maxLength=1000
limitationsRestrictions(group: LIMITATIONS_RESTRICTIONS_TYPE_3K)1..1
hasLimitationsOrRestrictionsYES_NO_TYPE1..1one of: Y, N
detailsSTRING_3K_TYPE0..1minLength=1; maxLength=3000
appealInformation(group: APPEAL_INFORMATION_TYPE_JUDICIAL_3K)0..1
appealBroughtInInformation(group: FORMAL_CHARGES_DOCKET_INFO)0..1
courtInfo(group: CHARGES_WHERE_BROUGHT_IN)1..1
nameSTRING_256_TYPE0..1minLength=1; maxLength=256
docketOrCaseNoSTRING_256_TYPE1..1minLength=1; maxLength=256
address(group: ADDRESS_TYPE)1..1
street1STREET_TYPE1..1minLength=1; maxLength=40
street2STREET_TYPE0..1minLength=1; maxLength=40
citySTRING_30_TYPE1..1minLength=1; maxLength=30
stateOrCountrySTATE_COUNTRY_CODE1..1one of 331 codes (AL, AK, AZ, AR, CA, …; full list in the XSD)
zipCodeZIP_TYPE1..1minLength=1; maxLength=10; pattern=[0-9A-Za-z #\-]*
docketCaseNameENTITY_NAME_256_TYPE0..1minLength=1; maxLength=256; pattern=([\w\s!\\#$(),.:;=@\-{}|/&]+)
dateInformation(group: EXACT_OR_EXPLANATION_3K)0..1
dateDATE_TYPE0..1pattern=\d{1,2}-\d{1,2}-\d{4}
(choice)1..1exactly one of the following branches
exactstring1*..1
explanationInfo(group: EXPLANATION_INFO_3K)1*..1
explanationstring1..1
provideExplanationSTRING_3K_TYPE1..1minLength=1; maxLength=3000
detailsSTRING_10K_TYPE0..1minLength=1; maxLength=10000
limitationsRestrictions(group: LIMITATIONS_RESTRICTIONS_TYPE)0..1
hasLimitationsOrRestrictionsYES_NO_TYPE1..1one of: Y, N
detailsSTRING_1K_TYPE0..1minLength=1; maxLength=1000
resolutionDetail(group: RESOLUTION_DETAIL_10K)0..1
sactionsOrdered(group: SANCTIONS_TYPE_10K)1..1
sactionSANCTION_TYPE1..20SANCTION_BASE_TYPE (one of: BarPermanent, BarTemporary, Censure, CivilAdminPenaltyFine, Denial, Exemption, Expulsion, MoneyDamages, Prohibition, Reprimand, Rescission, Requalification, RestrainingOrder, Revocation, Suspension, Undertaking) or PRINCIPAL_SANCTION_RELIEF_BASE (one of: Cease and Desist, Disgorgement, Injunction, Restitution)
otherExplanationSTRING_10K_TYPE0..1minLength=1; maxLength=10000
amountOrderedDECIMAL_TYPE16_20..1totalDigits=16; fractionDigits=2; minInclusive=0; pattern=\d{0,14}\.\d\d
sanctionDetails(group: SANCTION_DETAILS)0..1
barred(group: SANCTION_BASE_INFORMATION)0..n
duration(group: DURATION_INFORMATION_TYPE)1..1
durationType(group: DURATION_TYPE)1..1
(choice)1..1exactly one of the following branches
permanentstring0..1
durationTime(group: SENTENCE_DURATION_TYPE)0..1
daysSTRING_NUMERIC_3_TYPE0..1pattern=\d{1,10}
monthsSTRING_NUMERIC_3_TYPE0..1pattern=\d{1,10}
yearsSTRING_NUMERIC_3_TYPE0..1pattern=\d{1,10}
startDate(group: EXACT_OR_EXPLANATION_3K)1..1
dateDATE_TYPE0..1pattern=\d{1,2}-\d{1,2}-\d{4}
(choice)1..1exactly one of the following branches
exactstring1*..1
explanationInfo(group: EXPLANATION_INFO_3K)1*..1
explanationstring1..1
provideExplanationSTRING_3K_TYPE1..1minLength=1; maxLength=3000
endDate(group: EXACT_OR_EXPLANATION_3K)0..1
dateDATE_TYPE0..1pattern=\d{1,2}-\d{1,2}-\d{4}
(choice)1..1exactly one of the following branches
exactstring1*..1
explanationInfo(group: EXPLANATION_INFO_3K)1*..1
explanationstring1..1
provideExplanationSTRING_3K_TYPE1..1minLength=1; maxLength=3000
descriptionSTRING_3K_TYPE0..1minLength=1; maxLength=3000
enjoined(group: SANCTION_BASE_INFORMATION)0..n
duration(group: DURATION_INFORMATION_TYPE)1..1
durationType(group: DURATION_TYPE)1..1
(choice)1..1exactly one of the following branches
permanentstring0..1
durationTime(group: SENTENCE_DURATION_TYPE)0..1
daysSTRING_NUMERIC_3_TYPE0..1pattern=\d{1,10}
monthsSTRING_NUMERIC_3_TYPE0..1pattern=\d{1,10}
yearsSTRING_NUMERIC_3_TYPE0..1pattern=\d{1,10}
startDate(group: EXACT_OR_EXPLANATION_3K)1..1
dateDATE_TYPE0..1pattern=\d{1,2}-\d{1,2}-\d{4}
(choice)1..1exactly one of the following branches
exactstring1*..1
explanationInfo(group: EXPLANATION_INFO_3K)1*..1
explanationstring1..1
provideExplanationSTRING_3K_TYPE1..1minLength=1; maxLength=3000
endDate(group: EXACT_OR_EXPLANATION_3K)0..1
dateDATE_TYPE0..1pattern=\d{1,2}-\d{1,2}-\d{4}
(choice)1..1exactly one of the following branches
exactstring1*..1
explanationInfo(group: EXPLANATION_INFO_3K)1*..1
explanationstring1..1
provideExplanationSTRING_3K_TYPE1..1minLength=1; maxLength=3000
descriptionSTRING_3K_TYPE0..1minLength=1; maxLength=3000
suspended(group: SANCTION_BASE_INFORMATION)0..n
duration(group: DURATION_INFORMATION_TYPE)1..1
durationType(group: DURATION_TYPE)1..1
(choice)1..1exactly one of the following branches
permanentstring0..1
durationTime(group: SENTENCE_DURATION_TYPE)0..1
daysSTRING_NUMERIC_3_TYPE0..1pattern=\d{1,10}
monthsSTRING_NUMERIC_3_TYPE0..1pattern=\d{1,10}
yearsSTRING_NUMERIC_3_TYPE0..1pattern=\d{1,10}
startDate(group: EXACT_OR_EXPLANATION_3K)1..1
dateDATE_TYPE0..1pattern=\d{1,2}-\d{1,2}-\d{4}
(choice)1..1exactly one of the following branches
exactstring1*..1
explanationInfo(group: EXPLANATION_INFO_3K)1*..1
explanationstring1..1
provideExplanationSTRING_3K_TYPE1..1minLength=1; maxLength=3000
endDate(group: EXACT_OR_EXPLANATION_3K)0..1
dateDATE_TYPE0..1pattern=\d{1,2}-\d{1,2}-\d{4}
(choice)1..1exactly one of the following branches
exactstring1*..1
explanationInfo(group: EXPLANATION_INFO_3K)1*..1
explanationstring1..1
provideExplanationSTRING_3K_TYPE1..1minLength=1; maxLength=3000
descriptionSTRING_3K_TYPE0..1minLength=1; maxLength=3000
isReqaulificationRequiredYES_NO_TYPE0..1one of: Y, N
requalificationDetails(group: SANCTION_REQUALIFICATION_INFORMATION)0..1
timeToReqaulifyRetrain(group: REQUALIFY_DURATION_INFORMATION_TYPE)1..1
(choice)1..1exactly one of the following branches
noTimePeriodSpecifiedstring1*..1
durationTime(group: SENTENCE_DURATION_TYPE)1*..1
daysSTRING_NUMERIC_3_TYPE0..1pattern=\d{1,10}
monthsSTRING_NUMERIC_3_TYPE0..1pattern=\d{1,10}
yearsSTRING_NUMERIC_3_TYPE0..1pattern=\d{1,10}
typeRequiredSTRING_1K_TYPE1..1minLength=1; maxLength=1000
conditionState(group: CONDITION_STATE_10K)1..1
(choice)1..1exactly one of the following branches
satisfied(group: CONDITION_STATE_SATISFIED)1*..1
satisfiedstring1..1
satisfiedDateDATE_TYPE1..1pattern=\d{1,2}-\d{1,2}-\d{4}
notSatisfied(group: CONDITION_STATE_NOT_SATISFIED_1K)1*..1
satisfiedstring1..1
explanationSTRING_1K_TYPE1..1minLength=1; maxLength=1000
monetarySanctions(group: MONETARY_SANCTION)0..1
totalAmountOrderedDECIMAL_TYPE16_20..1totalDigits=16; fractionDigits=2; minInclusive=0; pattern=\d{0,14}\.\d\d
amountOrderedDECIMAL_TYPE16_20..1totalDigits=16; fractionDigits=2; minInclusive=0; pattern=\d{0,14}\.\d\d
waivedPortionDECIMAL_TYPE16_20..1totalDigits=16; fractionDigits=2; minInclusive=0; pattern=\d{0,14}\.\d\d
finalAmountDECIMAL_TYPE16_2_NEGATIVE0..1totalDigits=18; fractionDigits=2; pattern=[\+\-]?\d{0,16}\.\d\d
paymentState(group: AMOUNT_PAID_STATE)0..1
(choice)1..1exactly one of the following branches
paidInFull(group: AMOUNT_PAID_IN_FULL)1*..1
amountPaidInFullstring1..1
paidDateDATE_TYPE1..1pattern=\d{1,2}-\d{1,2}-\d{4}
notPaidInFull(group: AMOUNT_NOT_PAID_IN_FULL_TYPE)1*..1
amountNotPaidInFullstring1..1
explanationSTRING_1K_TYPE1..1minLength=1; maxLength=1000
resolutionInfo(group: JUDICIAL_RESOLUTION_INFO)0..1
resolutionTypesCIVIL_JUDICIAL_TYPE1..12one of: Consent, Decision, Decision And Order of Offer Settlement, Judgement Rendered, Stipulation and Consent, Opinion, Settled, Withdrawn, Dismissed, Order, Appealed, Other
otherDescriptionSTRING_1K_TYPE0..1minLength=1; maxLength=1000
appealTypeAPPEAL_EXTENDED_TYPES0..5APPEAL_TYPES (one of: Affirmed, Vacated & Returned For Further Action, Vacated / Final, Other) or APPEAL_EXTENDED_TYPE (one of: Vacated Nunc Pro Tunc / ab initio)
appealOtherSTRING_1K_TYPE0..1minLength=1; maxLength=1000
explanantionSTRING_10K_TYPE0..1minLength=1; maxLength=10000
isFinalOrderYES_NO_TYPE0..1one of: Y, N
resolutionDate(group: EXACT_OR_EXPLANATION_1K)0..1
dateDATE_TYPE0..1pattern=\d{1,2}-\d{1,2}-\d{4}
(choice)1..1exactly one of the following branches
exactstring1*..1
explanationInfo(group: EXPLANATION_INFO_1K)1*..1
explanationstring1..1
provideExplanationSTRING_1K_TYPE1..1minLength=1; maxLength=1000
customerComplaintDisclosure(group: CUSTOMER_COMPLAINT_DISCLOSURE_CONTAINER)0..1
customerComplaintDrp(group: CUSTOMER_COMPLAINT_DISCLOSURE_TYPE)1..n
baseHeader(group: HEADER_DATA)1..1
reponseType(group: ADD_AMENDED)1..1
(choice)1..1exactly one of the following branches
addstring1*..1
amendstring1*..1
filingInfo(group: FILED_DRP)0..1
formADVBDFiling(group: IARD_CRD_FILING)0..1
filingNameSTRING_256_TYPE1..1minLength=1; maxLength=256
crdNumberCRD_NUMBER_TYPE1..1minLength=1; maxLength=9
disclosureNumberSTRING_256_TYPE1..1minLength=1; maxLength=256
maFiling(group: MAI_COMMON_FILING)0..1
filingNameSTRING_256_TYPE1..1minLength=1; maxLength=256
registrationNumberFILE_NUMBER_TYPE1..1pattern=\d{1,3}-\d{1,8}-[a-zA-Z0-9]{1,4}|\d{1,3}-\d{1,8}|24R-\d{1,8}-[a-zA-Z0-9]{1,4}|24R-\d{1,8}
filingDateDATE_TYPE1..1pattern=\d{1,2}-\d{1,2}-\d{4}
accessionNumberACCESSION_NUMBER_TYPE1..1pattern=[*]{0}|[0-9]{1,10}\-[0-9]{1,2}\-[0-9]{1,6}
maiFiling(group: MAI_COMMON_FILING)0..1
filingNameSTRING_256_TYPE1..1minLength=1; maxLength=256
registrationNumberFILE_NUMBER_TYPE1..1pattern=\d{1,3}-\d{1,8}-[a-zA-Z0-9]{1,4}|\d{1,3}-\d{1,8}|24R-\d{1,8}-[a-zA-Z0-9]{1,4}|24R-\d{1,8}
filingDateDATE_TYPE1..1pattern=\d{1,2}-\d{1,2}-\d{4}
accessionNumberACCESSION_NUMBER_TYPE1..1pattern=[*]{0}|[0-9]{1,10}\-[0-9]{1,2}\-[0-9]{1,6}
matFiling(group: MAT_FILING)0..1
filingNameSTRING_256_TYPE1..1minLength=1; maxLength=256
registrationNumberFILE_NUMBER_TYPE1..1pattern=\d{1,3}-\d{1,8}-[a-zA-Z0-9]{1,4}|\d{1,3}-\d{1,8}|24R-\d{1,8}-[a-zA-Z0-9]{1,4}|24R-\d{1,8}
filingDateDATE_TYPE1..1pattern=\d{1,2}-\d{1,2}-\d{4}
summarySTRING_10K_TYPE0..1minLength=1; maxLength=10000
drpRemovalInfo(group: APPLICANT_HEADER_INFORMATION)0..1
isDrpRemovableYES_NO_TYPE0..1one of: Y, N
drpRemoveReason(group: DRP_REMOVE_REASON)0..1
(choice)1..1exactly one of the following branches
isRegisteredstring1*..1
isFiledError(group: FILEDERROR_10K)1*..1
explainTheCircumstancesSTRING_10K_TYPE1..1minLength=1; maxLength=10000
status(group: EVENT_STATUS_TYPE)0..1
(choice)1..1exactly one of the following branches
pendingstring1*..1
onAppealstring1*..1
finalstring1*..1
customerComplaintQuestionsCUSTOMER_COMPLAINT_DISCLOSURE_QUESTIONS1..5one of: 6I(1)(a), 6I(1)(b), 6I(2)(a), 6I(2)(b), 6I(2)(c)
drpData(group: CUSTOMER_COMPLAINT_DRP_DATA)0..1
disclosureStatus(group: CUSTOMER_DISCLOSURE_STATUS)1..1
(choice)1..1exactly one of the following branches
isNotNamedAsPartyYES_NO_TYPE1*..1one of: Y, N
isNamedAsParty(group: NAMED_PARTY)1*..1
isInvolveArbitrationYES_NO_TYPE0..1one of: Y, N
isInvolveLitigationYES_NO_TYPE0..1one of: Y, N
customerNameSTRING_3K_TYPE1..1minLength=1; maxLength=3000
customerResidenceSTATE_COUNTRY_CODE1..1one of 331 codes (AL, AK, AZ, AR, CA, …; full list in the XSD)
customerOtherResidenceSTRING_3K_TYPE0..1minLength=1; maxLength=3000
matterInformation(group: JUDICIAL_REG_CUST_COMMON_INFO)1..1
employingFirmInfo(group: EMPLOYING_FIRM_INFO)1..1
nameSTRING_256_TYPE1..1minLength=1; maxLength=256
registrationNumberFILE_NUMBER_TYPE0..1pattern=\d{1,3}-\d{1,8}-[a-zA-Z0-9]{1,4}|\d{1,3}-\d{1,8}|24R-\d{1,8}-[a-zA-Z0-9]{1,4}|24R-\d{1,8}
crdNumberCRD_NUMBER_TYPE0..1minLength=1; maxLength=9
principalProductTypes(group: PRINCIPAL_PRODUCT_TYPES)1..1
productPRINCIPAL_PRODUCT_TYPE1..35PRINCIPAL_PRODUCT_OPTION_TYPE (one of: Annuity(ies) - Fixed, Annuity(ies) - Variable, CD(s), Commodity Option(s), Debt - Asset Backed, Debt - Corporate, Debt - Government, Debt - Municipal, Derivative(s), Direct Investment(s) - DPP & LP Interest(s), Equity - OTC, Equity Listed (Common & Preferred Stock), Futures - Commodity, Futures - Financial, Index Option(s), Insurance, Investment Contract(s), Money Market Fund(s), Mutual Fund(s), No Product, Options, Penny Sock(s), Unit Investment Trust(s)) or PRINCIPAL_PRODUCT_TYPE_EXTENDED (one of: AnnuityCharitable, BankingProduct, EquipmentLeasing, OilAndGas, PrimeBankInstrument, Promissory Note, Real Estate Security, Security Futures, Security-based Swap, Swap, Viatical Settlement, Other)
productOtherSTRING_1K_TYPE0..1minLength=1; maxLength=1000
otherProductTypesSTRING_1K_TYPE0..1minLength=1; maxLength=1000
allegationsDescriptionSTRING_10K_TYPE1..1minLength=1; maxLength=10000
damageInfo(group: DAMAGE_EXACT_OR_EXPLANATION)0..1
damageAmountDECIMAL_TYPE16_21..1totalDigits=16; fractionDigits=2; minInclusive=0; pattern=\d{0,14}\.\d\d
(choice)1..1exactly one of the following branches
exactstring1*..1
explanationInfo(group: EXPLANATION_INFO_1K)1*..1
explanationstring1..1
provideExplanationSTRING_1K_TYPE1..1minLength=1; maxLength=1000
isOralComplaintYES_NO_TYPE0..1one of: Y, N
isWrittenComplaintYES_NO_TYPE0..1one of: Y, N
arbitrationDetail(group: CHARGES_EXACT_COMMON)0..1
detail(group: FORMAL_CHARGES_DOCKET_INFO)1..1
courtInfo(group: CHARGES_WHERE_BROUGHT_IN)1..1
nameSTRING_256_TYPE0..1minLength=1; maxLength=256
docketOrCaseNoSTRING_256_TYPE1..1minLength=1; maxLength=256
address(group: ADDRESS_TYPE)1..1
street1STREET_TYPE1..1minLength=1; maxLength=40
street2STREET_TYPE0..1minLength=1; maxLength=40
citySTRING_30_TYPE1..1minLength=1; maxLength=30
stateOrCountrySTATE_COUNTRY_CODE1..1one of 331 codes (AL, AK, AZ, AR, CA, …; full list in the XSD)
zipCodeZIP_TYPE1..1minLength=1; maxLength=10; pattern=[0-9A-Za-z #\-]*
docketCaseNameENTITY_NAME_256_TYPE0..1minLength=1; maxLength=256; pattern=([\w\s!\\#$(),.:;=@\-{}|/&]+)
date(group: EXACT_OR_EXPLANATION_1K)0..1
dateDATE_TYPE0..1pattern=\d{1,2}-\d{1,2}-\d{4}
(choice)1..1exactly one of the following branches
exactstring1*..1
explanationInfo(group: EXPLANATION_INFO_1K)1*..1
explanationstring1..1
provideExplanationSTRING_1K_TYPE1..1minLength=1; maxLength=1000
filingDateArbitrationDATE_TYPE0..1pattern=\d{1,2}-\d{1,2}-\d{4}
finalStatusARBITRATION_TYPE0..8one of: Closed/ No Action, Withdrawn, Denied, Settled, Arbitration Award/Monetary Judgement(for claimants/plaintiffs), Arbitration Award/Monetary Judgement(for respondents/defendants), Evolved into Arbitration/CFTC reparation, Evolved into Civil litigation
statusDate(group: EXACT_OR_EXPLANATION_3K)0..1
dateDATE_TYPE0..1pattern=\d{1,2}-\d{1,2}-\d{4}
(choice)1..1exactly one of the following branches
exactstring1*..1
explanationInfo(group: EXPLANATION_INFO_3K)1*..1
explanationstring1..1
provideExplanationSTRING_3K_TYPE1..1minLength=1; maxLength=3000
monetaryJudgmentAmountDECIMAL_TYPE16_20..1totalDigits=16; fractionDigits=2; minInclusive=0; pattern=\d{0,14}\.\d\d
judgementInfo(group: JUDGEMENT_INFO_1K)0..1
totalAmountDECIMAL_TYPE16_20..1totalDigits=16; fractionDigits=2; minInclusive=0; pattern=\d{0,14}\.\d\d
contributionAmountDECIMAL_TYPE16_20..1totalDigits=16; fractionDigits=2; minInclusive=0; pattern=\d{0,14}\.\d\d
amountInfo(group: MONETARY_PENALTY_1K)0..1
reducedAmountDECIMAL_TYPE16_20..1totalDigits=16; fractionDigits=2; minInclusive=0; pattern=\d{0,14}\.\d\d
totalFineDECIMAL_TYPE16_2_NEGATIVE1..1totalDigits=18; fractionDigits=2; pattern=[\+\-]?\d{0,16}\.\d\d
paidStatus(group: MONETARY_PAYMENT_STATUS_1K)1..1
(choice)1..1exactly one of the following branches
paidInFullDateDATE_TYPE1*..1pattern=\d{1,2}-\d{1,2}-\d{4}
explanationSTRING_1K_TYPE1*..1minLength=1; maxLength=1000
claimFiledWithSTRING_1K_TYPE0..1minLength=1; maxLength=1000
forumLocation(group: CHARGES_EXACT_COMMON)0..1
detail(group: FORMAL_CHARGES_DOCKET_INFO)1..1
courtInfo(group: CHARGES_WHERE_BROUGHT_IN)1..1
nameSTRING_256_TYPE0..1minLength=1; maxLength=256
docketOrCaseNoSTRING_256_TYPE1..1minLength=1; maxLength=256
address(group: ADDRESS_TYPE)1..1
street1STREET_TYPE1..1minLength=1; maxLength=40
street2STREET_TYPE0..1minLength=1; maxLength=40
citySTRING_30_TYPE1..1minLength=1; maxLength=30
stateOrCountrySTATE_COUNTRY_CODE1..1one of 331 codes (AL, AK, AZ, AR, CA, …; full list in the XSD)
zipCodeZIP_TYPE1..1minLength=1; maxLength=10; pattern=[0-9A-Za-z #\-]*
docketCaseNameENTITY_NAME_256_TYPE0..1minLength=1; maxLength=256; pattern=([\w\s!\\#$(),.:;=@\-{}|/&]+)
date(group: EXACT_OR_EXPLANATION_1K)0..1
dateDATE_TYPE0..1pattern=\d{1,2}-\d{1,2}-\d{4}
(choice)1..1exactly one of the following branches
exactstring1*..1
explanationInfo(group: EXPLANATION_INFO_1K)1*..1
explanationstring1..1
provideExplanationSTRING_1K_TYPE1..1minLength=1; maxLength=1000
dispositionType(group: DISPOSITION_TYPE_OTHER)0..1
dispositionTypesDISPOSITION_EXTENDED_TYPES0..10DISPOSITION_BASE_TYPE (one of: Denied, Dismissed, Judgement (other than monetary), No Action, Settlement that includes a monetary payment to customer, Settlement without a monetary payment to customer, Withdrawn, Other) or DISPOSITION_EXTENDED_TYPE (one of: Award to Applicant (Agent/Representative), Award to Customer)
otherInfo(group: DISPOSITION_COMMON)0..1
otherSTRING_1K_TYPE0..1minLength=1; maxLength=1000
dispositionDate(group: EXACT_OR_EXPLANATION_1K)0..1
dateDATE_TYPE0..1pattern=\d{1,2}-\d{1,2}-\d{4}
(choice)1..1exactly one of the following branches
exactstring1*..1
explanationInfo(group: EXPLANATION_INFO_1K)1*..1
explanationstring1..1
provideExplanationSTRING_1K_TYPE1..1minLength=1; maxLength=1000
dispositionInfo(group: CUSTOMER_COMPLAINT_PENDING_INFORMATION)0..1
compensationDetail(group: JUDGEMENT_INFO_1K)0..1
totalAmountDECIMAL_TYPE16_20..1totalDigits=16; fractionDigits=2; minInclusive=0; pattern=\d{0,14}\.\d\d
contributionAmountDECIMAL_TYPE16_20..1totalDigits=16; fractionDigits=2; minInclusive=0; pattern=\d{0,14}\.\d\d
amountInfo(group: MONETARY_PENALTY_1K)0..1
reducedAmountDECIMAL_TYPE16_20..1totalDigits=16; fractionDigits=2; minInclusive=0; pattern=\d{0,14}\.\d\d
totalFineDECIMAL_TYPE16_2_NEGATIVE1..1totalDigits=18; fractionDigits=2; pattern=[\+\-]?\d{0,16}\.\d\d
paidStatus(group: MONETARY_PAYMENT_STATUS_1K)1..1
(choice)1..1exactly one of the following branches
paidInFullDateDATE_TYPE1*..1pattern=\d{1,2}-\d{1,2}-\d{4}
explanationSTRING_1K_TYPE1*..1minLength=1; maxLength=1000
courtInfo(group: CRIMINAL_EVENT_COURT)0..1
courtCRIMINAL_EVENT_COURT_TYPES1..1one of: Federal Court, Military Court, State Court, Foreign Country Court, International Court, Other
otherSTRING_1K_TYPE0..1minLength=1; maxLength=1000
appealInfo(group: CHARGES_EXACT_COMMON)0..1
detail(group: FORMAL_CHARGES_DOCKET_INFO)1..1
courtInfo(group: CHARGES_WHERE_BROUGHT_IN)1..1
nameSTRING_256_TYPE0..1minLength=1; maxLength=256
docketOrCaseNoSTRING_256_TYPE1..1minLength=1; maxLength=256
address(group: ADDRESS_TYPE)1..1
street1STREET_TYPE1..1minLength=1; maxLength=40
street2STREET_TYPE0..1minLength=1; maxLength=40
citySTRING_30_TYPE1..1minLength=1; maxLength=30
stateOrCountrySTATE_COUNTRY_CODE1..1one of 331 codes (AL, AK, AZ, AR, CA, …; full list in the XSD)
zipCodeZIP_TYPE1..1minLength=1; maxLength=10; pattern=[0-9A-Za-z #\-]*
docketCaseNameENTITY_NAME_256_TYPE0..1minLength=1; maxLength=256; pattern=([\w\s!\\#$(),.:;=@\-{}|/&]+)
date(group: EXACT_OR_EXPLANATION_1K)0..1
dateDATE_TYPE0..1pattern=\d{1,2}-\d{1,2}-\d{4}
(choice)1..1exactly one of the following branches
exactstring1*..1
explanationInfo(group: EXPLANATION_INFO_1K)1*..1
explanationstring1..1
provideExplanationSTRING_1K_TYPE1..1minLength=1; maxLength=1000
resolutionType(group: RESOLUTION_TYPE_OTHER)0..1
dispositionTypesRESOLUTION_EXTENDED_TYPES0..10DISPOSITION_BASE_TYPE (one of: Denied, Dismissed, Judgement (other than monetary), No Action, Settlement that includes a monetary payment to customer, Settlement without a monetary payment to customer, Withdrawn, Other) or RESOLUTION_EXTENDED_TYPE (one of: Monetary Judgement to Applicant (Agent/Representative), Monetary Judgement to Customer)
otherInfo(group: DISPOSITION_COMMON_3K)0..1
otherSTRING_3K_TYPE0..1minLength=1; maxLength=3000
dispositionDate(group: EXACT_OR_EXPLANATION_3K)0..1
dateDATE_TYPE0..1pattern=\d{1,2}-\d{1,2}-\d{4}
(choice)1..1exactly one of the following branches
exactstring1*..1
explanationInfo(group: EXPLANATION_INFO_3K)1*..1
explanationstring1..1
provideExplanationSTRING_3K_TYPE1..1minLength=1; maxLength=3000
resolutionInfo(group: CUSTOMER_COMPLAINT_PENDING_INFORMATION)0..1
compensationDetail(group: JUDGEMENT_INFO_1K)0..1
totalAmountDECIMAL_TYPE16_20..1totalDigits=16; fractionDigits=2; minInclusive=0; pattern=\d{0,14}\.\d\d
contributionAmountDECIMAL_TYPE16_20..1totalDigits=16; fractionDigits=2; minInclusive=0; pattern=\d{0,14}\.\d\d
amountInfo(group: MONETARY_PENALTY_1K)0..1
reducedAmountDECIMAL_TYPE16_20..1totalDigits=16; fractionDigits=2; minInclusive=0; pattern=\d{0,14}\.\d\d
totalFineDECIMAL_TYPE16_2_NEGATIVE1..1totalDigits=18; fractionDigits=2; pattern=[\+\-]?\d{0,16}\.\d\d
paidStatus(group: MONETARY_PAYMENT_STATUS_1K)1..1
(choice)1..1exactly one of the following branches
paidInFullDateDATE_TYPE1*..1pattern=\d{1,2}-\d{1,2}-\d{4}
explanationSTRING_1K_TYPE1*..1minLength=1; maxLength=1000
courtInfo(group: CRIMINAL_EVENT_COURT)0..1
courtCRIMINAL_EVENT_COURT_TYPES1..1one of: Federal Court, Military Court, State Court, Foreign Country Court, International Court, Other
otherSTRING_1K_TYPE0..1minLength=1; maxLength=1000
appealInfo(group: CHARGES_EXACT_COMMON)0..1
detail(group: FORMAL_CHARGES_DOCKET_INFO)1..1
courtInfo(group: CHARGES_WHERE_BROUGHT_IN)1..1
nameSTRING_256_TYPE0..1minLength=1; maxLength=256
docketOrCaseNoSTRING_256_TYPE1..1minLength=1; maxLength=256
address(group: ADDRESS_TYPE)1..1
street1STREET_TYPE1..1minLength=1; maxLength=40
street2STREET_TYPE0..1minLength=1; maxLength=40
citySTRING_30_TYPE1..1minLength=1; maxLength=30
stateOrCountrySTATE_COUNTRY_CODE1..1one of 331 codes (AL, AK, AZ, AR, CA, …; full list in the XSD)
zipCodeZIP_TYPE1..1minLength=1; maxLength=10; pattern=[0-9A-Za-z #\-]*
docketCaseNameENTITY_NAME_256_TYPE0..1minLength=1; maxLength=256; pattern=([\w\s!\\#$(),.:;=@\-{}|/&]+)
date(group: EXACT_OR_EXPLANATION_1K)0..1
dateDATE_TYPE0..1pattern=\d{1,2}-\d{1,2}-\d{4}
(choice)1..1exactly one of the following branches
exactstring1*..1
explanationInfo(group: EXPLANATION_INFO_1K)1*..1
explanationstring1..1
provideExplanationSTRING_1K_TYPE1..1minLength=1; maxLength=1000
appealDetailSTRING_10K_TYPE0..1minLength=1; maxLength=10000
documents(group: EDGAR_DOCUMENT_TYPE)0..500Document names must be lower case and no longer than thirty-two (32) characters in length. The names must start with a letter (a-z) and may contain numbers (0-9) with no spaces. Document names may contain one period (.), one hyphen (-), and one underscore (_) character and must end with *.htm, *.txt, *.pdf, *.fil, *.jpg, *.gif, *.xml or *.xsd extensions.
conformedNameDOCUMENT_NAME_TYPE1..1minLength=1; maxLength=32; pattern=([a-zA-Z0-9]+[\w\._\-]*)([\.](([hH][tT][mM])|([tT][xX][tT])|([pP][dD][fF])|([xX][mM][lL])|([jJ][pP][gG])|([gG][iI][fF])|([fF][iI][lL])|([xX][sS][dD])))
conformedDocumentTypeSUB_DOCUMENT_TYPE1..1SUBMISSION_TYPE (one of 448 codes (10-12B, 10-12B/A, 10-12G, 10-12G/A, 10-D, …; full list in the XSD)) or DOCUMENT_TYPE (BASE_DOCUMENT_TYPE (one of 374 codes (CORRESP, COVER, EU-1, EX-1, EX-1.01, …; full list in the XSD)) or OPEN_DOCUMENT_TYPE (minLength=4; maxLength=128))
relatedFormTypeRELATED_FORM_TYPE0..1one of: 10-D, 10-D/A, ABS-EE, ABS-EE/A
descriptionDOCUMENT_DESCRIPTION_TYPE0..1maxLength=255; minLength=1; pattern=[A-Za-z0-9!#-$%():;'@\*\+\-/=\?\^_~{|},. \\\s<>&"\[\]]{1,255}
contentsDOCUMENT_MIME_BLOCK_TYPE1..1minLength=1
edgarSubmission (eis_MA_W.xsd, 134 fields)
Field (path)TypeOccursAllowed valuesSEC's description
edgarSubmission(group)1..1
schemaVersionSCHEMA_VERSION_TYPE0..1length=5
headerData(group: HEADER_DATA)1..1
submissionTypeSUBMISSION_TYPE1..1one of: MA-W
filerInfo(group: HEADER_DATA)1..1
liveTestFlagLIVE_TEST_TYPE0..1one of: LIVE, TEST
filer(group: FILER_TYPE)1..1
filerIdCIK_TYPE1..1pattern=\d{1,10}
filerCccCCC_TYPE1..1length=8
filerFileNumberFILE_NUMBER_TYPE0..1pattern=\d{1,3}-\d{1,8}-[a-zA-Z0-9]{1,4}|\d{1,3}-\d{1,8}|24R-\d{1,8}-[a-zA-Z0-9]{1,4}|24R-\d{1,8}
contact(group: CONTACT_TYPE)1..1
nameNAME_TYPE0..1minLength=1; maxLength=30; pattern=[A-Za-z0-9!#-$%():;'@\*\+\-/=\?\^_~{|},. \\\s<>&"\[\]]{1,30}
phoneNumberPHONE_TYPE0..1minLength=1; maxLength=20; pattern=[a-zA-Z0-9\-]{1,20}
contactEmailINTERNET_ADDRESS_TYPE1..1maxLength=80; minLength=4; pattern=([a-zA-Z0-9_\-\.]+)@((\[[0-9]{1,3}\.[0-9]{1,3}\.[0-9]{1,3}\.)|(([a-zA-Z0-9\-]+\.)+))([a-zA-Z]{2,7}|[0-9]{1,3})(\]?)
notifications(group: NOTIFICATION_TYPE)0..1
internetNotificationAddressINTERNET_ADDRESS_TYPE1..nmaxLength=80; minLength=4; pattern=([a-zA-Z0-9_\-\.]+)@((\[[0-9]{1,3}\.[0-9]{1,3}\.[0-9]{1,3}\.)|(([a-zA-Z0-9\-]+\.)+))([a-zA-Z]{2,7}|[0-9]{1,3})(\]?)
formData(group: FORM_DATA)1..1
fullLegalNameENTITY_NAME_TYPE1..1minLength=1; maxLength=150; pattern=([A-Za-z0-9\s!\\#$(),.:;=@'\-{}|/&]+)
fileNumberFILE_NUMBER_TYPE1..1pattern=\d{1,3}-\d{1,8}-[a-zA-Z0-9]{1,4}|\d{1,3}-\d{1,8}|24R-\d{1,8}-[a-zA-Z0-9]{1,4}|24R-\d{1,8}
contactPersonInfo(group: CONTACT_PERSON_ADVISORY_FIRM)1..1
nameAddressPhone(group: NAME_ADDRESS_PHONE)1..1
individualName(group: INDIVIDUAL_NAME_NO_SUFIX_TYPE)0..1
firstNameSTRING_50_TYPE1..1minLength=1; maxLength=50
middleNameSTRING_30_TYPE1..1minLength=1; maxLength=30
lastNameSTRING_50_TYPE1..1minLength=1; maxLength=50
nameSTRING_256_TYPE0..1minLength=1; maxLength=256
addressInfo(group: ADDRESS_TYPE)1..1
residentialAddressFlagYES_NO_TYPE0..1one of: Y, N
address(group: ADDRESS_TYPE)1..1
street1STREET_TYPE1..1minLength=1; maxLength=40
street2STREET_TYPE0..1minLength=1; maxLength=40
citySTRING_30_TYPE1..1minLength=1; maxLength=30
stateOrCountrySTATE_COUNTRY_CODE1..1one of 331 codes (AL, AK, AZ, AR, CA, …; full list in the XSD)
zipCodeZIP_TYPE1..1minLength=1; maxLength=10; pattern=[0-9A-Za-z #\-]*
phoneNumberPHONE_TYPE1..1minLength=1; maxLength=20; pattern=[a-zA-Z0-9\-]{1,20}
titleSTRING_60_TYPE0..1minLength=1; maxLength=60
emailINTERNET_ADDRESS_TYPE1..1maxLength=80; minLength=4; pattern=([a-zA-Z0-9_\-\.]+)@((\[[0-9]{1,3}\.[0-9]{1,3}\.[0-9]{1,3}\.)|(([a-zA-Z0-9\-]+\.)+))([a-zA-Z]{2,7}|[0-9]{1,3})(\]?)
amountOwedForPreppaidServicesDECIMAL_TYPE16_20..1totalDigits=16; fractionDigits=2; minInclusive=0; pattern=\d{0,14}\.\d\d
amountOwedFromBorrowedFundsDECIMAL_TYPE16_20..1totalDigits=16; fractionDigits=2; minInclusive=0; pattern=\d{0,14}\.\d\d
isAdvisoryContractYES_NO_TYPE1..1one of: Y, N
advisoryContractAssignments(group: ADVISORY_CONTRACT_ASSIGNMENTS)0..1
advisoryContract(group: NAME_ADDRESS_PHONE)1..n
individualName(group: INDIVIDUAL_NAME_NO_SUFIX_TYPE)0..1
firstNameSTRING_50_TYPE1..1minLength=1; maxLength=50
middleNameSTRING_30_TYPE1..1minLength=1; maxLength=30
lastNameSTRING_50_TYPE1..1minLength=1; maxLength=50
nameSTRING_256_TYPE0..1minLength=1; maxLength=256
addressInfo(group: ADDRESS_TYPE)1..1
residentialAddressFlagYES_NO_TYPE0..1one of: Y, N
address(group: ADDRESS_TYPE)1..1
street1STREET_TYPE1..1minLength=1; maxLength=40
street2STREET_TYPE0..1minLength=1; maxLength=40
citySTRING_30_TYPE1..1minLength=1; maxLength=30
stateOrCountrySTATE_COUNTRY_CODE1..1one of 331 codes (AL, AK, AZ, AR, CA, …; full list in the XSD)
zipCodeZIP_TYPE1..1minLength=1; maxLength=10; pattern=[0-9A-Za-z #\-]*
phoneNumberPHONE_TYPE1..1minLength=1; maxLength=20; pattern=[a-zA-Z0-9\-]{1,20}
isUnsatisfiedJudgementsOrLiensYES_NO_TYPE1..1one of: Y, N
isReceivedAnyPrepaidFeeYES_NO_TYPE1..1one of: Y, N
isBorrowedNotRepaidYES_NO_TYPE1..1one of: Y, N
booksAndRecords(group: BOOKS_AND_RECORDS)1..1
personLocation(group: PERSON_AND_LOCATION)1..n
personInfo(group: NAME_ADDRESS_PHONE)1..1
individualName(group: INDIVIDUAL_NAME_NO_SUFIX_TYPE)0..1
firstNameSTRING_50_TYPE1..1minLength=1; maxLength=50
middleNameSTRING_30_TYPE1..1minLength=1; maxLength=30
lastNameSTRING_50_TYPE1..1minLength=1; maxLength=50
nameSTRING_256_TYPE0..1minLength=1; maxLength=256
addressInfo(group: ADDRESS_TYPE)1..1
residentialAddressFlagYES_NO_TYPE0..1one of: Y, N
address(group: ADDRESS_TYPE)1..1
street1STREET_TYPE1..1minLength=1; maxLength=40
street2STREET_TYPE0..1minLength=1; maxLength=40
citySTRING_30_TYPE1..1minLength=1; maxLength=30
stateOrCountrySTATE_COUNTRY_CODE1..1one of 331 codes (AL, AK, AZ, AR, CA, …; full list in the XSD)
zipCodeZIP_TYPE1..1minLength=1; maxLength=10; pattern=[0-9A-Za-z #\-]*
phoneNumberPHONE_TYPE1..1minLength=1; maxLength=20; pattern=[a-zA-Z0-9\-]{1,20}
locationInfo(group: LOCATION_INFO)1..1
nameAddressPhone(group: NAME_ADDRESS_PHONE)1..1
individualName(group: INDIVIDUAL_NAME_NO_SUFIX_TYPE)0..1
firstNameSTRING_50_TYPE1..1minLength=1; maxLength=50
middleNameSTRING_30_TYPE1..1minLength=1; maxLength=30
lastNameSTRING_50_TYPE1..1minLength=1; maxLength=50
nameSTRING_256_TYPE0..1minLength=1; maxLength=256
addressInfo(group: ADDRESS_TYPE)1..1
residentialAddressFlagYES_NO_TYPE0..1one of: Y, N
address(group: ADDRESS_TYPE)1..1
street1STREET_TYPE1..1minLength=1; maxLength=40
street2STREET_TYPE0..1minLength=1; maxLength=40
citySTRING_30_TYPE1..1minLength=1; maxLength=30
stateOrCountrySTATE_COUNTRY_CODE1..1one of 331 codes (AL, AK, AZ, AR, CA, …; full list in the XSD)
zipCodeZIP_TYPE1..1minLength=1; maxLength=10; pattern=[0-9A-Za-z #\-]*
phoneNumberPHONE_TYPE1..1minLength=1; maxLength=20; pattern=[a-zA-Z0-9\-]{1,20}
descriptionSTRING_255_TYPE1..1maxLength=255
execution(group: EXECUTION_BLOCK)1..1
(choice)1..1exactly one of the following branches
naturalPersonMuncipal(group: SIGNATURE_TYPE_3)1*..1
signatureSTRING_150_TYPE1..1minLength=1; maxLength=150
signerNameSTRING_150_TYPE1..1minLength=1; maxLength=150
titleSTRING_150_TYPE1..1minLength=1; maxLength=150
dateDATE_TYPE1..1pattern=\d{1,2}-\d{1,2}-\d{4}
soleProprietor(group: SIGNATURE_TYPE_3)1*..1
signatureSTRING_150_TYPE1..1minLength=1; maxLength=150
signerNameSTRING_150_TYPE1..1minLength=1; maxLength=150
titleSTRING_150_TYPE1..1minLength=1; maxLength=150
dateDATE_TYPE1..1pattern=\d{1,2}-\d{1,2}-\d{4}
muncipalAdvisoryFirm(group: SIGNATURE_TYPE_3)1*..1
signatureSTRING_150_TYPE1..1minLength=1; maxLength=150
signerNameSTRING_150_TYPE1..1minLength=1; maxLength=150
titleSTRING_150_TYPE1..1minLength=1; maxLength=150
dateDATE_TYPE1..1pattern=\d{1,2}-\d{1,2}-\d{4}
statementOfFinancials(group: BALANCE_SHEET)0..1
assetInfo(group: ASSET_INFORMATION)1..1
currentAssets(group: CURRENT_ASSET)1..1
cashDECIMAL_TYPE16_21..1totalDigits=16; fractionDigits=2; minInclusive=0; pattern=\d{0,14}\.\d\d
securitiesAtMarketDECIMAL_TYPE16_21..1totalDigits=16; fractionDigits=2; minInclusive=0; pattern=\d{0,14}\.\d\d
nonMarketableSecuritiesDECIMAL_TYPE16_21..1totalDigits=16; fractionDigits=2; minInclusive=0; pattern=\d{0,14}\.\d\d
otherCurrentAssetsDECIMAL_TYPE16_21..1totalDigits=16; fractionDigits=2; minInclusive=0; pattern=\d{0,14}\.\d\d
totalCurrentAssetsDECIMAL_TYPE16_2_NON_NEGATIVE1..1totalDigits=18; fractionDigits=2; minInclusive=0; pattern=\d{0,16}\.\d\d
totalFixedAssetDECIMAL_TYPE16_21..1totalDigits=16; fractionDigits=2; minInclusive=0; pattern=\d{0,14}\.\d\d
totalAssetDECIMAL_TYPE16_2_NON_NEGATIVE1..1totalDigits=18; fractionDigits=2; minInclusive=0; pattern=\d{0,16}\.\d\d
liabiltyAndSharholdersEquityInfo(group: LIABILITIES_SHAREHOLDER_EQUITIES)1..1
currentLiabilties(group: CURRENT_LIABILITES)1..1
prepaidAdvisoryFeesDECIMAL_TYPE16_21..1totalDigits=16; fractionDigits=2; minInclusive=0; pattern=\d{0,14}\.\d\d
shortTermLoansFromClientsDECIMAL_TYPE16_21..1totalDigits=16; fractionDigits=2; minInclusive=0; pattern=\d{0,14}\.\d\d
otherShortTermLoansDECIMAL_TYPE16_21..1totalDigits=16; fractionDigits=2; minInclusive=0; pattern=\d{0,14}\.\d\d
otherCurrentLiabilitiesDECIMAL_TYPE16_21..1totalDigits=16; fractionDigits=2; minInclusive=0; pattern=\d{0,14}\.\d\d
totalCurrentLiabilitiesDECIMAL_TYPE16_2_NON_NEGATIVE1..1totalDigits=18; fractionDigits=2; minInclusive=0; pattern=\d{0,16}\.\d\d
fixedLiabilities(group: FIXED_LIABILITIES)1..1
longTermDebtOwedDECIMAL_TYPE16_21..1totalDigits=16; fractionDigits=2; minInclusive=0; pattern=\d{0,14}\.\d\d
otherLongTermDebtDECIMAL_TYPE16_21..1totalDigits=16; fractionDigits=2; minInclusive=0; pattern=\d{0,14}\.\d\d
otherLongTermLiabilitiesDECIMAL_TYPE16_21..1totalDigits=16; fractionDigits=2; minInclusive=0; pattern=\d{0,14}\.\d\d
totalFixedLiabilitiesDECIMAL_TYPE16_2_NON_NEGATIVE1..1totalDigits=18; fractionDigits=2; minInclusive=0; pattern=\d{0,16}\.\d\d
totalShareholdersEquityDECIMAL_TYPE16_2_NEGATIVE1..1totalDigits=18; fractionDigits=2; pattern=[\+\-]?\d{0,16}\.\d\d
totalLiabiltiesAndShareholdersEquityDECIMAL_TYPE16_2_NEGATIVE1..1totalDigits=18; fractionDigits=2; pattern=[\+\-]?\d{0,16}\.\d\d

Field list generated from the SEC's EDGAR XML technical specification (Version 1.7 (March 2025)): https://www.sec.gov/files/edgar/filer-information/specifications/form-ma-xml-16.zip. “Occurs” is min..max (n = unbounded). Nothing on this page is investment advice.

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