We are working on a comprehensive API. If you would like to know more, email [email protected].
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.
| Form type | Filings on EDGAR | With an XML document | First XML filing | Latest |
|---|---|---|---|---|
| MA | 960 | 960 | 2014-07-01 | 2026-08-11 |
| MA/A | 2,838 | 2,838 | 2014-08-07 | 2026-10-13 |
| MA-A | 4,786 | 4,786 | 2014-12-31 | 2026-10-05 |
| MA-I | 10,014 | 10,014 | 2014-07-01 | 2026-10-08 |
| MA-I/A | 15,698 | 15,698 | 2014-07-23 | 2026-10-13 |
| MA-W | 489 | 489 | 2014-10-27 | 2026-09-30 |
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.
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.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.
@name keys (@xsi:nil included); text next to child elements is #text.#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.A Python function that rebuilds the XML from our JSON: sec_json_to_xml.py.
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 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.
| Field (path) | Type | Occurs | Allowed values | SEC's description |
|---|---|---|---|---|
| edgarSubmission | (group) | 1..1 | ||
| schemaVersion | SCHEMA_VERSION_TYPE | 0..1 | length=5 | |
| headerData | (group: HEADER_DATA) | 1..1 | ||
| submissionType | SUBMISSION_TYPE | 1..1 | one of: MA, MA-A, MA/A | |
| filerInfo | (group: HEADER_DATA) | 1..1 | ||
| liveTestFlag | LIVE_TEST_TYPE | 0..1 | one of: LIVE, TEST | |
| filer | (group: FILER_TYPE) | 1..1 | ||
| filerId | CIK_TYPE | 1..1 | pattern=\d{1,10} | |
| filerCcc | CCC_TYPE | 1..1 | length=8 | |
| filerFileNumber | FILE_NUMBER_TYPE | 0..1 | pattern=\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 | ||
| name | NAME_TYPE | 0..1 | minLength=1; maxLength=30; pattern=[A-Za-z0-9!#-$%():;'@\*\+\-/=\?\^_~{|},. \\\s<>&"\[\]]{1,30} | |
| phoneNumber | PHONE_TYPE | 0..1 | minLength=1; maxLength=20; pattern=[a-zA-Z0-9\-]{1,20} | |
| contactEmail | INTERNET_ADDRESS_TYPE | 1..1 | maxLength=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 | ||
| internetNotificationAddress | INTERNET_ADDRESS_TYPE | 1..n | maxLength=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 | ||
| fiscalYearEnd | DATE_TYPE | 0..1 | pattern=\d{1,2}-\d{1,2}-\d{4} | |
| calYearEnd | YEAR_TYPE | 0..1 | pattern=\d{4,4} | |
| hasChanges | YES_NO_TYPE | 0..1 | one of: Y, N | |
| firmName | ENTITY_NAME_TYPE | 1..1 | minLength=1; maxLength=150; pattern=([A-Za-z0-9\s!\\#$(),.:;=@'\-{}|/&]+) | |
| firmCrdNumber | CRD_NUMBER_TYPE | 0..1 | minLength=1; maxLength=9 | |
| soleProprietor | (group: SOLE_PROPRIETOR) | 0..1 | ||
| name | (group: INDIVIDUAL_NAME_TYPE) | 1..1 | ||
| firstName | STRING_50_TYPE | 0..1 | minLength=1; maxLength=50 | |
| middleName | STRING_30_TYPE | 0..1 | minLength=1; maxLength=30 | |
| lastName | STRING_50_TYPE | 0..1 | minLength=1; maxLength=50 | |
| suffix | STRING_10_TYPE | 0..1 | minLength=1; maxLength=10 | |
| crdNumber | CRD_NUMBER_TYPE | 0..1 | minLength=1; maxLength=9 | |
| previousLegalName | STRING_256_TYPE | 0..1 | minLength=1; maxLength=256 | |
| dbaName | STRING_256_TYPE | 0..1 | minLength=1; maxLength=256 | |
| previousDbaName | STRING_256_TYPE | 0..1 | minLength=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..1 | exactly one of the following branches | ||
| add | string | 1*..1 | ||
| delete | string | 1*..1 | ||
| amend | string | 1*..1 | ||
| newAdd | string | 1*..1 | ||
| name | STRING_256_TYPE | 1..1 | minLength=1; maxLength=256 | |
| jurisdictions | STRING_10K_TYPE | 1..1 | minLength=1; maxLength=10000 | |
| irsNum | TAX_ID_TYPE | 0..1 | pattern=\d{2}[\-]?\d{7} | |
| registrations | (group: MA_REGISTRATIONS) | 0..1 | ||
| maTregistration | (group: REG_TYPE_1) | 0..1 | ||
| fileNumber | FILE_NUMBER_TYPE | 0..1 | pattern=\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 | ||
| fileNumber | FILE_NUMBER_TYPE | 0..1 | pattern=\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 | ||
| fileNumber | FILE_NUMBER_TYPE | 0..1 | pattern=\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 | ||
| fileNumber | FILE_NUMBER_TYPE | 1..1 | pattern=\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} | |
| crdNumber | CRD_NUMBER_TYPE | 1..1 | minLength=1; maxLength=9 | |
| iaRegistration | (group: IA_REGISTRATION) | 0..1 | ||
| (choice) | 1..1 | exactly one of the following branches | ||
| nonExempt | (group: IA_REGISTRATION_NON_EXEMPT) | 1*..1 | ||
| secRegistration | (group: REG_TYPE_2) | 0..1 | ||
| fileNumber | FILE_NUMBER_TYPE | 1..1 | pattern=\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} | |
| crdNumber | CRD_NUMBER_TYPE | 1..1 | minLength=1; maxLength=9 | |
| stateRegistration | (group: REG_TYPE_3) | 0..1 | ||
| crdNumber | CRD_NUMBER_TYPE | 0..1 | minLength=1; maxLength=9 | |
| state | US_IAR_STATE_TYPE | 1..53 | one of 54 codes (AL, AK, AZ, AR, CA, …; full list in the XSD) | |
| exemptAdvisor | (group: REG_TYPE_2) | 1*..1 | ||
| fileNumber | FILE_NUMBER_TYPE | 1..1 | pattern=\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} | |
| crdNumber | CRD_NUMBER_TYPE | 1..1 | minLength=1; maxLength=9 | |
| gsbdRegistration | (group: REG_TYPE_4) | 0..1 | ||
| fileNumber | FILE_NUMBER_TYPE | 1..1 | pattern=\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} | |
| bankId | STRING_256_TYPE | 0..1 | minLength=1; maxLength=256 | |
| otherRegistration | (group: REG_TYPE_5) | 0..1 | ||
| description | STRING_256_TYPE | 1..1 | minLength=1; maxLength=256 | |
| fileNumber | FILE_NUMBER_TYPE | 0..1 | pattern=\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} | |
| cik | CIK_TYPE | 0..1 | pattern=\d{1,10} | |
| anotherRegistration | (group: REG_TYPE_6) | 0..1 | ||
| description | STRING_256_TYPE | 1..1 | minLength=1; maxLength=256 | |
| registrationId | STRING_256_TYPE | 0..1 | minLength=1; maxLength=256 | |
| additionalRegistrations | (group: ADDITIONAL_REGISTRATIONS_CONTAINER) | 0..1 | ||
| additionalRegistration | (group: ADDITIONAL_REGISTRATION) | 1..100 | ||
| nameAndRegistration | (group: NAME_AND_REGISTRATION) | 1..1 | ||
| name | STRING_256_TYPE | 1..1 | minLength=1; maxLength=256 | |
| registrationId | STRING_256_TYPE | 1..1 | minLength=1; maxLength=256 | |
| principalOfficeAddress | (group: PRINCIPAL_OFFICE_INFO) | 1..1 | ||
| addressInfo | (group: ADDRESS_TYPE) | 0..1 | ||
| residentialAddressFlag | YES_NO_TYPE | 0..1 | one of: Y, N | |
| address | (group: ADDRESS_TYPE) | 1..1 | ||
| street1 | STREET_TYPE | 1..1 | minLength=1; maxLength=40 | |
| street2 | STREET_TYPE | 0..1 | minLength=1; maxLength=40 | |
| city | STRING_30_TYPE | 1..1 | minLength=1; maxLength=30 | |
| stateOrCountry | STATE_COUNTRY_CODE | 1..1 | one of 331 codes (AL, AK, AZ, AR, CA, …; full list in the XSD) | |
| zipCode | ZIP_TYPE | 1..1 | minLength=1; maxLength=10; pattern=[0-9A-Za-z #\-]* | |
| phoneNumber | PHONE_TYPE | 1..1 | minLength=1; maxLength=20; pattern=[a-zA-Z0-9\-]{1,20} | |
| faxNumber | PHONE_TYPE | 0..1 | minLength=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..1 | exactly one of the following branches | ||
| add | string | 1*..1 | ||
| delete | string | 1*..1 | ||
| amend | string | 1*..1 | ||
| newAdd | string | 1*..1 | ||
| officeInfo | (group: PRINCIPAL_OFFICE_INFO) | 1..1 | ||
| addressInfo | (group: ADDRESS_TYPE) | 0..1 | ||
| residentialAddressFlag | YES_NO_TYPE | 0..1 | one of: Y, N | |
| address | (group: ADDRESS_TYPE) | 1..1 | ||
| street1 | STREET_TYPE | 1..1 | minLength=1; maxLength=40 | |
| street2 | STREET_TYPE | 0..1 | minLength=1; maxLength=40 | |
| city | STRING_30_TYPE | 1..1 | minLength=1; maxLength=30 | |
| stateOrCountry | STATE_COUNTRY_CODE | 1..1 | one of 331 codes (AL, AK, AZ, AR, CA, …; full list in the XSD) | |
| zipCode | ZIP_TYPE | 1..1 | minLength=1; maxLength=10; pattern=[0-9A-Za-z #\-]* | |
| phoneNumber | PHONE_TYPE | 1..1 | minLength=1; maxLength=20; pattern=[a-zA-Z0-9\-]{1,20} | |
| faxNumber | PHONE_TYPE | 0..1 | minLength=1; maxLength=20; pattern=[a-zA-Z0-9\-]{1,20} | |
| mailingAddressDifferent | YES_NO_TYPE | 1..1 | one of: Y, N | |
| mailingAddress | (group: ADDRESS_TYPE) | 0..1 | ||
| residentialAddressFlag | YES_NO_TYPE | 0..1 | one of: Y, N | |
| address | (group: ADDRESS_TYPE) | 1..1 | ||
| street1 | STREET_TYPE | 1..1 | minLength=1; maxLength=40 | |
| street2 | STREET_TYPE | 0..1 | minLength=1; maxLength=40 | |
| city | STRING_30_TYPE | 1..1 | minLength=1; maxLength=30 | |
| stateOrCountry | STATE_COUNTRY_CODE | 1..1 | one of 331 codes (AL, AK, AZ, AR, CA, …; full list in the XSD) | |
| zipCode | ZIP_TYPE | 1..1 | minLength=1; maxLength=10; pattern=[0-9A-Za-z #\-]* | |
| primaryWebAddress | WEBSITE_URL_TYPE | 0..1 | maxLength=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..1 | exactly one of the following branches | ||
| add | string | 1*..1 | ||
| delete | string | 1*..1 | ||
| amend | string | 1*..1 | ||
| newAdd | string | 1*..1 | ||
| webAddress | WEBSITE_URL_TYPE | 1..1 | maxLength=256 | |
| cco | (group: PERSON_TYPE) | 0..1 | ||
| name | (group: INDIVIDUAL_NAME_TYPE) | 1..1 | ||
| firstName | STRING_50_TYPE | 0..1 | minLength=1; maxLength=50 | |
| middleName | STRING_30_TYPE | 0..1 | minLength=1; maxLength=30 | |
| lastName | STRING_50_TYPE | 0..1 | minLength=1; maxLength=50 | |
| suffix | STRING_10_TYPE | 0..1 | minLength=1; maxLength=10 | |
| titles | (group: OTHER_TITLES_CONTAINER) | 0..1 | ||
| title | STRING_150_TYPE | 1..10 | minLength=1; maxLength=150 | |
| address | (group: ADDRESS_TYPE) | 0..1 | ||
| residentialAddressFlag | YES_NO_TYPE | 0..1 | one of: Y, N | |
| address | (group: ADDRESS_TYPE) | 1..1 | ||
| street1 | STREET_TYPE | 1..1 | minLength=1; maxLength=40 | |
| street2 | STREET_TYPE | 0..1 | minLength=1; maxLength=40 | |
| city | STRING_30_TYPE | 1..1 | minLength=1; maxLength=30 | |
| stateOrCountry | STATE_COUNTRY_CODE | 1..1 | one of 331 codes (AL, AK, AZ, AR, CA, …; full list in the XSD) | |
| zipCode | ZIP_TYPE | 1..1 | minLength=1; maxLength=10; pattern=[0-9A-Za-z #\-]* | |
| crdNumber | CRD_NUMBER_TYPE | 0..1 | minLength=1; maxLength=9 | |
| phoneNumber | PHONE_TYPE | 1..1 | minLength=1; maxLength=20; pattern=[a-zA-Z0-9\-]{1,20} | |
| faxNumber | PHONE_TYPE | 0..1 | minLength=1; maxLength=20; pattern=[a-zA-Z0-9\-]{1,20} | |
| INTERNET_ADDRESS_TYPE | 0..1 | maxLength=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 | ||
| firstName | STRING_50_TYPE | 0..1 | minLength=1; maxLength=50 | |
| middleName | STRING_30_TYPE | 0..1 | minLength=1; maxLength=30 | |
| lastName | STRING_50_TYPE | 0..1 | minLength=1; maxLength=50 | |
| suffix | STRING_10_TYPE | 0..1 | minLength=1; maxLength=10 | |
| titles | (group: OTHER_TITLES_CONTAINER) | 0..1 | ||
| title | STRING_150_TYPE | 1..10 | minLength=1; maxLength=150 | |
| address | (group: ADDRESS_TYPE) | 0..1 | ||
| residentialAddressFlag | YES_NO_TYPE | 0..1 | one of: Y, N | |
| address | (group: ADDRESS_TYPE) | 1..1 | ||
| street1 | STREET_TYPE | 1..1 | minLength=1; maxLength=40 | |
| street2 | STREET_TYPE | 0..1 | minLength=1; maxLength=40 | |
| city | STRING_30_TYPE | 1..1 | minLength=1; maxLength=30 | |
| stateOrCountry | STATE_COUNTRY_CODE | 1..1 | one of 331 codes (AL, AK, AZ, AR, CA, …; full list in the XSD) | |
| zipCode | ZIP_TYPE | 1..1 | minLength=1; maxLength=10; pattern=[0-9A-Za-z #\-]* | |
| crdNumber | CRD_NUMBER_TYPE | 0..1 | minLength=1; maxLength=9 | |
| phoneNumber | PHONE_TYPE | 1..1 | minLength=1; maxLength=20; pattern=[a-zA-Z0-9\-]{1,20} | |
| faxNumber | PHONE_TYPE | 0..1 | minLength=1; maxLength=20; pattern=[a-zA-Z0-9\-]{1,20} | |
| INTERNET_ADDRESS_TYPE | 0..1 | maxLength=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..1 | exactly one of the following branches | ||
| add | string | 1*..1 | ||
| delete | string | 1*..1 | ||
| amend | string | 1*..1 | ||
| newAdd | string | 1*..1 | ||
| locationName | STRING_256_TYPE | 1..1 | minLength=1; maxLength=256 | |
| contact | (group: PRINCIPAL_OFFICE_INFO) | 1..1 | ||
| addressInfo | (group: ADDRESS_TYPE) | 0..1 | ||
| residentialAddressFlag | YES_NO_TYPE | 0..1 | one of: Y, N | |
| address | (group: ADDRESS_TYPE) | 1..1 | ||
| street1 | STREET_TYPE | 1..1 | minLength=1; maxLength=40 | |
| street2 | STREET_TYPE | 0..1 | minLength=1; maxLength=40 | |
| city | STRING_30_TYPE | 1..1 | minLength=1; maxLength=30 | |
| stateOrCountry | STATE_COUNTRY_CODE | 1..1 | one of 331 codes (AL, AK, AZ, AR, CA, …; full list in the XSD) | |
| zipCode | ZIP_TYPE | 1..1 | minLength=1; maxLength=10; pattern=[0-9A-Za-z #\-]* | |
| phoneNumber | PHONE_TYPE | 1..1 | minLength=1; maxLength=20; pattern=[a-zA-Z0-9\-]{1,20} | |
| faxNumber | PHONE_TYPE | 0..1 | minLength=1; maxLength=20; pattern=[a-zA-Z0-9\-]{1,20} | |
| locationType | (group: LOCATION_TYPE) | 1..1 | ||
| (choice) | 1..1 | exactly one of the following branches | ||
| branchOrAffiliate | string | 1*..1 | ||
| third-party | string | 1*..1 | ||
| other | string | 1*..1 | ||
| description | STRING_256_TYPE | 1..1 | minLength=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..1 | exactly one of the following branches | ||
| add | string | 1*..1 | ||
| delete | string | 1*..1 | ||
| amend | string | 1*..1 | ||
| newAdd | string | 1*..1 | ||
| englishFFRAName | STRING_256_TYPE | 1..1 | minLength=1; maxLength=256 | |
| foreignRegNumber | STRING_256_TYPE | 0..1 | minLength=1; maxLength=256 | |
| englishCountryName | NON_US_COUNTRY_CODES | 1..1 | one 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 | ||
| affiliateName | ENTITY_NAME_256_TYPE | 1..1 | minLength=1; maxLength=256; pattern=([\w\s!\\#$(),.:;=@\-{}|/&]+) | |
| hasApplicableRegistration | YES_NO_TYPE | 1..1 | one of: Y, N | |
| applicableRegistration | (group: APPLICABLE_REGISTRATION) | 0..1 | ||
| issuingAgencyName | STRING_256_TYPE | 1..1 | minLength=1; maxLength=256 | |
| registrationNumber | STRING_256_TYPE | 0..1 | minLength=1; maxLength=256 | |
| jurisdiction | (group: JURISDICTION) | 1..1 | ||
| (choice) | 1..1 | exactly one of the following branches | ||
| US_Federal | string | 1*..1 | ||
| US_State | US_STATE_CODES | 1*..1 | one of 53 codes (AL, AK, AZ, AR, CA, …; full list in the XSD) | |
| ForeignCountry | NON_US_COUNTRY_CODES | 1*..1 | one 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..1 | exactly one of the following branches | ||
| Corporation | string | 1*..1 | ||
| Sole_Proprietorship | string | 1*..1 | ||
| LLP | string | 1*..1 | ||
| Partnership | string | 1*..1 | ||
| LLC | string | 1*..1 | ||
| LP | string | 1*..1 | ||
| Other | string | 1*..1 | ||
| formOrgOtherDescription | STRING_256_TYPE | 0..1 | minLength=1; maxLength=256 | |
| monthOfFiscalYearEnd | MONTH_TYPE | 0..1 | one of: January, February, March, April, May, June, July, August, September, October, November, December | |
| organizedJurisdiction | (group: STATE_COUNTRY_TYPE) | 0..1 | ||
| stateOrCountry | STATE_COUNTRY_CODE | 1..1 | one of 331 codes (AL, AK, AZ, AR, CA, …; full list in the XSD) | |
| dateOfOrganization | DATE_TYPE | 1..1 | pattern=\d{1,2}-\d{1,2}-\d{4} | |
| isPrcApplicant | YES_NO_TYPE | 1..1 | one of: Y, N | |
| prcCIK | CIK_TYPE | 0..1 | pattern=\d{1,10} | |
| successionInfo | (group: SUCCESSIONS_CONTAINER) | 0..1 | ||
| dateOfSuccession | DATE_TYPE | 1..1 | pattern=\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 | ||
| fileNumber | FILE_NUMBER_TYPE | 0..1 | pattern=\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 | ||
| fileNumber | FILE_NUMBER_TYPE | 0..1 | pattern=\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 | ||
| fileNumber | FILE_NUMBER_TYPE | 1..1 | pattern=\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} | |
| crdNumber | CRD_NUMBER_TYPE | 1..1 | minLength=1; maxLength=9 | |
| iaRegistration | (group: IA_REGISTRATION) | 0..1 | ||
| (choice) | 1..1 | exactly one of the following branches | ||
| nonExempt | (group: IA_REGISTRATION_NON_EXEMPT) | 1*..1 | ||
| secRegistration | (group: REG_TYPE_2) | 0..1 | ||
| fileNumber | FILE_NUMBER_TYPE | 1..1 | pattern=\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} | |
| crdNumber | CRD_NUMBER_TYPE | 1..1 | minLength=1; maxLength=9 | |
| stateRegistration | (group: REG_TYPE_3) | 0..1 | ||
| crdNumber | CRD_NUMBER_TYPE | 0..1 | minLength=1; maxLength=9 | |
| state | US_IAR_STATE_TYPE | 1..53 | one of 54 codes (AL, AK, AZ, AR, CA, …; full list in the XSD) | |
| exemptAdvisor | (group: REG_TYPE_2) | 1*..1 | ||
| fileNumber | FILE_NUMBER_TYPE | 1..1 | pattern=\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} | |
| crdNumber | CRD_NUMBER_TYPE | 1..1 | minLength=1; maxLength=9 | |
| gsbdRegistration | (group: REG_TYPE_4) | 0..1 | ||
| fileNumber | FILE_NUMBER_TYPE | 1..1 | pattern=\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} | |
| bankId | STRING_256_TYPE | 0..1 | minLength=1; maxLength=256 | |
| otherRegistration | (group: REG_TYPE_5) | 0..1 | ||
| description | STRING_256_TYPE | 1..1 | minLength=1; maxLength=256 | |
| fileNumber | FILE_NUMBER_TYPE | 0..1 | pattern=\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} | |
| cik | CIK_TYPE | 0..1 | pattern=\d{1,10} | |
| anotherRegistration | (group: REG_TYPE_6) | 0..1 | ||
| description | STRING_256_TYPE | 1..1 | minLength=1; maxLength=256 | |
| registrationId | STRING_256_TYPE | 0..1 | minLength=1; maxLength=256 | |
| nameOfFirm | STRING_256_TYPE | 1..1 | minLength=1; maxLength=256 | |
| numberOfEmployees | STRING_NUMERIC_3_TYPE | 0..1 | pattern=\d{1,10} | |
| numberOfAdditionalWebSites | STRING_50_TYPE | 0..1 | minLength=1; maxLength=50 | |
| employeesEngagedInMAA | STRING_NUMERIC_3_TYPE | 0..1 | pattern=\d{1,10} | |
| maaEmployeesRegBD | STRING_NUMERIC_3_TYPE | 0..1 | pattern=\d{1,10} | |
| maaRegIA | STRING_NUMERIC_3_TYPE | 0..1 | pattern=\d{1,10} | |
| numberOfSolicitingFirms | STRING_NUMERIC_3_TYPE | 0..1 | pattern=\d{1,10} | |
| solicitingMACFirms | (group: SOLICITING_MAC_FIRMS_CONTAINER) | 0..1 | ||
| solicitingMACFirm | (group: SOLICITING_MAC_FIRM) | 1..n | ||
| name | STRING_256_TYPE | 1..1 | minLength=1; maxLength=256 | |
| cik | CIK_TYPE | 0..1 | pattern=\d{1,10} | |
| crd | CRD_NUMBER_TYPE | 0..1 | minLength=1; maxLength=9 | |
| contactInfo | (group: PRINCIPAL_OFFICE_INFO) | 1..1 | ||
| addressInfo | (group: ADDRESS_TYPE) | 0..1 | ||
| residentialAddressFlag | YES_NO_TYPE | 0..1 | one of: Y, N | |
| address | (group: ADDRESS_TYPE) | 1..1 | ||
| street1 | STREET_TYPE | 1..1 | minLength=1; maxLength=40 | |
| street2 | STREET_TYPE | 0..1 | minLength=1; maxLength=40 | |
| city | STRING_30_TYPE | 1..1 | minLength=1; maxLength=30 | |
| stateOrCountry | STATE_COUNTRY_CODE | 1..1 | one of 331 codes (AL, AK, AZ, AR, CA, …; full list in the XSD) | |
| zipCode | ZIP_TYPE | 1..1 | minLength=1; maxLength=10; pattern=[0-9A-Za-z #\-]* | |
| phoneNumber | PHONE_TYPE | 1..1 | minLength=1; maxLength=20; pattern=[a-zA-Z0-9\-]{1,20} | |
| faxNumber | PHONE_TYPE | 0..1 | minLength=1; maxLength=20; pattern=[a-zA-Z0-9\-]{1,20} | |
| numberOfIndBusinessEmployees | STRING_NUMERIC_3_TYPE | 0..1 | pattern=\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 | ||
| firstName | STRING_50_TYPE | 1..1 | minLength=1; maxLength=50 | |
| middleName | STRING_30_TYPE | 1..1 | minLength=1; maxLength=30 | |
| lastName | STRING_50_TYPE | 1..1 | minLength=1; maxLength=50 | |
| cik | CIK_TYPE | 0..1 | pattern=\d{1,10} | |
| crd | CRD_NUMBER_TYPE | 0..1 | minLength=1; maxLength=9 | |
| contactInfo | (group: PRINCIPAL_OFFICE_INFO) | 1..1 | ||
| addressInfo | (group: ADDRESS_TYPE) | 0..1 | ||
| residentialAddressFlag | YES_NO_TYPE | 0..1 | one of: Y, N | |
| address | (group: ADDRESS_TYPE) | 1..1 | ||
| street1 | STREET_TYPE | 1..1 | minLength=1; maxLength=40 | |
| street2 | STREET_TYPE | 0..1 | minLength=1; maxLength=40 | |
| city | STRING_30_TYPE | 1..1 | minLength=1; maxLength=30 | |
| stateOrCountry | STATE_COUNTRY_CODE | 1..1 | one of 331 codes (AL, AK, AZ, AR, CA, …; full list in the XSD) | |
| zipCode | ZIP_TYPE | 1..1 | minLength=1; maxLength=10; pattern=[0-9A-Za-z #\-]* | |
| phoneNumber | PHONE_TYPE | 1..1 | minLength=1; maxLength=20; pattern=[a-zA-Z0-9\-]{1,20} | |
| faxNumber | PHONE_TYPE | 0..1 | minLength=1; maxLength=20; pattern=[a-zA-Z0-9\-]{1,20} | |
| clientsServedAsMA | STRING_NUMERIC_3_TYPE | 0..1 | pattern=\d{1,10} | |
| typesOfClients | (group: TYPES_OF_CLIENTS) | 0..1 | ||
| typesOfClients | (group: CLIENT_TYPES) | 1..1 | ||
| clientTypes | CLIENT_TYPE | 1..5 | one of: Municipal Entities, Non-profit organizations, Corporations or other businesses, Other, Not Applicable | |
| typesOfClientsOther | STRING_256_TYPE | 0..1 | minLength=1; maxLength=256 | |
| numberOfSolicitedME | STRING_NUMERIC_3_TYPE | 0..1 | pattern=\d{1,10} | |
| numberOfSolicitedOP | STRING_NUMERIC_3_TYPE | 0..1 | pattern=\d{1,10} | |
| totalNumberOfSolicitedMEAndOP | STRING_NUMERIC_3_TYPE | 0..1 | pattern=\d{1,10} | |
| typesOfSolicitedPersons | (group: TYPES_OF_SOLICITED_PERSONS) | 0..1 | ||
| solicitationPersonTypes | (group: SOLICITATION_PERSON_TYPES) | 1..1 | ||
| solicitationPersonTypes | SOLICITATION_PERSON_TYPE | 1..8 | one of: Public pension funds, 529 Plans, Local government investment pools, State government investment pools, Hospitals, Colleges, Other, Not Applicable | |
| spOtherDescription | STRING_256_TYPE | 0..1 | minLength=1; maxLength=256 | |
| meOrOPCompensationTypes | (group: MA_COMPENSATION_TYPES) | 0..1 | ||
| compensationTypes | (group: COMPENSATION_TYPES) | 1..1 | ||
| compensationTypes | COMPENSATION_TYPE | 1..6 | one of: Hourly Charges, Fixed Fees, Contingent Fees, Subscription Fees, Not Applicable, Other | |
| COMP_TYPE_OTHER_DESCRIPTION | STRING_256_TYPE | 0..1 | minLength=1; maxLength=256 | |
| solicitationCompensationTypes | (group: MA_COMPENSATION_TYPES) | 0..1 | ||
| compensationTypes | (group: COMPENSATION_TYPES) | 1..1 | ||
| compensationTypes | COMPENSATION_TYPE | 1..6 | one of: Hourly Charges, Fixed Fees, Contingent Fees, Subscription Fees, Not Applicable, Other | |
| COMP_TYPE_OTHER_DESCRIPTION | STRING_256_TYPE | 0..1 | minLength=1; maxLength=256 | |
| receiveCompensationForMAAFromOtherClientsExplanation | STRING_10K_TYPE | 0..1 | minLength=1; maxLength=10000 | |
| engagedActivities | (group: ENGAGED_ACTIVITY_TYPES) | 0..1 | ||
| engagedActivityTypes | (group: ENGAGED_ACTIVITIES_TYPE) | 1..1 | ||
| engagedActivityType | ENGAGED_ACTIVITY_TYPE | 1..11 | one 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 | |
| eaTypeOtherDescription | STRING_10K_TYPE | 0..1 | minLength=1; maxLength=10000 | |
| otherActivities | (group: OTHER_ACTIVITY_TYPES) | 0..1 | ||
| brokerDealers | (group: ACTIVELY_ENGAGED_PRIMARY_BUSINESS_TYPE) | 0..1 | ||
| isActivelyEngaged | YES_NO_TYPE | 0..1 | one of: Y, N | |
| isPrimaryBusiness | YES_NO_TYPE | 0..1 | one of: Y, N | |
| registeredBrokerDealerReps | (group: ACTIVELY_ENGAGED_PRIMARY_BUSINESS_TYPE) | 0..1 | ||
| isActivelyEngaged | YES_NO_TYPE | 0..1 | one of: Y, N | |
| isPrimaryBusiness | YES_NO_TYPE | 0..1 | one of: Y, N | |
| commodityPoolOperator | (group: ACTIVELY_ENGAGED_PRIMARY_BUSINESS_TYPE) | 0..1 | ||
| isActivelyEngaged | YES_NO_TYPE | 0..1 | one of: Y, N | |
| isPrimaryBusiness | YES_NO_TYPE | 0..1 | one of: Y, N | |
| commidityTA | (group: ACTIVELY_ENGAGED_PRIMARY_BUSINESS_TYPE) | 0..1 | ||
| isActivelyEngaged | YES_NO_TYPE | 0..1 | one of: Y, N | |
| isPrimaryBusiness | YES_NO_TYPE | 0..1 | one of: Y, N | |
| futuresCommissionMerchant | (group: ACTIVELY_ENGAGED_PRIMARY_BUSINESS_TYPE) | 0..1 | ||
| isActivelyEngaged | YES_NO_TYPE | 0..1 | one of: Y, N | |
| isPrimaryBusiness | YES_NO_TYPE | 0..1 | one of: Y, N | |
| majorSwapParticipant | (group: ACTIVELY_ENGAGED_PRIMARY_BUSINESS_TYPE) | 0..1 | ||
| isActivelyEngaged | YES_NO_TYPE | 0..1 | one of: Y, N | |
| isPrimaryBusiness | YES_NO_TYPE | 0..1 | one of: Y, N | |
| majorSBSwapParticipant | (group: ACTIVELY_ENGAGED_PRIMARY_BUSINESS_TYPE) | 0..1 | ||
| isActivelyEngaged | YES_NO_TYPE | 0..1 | one of: Y, N | |
| isPrimaryBusiness | YES_NO_TYPE | 0..1 | one of: Y, N | |
| swapDealers | (group: ACTIVELY_ENGAGED_PRIMARY_BUSINESS_TYPE) | 0..1 | ||
| isActivelyEngaged | YES_NO_TYPE | 0..1 | one of: Y, N | |
| isPrimaryBusiness | YES_NO_TYPE | 0..1 | one of: Y, N | |
| swapDealersSecurityBased | (group: ACTIVELY_ENGAGED_PRIMARY_BUSINESS_TYPE) | 0..1 | ||
| isActivelyEngaged | YES_NO_TYPE | 0..1 | one of: Y, N | |
| isPrimaryBusiness | YES_NO_TYPE | 0..1 | one of: Y, N | |
| trustCompany | (group: ACTIVELY_ENGAGED_PRIMARY_BUSINESS_TYPE) | 0..1 | ||
| isActivelyEngaged | YES_NO_TYPE | 0..1 | one of: Y, N | |
| isPrimaryBusiness | YES_NO_TYPE | 0..1 | one of: Y, N | |
| realEstate | (group: ACTIVELY_ENGAGED_PRIMARY_BUSINESS_TYPE) | 0..1 | ||
| isActivelyEngaged | YES_NO_TYPE | 0..1 | one of: Y, N | |
| isPrimaryBusiness | YES_NO_TYPE | 0..1 | one of: Y, N | |
| insurance | (group: ACTIVELY_ENGAGED_PRIMARY_BUSINESS_TYPE) | 0..1 | ||
| isActivelyEngaged | YES_NO_TYPE | 0..1 | one of: Y, N | |
| isPrimaryBusiness | YES_NO_TYPE | 0..1 | one of: Y, N | |
| bankingThrift | (group: ACTIVELY_ENGAGED_PRIMARY_BUSINESS_TYPE) | 0..1 | ||
| isActivelyEngaged | YES_NO_TYPE | 0..1 | one of: Y, N | |
| isPrimaryBusiness | YES_NO_TYPE | 0..1 | one of: Y, N | |
| investmentAdvisor | (group: ACTIVELY_ENGAGED_PRIMARY_BUSINESS_TYPE) | 0..1 | ||
| isActivelyEngaged | YES_NO_TYPE | 0..1 | one of: Y, N | |
| isPrimaryBusiness | YES_NO_TYPE | 0..1 | one of: Y, N | |
| lawyers | (group: ACTIVELY_ENGAGED_PRIMARY_BUSINESS_JURISDICTION_TYPE) | 0..1 | ||
| activelyEngagedPrimaryBusiness | (group: ACTIVELY_ENGAGED_PRIMARY_BUSINESS_TYPE) | 0..1 | ||
| isActivelyEngaged | YES_NO_TYPE | 0..1 | one of: Y, N | |
| isPrimaryBusiness | YES_NO_TYPE | 0..1 | one of: Y, N | |
| licensedJurisdictions | STRING_10K_TYPE | 0..1 | minLength=1; maxLength=10000 | |
| accounting | (group: ACTIVELY_ENGAGED_PRIMARY_BUSINESS_JURISDICTION_TYPE) | 0..1 | ||
| activelyEngagedPrimaryBusiness | (group: ACTIVELY_ENGAGED_PRIMARY_BUSINESS_TYPE) | 0..1 | ||
| isActivelyEngaged | YES_NO_TYPE | 0..1 | one of: Y, N | |
| isPrimaryBusiness | YES_NO_TYPE | 0..1 | one of: Y, N | |
| licensedJurisdictions | STRING_10K_TYPE | 0..1 | minLength=1; maxLength=10000 | |
| engineering | (group: ACTIVELY_ENGAGED_PRIMARY_BUSINESS_TYPE) | 0..1 | ||
| isActivelyEngaged | YES_NO_TYPE | 0..1 | one of: Y, N | |
| isPrimaryBusiness | YES_NO_TYPE | 0..1 | one of: Y, N | |
| otherFinancialProductAdvisor | (group: ACTIVELY_ENGAGED_PRIMARY_BUSINESS_JURISDICTION_TYPE) | 0..1 | ||
| activelyEngagedPrimaryBusiness | (group: ACTIVELY_ENGAGED_PRIMARY_BUSINESS_TYPE) | 0..1 | ||
| isActivelyEngaged | YES_NO_TYPE | 0..1 | one of: Y, N | |
| isPrimaryBusiness | YES_NO_TYPE | 0..1 | one of: Y, N | |
| licensedJurisdictions | STRING_10K_TYPE | 0..1 | minLength=1; maxLength=10000 | |
| isEngagedInOtherNonMAABusiness | YES_NO_TYPE | 0..1 | one of: Y, N | |
| otherNonMAABusinessPrimaryDescription | STRING_10K_TYPE | 0..1 | minLength=1; maxLength=10000 | |
| fiaAssociatedPersonsTypes | (group: FIA_ASSOCIATED_PERSON_TYPES) | 0..1 | ||
| fiaAPTypes | FIA_ASSOCIATED_PERSON_TYPE | 1..20 | one 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 | |
| totalFIAAssociatedPersons | STRING_NUMERIC_3_TYPE | 0..1 | pattern=\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..1 | exactly one of the following branches | ||
| add | string | 1*..1 | ||
| delete | string | 1*..1 | ||
| amend | string | 1*..1 | ||
| newAdd | string | 1*..1 | ||
| apTypes | (group: FIA_ASSOCIATED_PERSON_TYPES) | 1..1 | ||
| fiaAPTypes | FIA_ASSOCIATED_PERSON_TYPE | 1..20 | one 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 | |
| legalName | STRING_256_TYPE | 1..1 | minLength=1; maxLength=256 | |
| primaryBusinessName | STRING_256_TYPE | 1..1 | minLength=1; maxLength=256 | |
| otherMunicipalAdviser | (group: OTHER_MUNICIPAL_ADVISER) | 0..1 | ||
| isControlOrControlled | YES_NO_TYPE | 1..1 | one of: Y, N | |
| isUnderCommonControl | YES_NO_TYPE | 1..1 | one of: Y, N | |
| isRegisteredWithFFRA | YES_NO_TYPE | 1..1 | one of: Y, N | |
| ffraRegistrations | (group: FFRA_REGISTRATIONS_CONTAINER) | 0..1 | ||
| ffraRegistration | (group: FFRA_REGISTRATION) | 1..100 | ||
| name | STRING_256_TYPE | 1..1 | minLength=1; maxLength=256 | |
| registrationNum | STRING_256_TYPE | 0..1 | minLength=1; maxLength=256 | |
| country | NON_US_COUNTRY_CODES | 1..1 | one of 277 codes (A0, A1, A2, A3, A4, …; full list in the XSD) | |
| participationInterestMACT | (group: PARTICIPATION_INTEREST_IN_MACT) | 1..1 | ||
| mactBuySellFromClients | YES_NO_TYPE | 1..1 | one of: Y, N | |
| mactBuySellRecommendToClients | YES_NO_TYPE | 1..1 | one of: Y, N | |
| mactEnterDerivativesWithClients | YES_NO_TYPE | 1..1 | one of: Y, N | |
| mactRecommendOwnedInterestToClients | YES_NO_TYPE | 1..1 | one of: Y, N | |
| mactRecommendToClientsServing | YES_NO_TYPE | 1..1 | one of: Y, N | |
| mactRecommendToClientsHavingOtherSalesInterest | YES_NO_TYPE | 1..1 | one of: Y, N | |
| mactDiscAuthBuySellAsMAA | YES_NO_TYPE | 1..1 | one of: Y, N | |
| mactDiscAuthBuySell | YES_NO_TYPE | 1..1 | one of: Y, N | |
| mactDiscAuthDetermineBrokerDealer | YES_NO_TYPE | 1..1 | one of: Y, N | |
| mactDiscAuthDetermineBrokerDealerAreAP | YES_NO_TYPE | 0..1 | one of: Y, N | |
| mactDiscAuthDetermineCommissionToBrokerDealer | YES_NO_TYPE | 1..1 | one of: Y, N | |
| mactRecommendBrokerDealerToClient | YES_NO_TYPE | 1..1 | one of: Y, N | |
| mactRecommendBrokerDealerToClientAreAP | YES_NO_TYPE | 0..1 | one of: Y, N | |
| mactCompensateForReferrals | YES_NO_TYPE | 1..1 | one of: Y, N | |
| mactReceiveCompensationForReferrals | YES_NO_TYPE | 1..1 | one 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..1 | exactly one of the following branches | ||
| add | string | 1*..1 | ||
| delete | string | 1*..1 | ||
| amend | string | 1*..1 | ||
| newAdd | string | 1*..1 | ||
| (choice) | 1..1 | exactly one of the following branches | ||
| nonScheduleABCControlPersonFirm | (group: NON_SCHEDULEABC_CONTROLLING_PERSON_FIRM) | 1*..1 | ||
| nameOfFirm | STRING_256_TYPE | 1..1 | minLength=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 | ||
| fileNumber | FILE_NUMBER_TYPE | 0..1 | pattern=\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 | ||
| effectiveDate | DATE_TYPE | 0..1 | pattern=\d{1,2}-\d{1,2}-\d{4} | |
| terminationDate | DATE_TYPE | 0..1 | pattern=\d{1,2}-\d{1,2}-\d{4} | |
| maTregistration | (group: NON_SCHEDULEABC_REG_TYPE_1) | 0..1 | ||
| regInfo | (group: REG_TYPE_1) | 1..1 | ||
| fileNumber | FILE_NUMBER_TYPE | 0..1 | pattern=\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 | ||
| effectiveDate | DATE_TYPE | 0..1 | pattern=\d{1,2}-\d{1,2}-\d{4} | |
| terminationDate | DATE_TYPE | 0..1 | pattern=\d{1,2}-\d{1,2}-\d{4} | |
| mSecDealer | (group: NON_SCHEDULEABC_REG_TYPE_1) | 0..1 | ||
| regInfo | (group: REG_TYPE_1) | 1..1 | ||
| fileNumber | FILE_NUMBER_TYPE | 0..1 | pattern=\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 | ||
| effectiveDate | DATE_TYPE | 0..1 | pattern=\d{1,2}-\d{1,2}-\d{4} | |
| terminationDate | DATE_TYPE | 0..1 | pattern=\d{1,2}-\d{1,2}-\d{4} | |
| brokerDealer | (group: NON_SCHEDULEABC_REG_TYPE_2) | 0..1 | ||
| regInfo | (group: REG_TYPE_2) | 1..1 | ||
| fileNumber | FILE_NUMBER_TYPE | 1..1 | pattern=\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} | |
| crdNumber | CRD_NUMBER_TYPE | 1..1 | minLength=1; maxLength=9 | |
| dateInfo | (group: NON_SCHEDULEABC_FIRM_REGISTRATION_DATES) | 1..1 | ||
| effectiveDate | DATE_TYPE | 0..1 | pattern=\d{1,2}-\d{1,2}-\d{4} | |
| terminationDate | DATE_TYPE | 0..1 | pattern=\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 | ||
| fileNumber | FILE_NUMBER_TYPE | 1..1 | pattern=\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} | |
| crdNumber | CRD_NUMBER_TYPE | 1..1 | minLength=1; maxLength=9 | |
| dateInfo | (group: NON_SCHEDULEABC_FIRM_REGISTRATION_DATES) | 1..1 | ||
| effectiveDate | DATE_TYPE | 0..1 | pattern=\d{1,2}-\d{1,2}-\d{4} | |
| terminationDate | DATE_TYPE | 0..1 | pattern=\d{1,2}-\d{1,2}-\d{4} | |
| state | (group: NON_SCHEDULEABC_REG_TYPE_3) | 0..1 | ||
| regInfo | (group: REG_TYPE_3) | 1..1 | ||
| crdNumber | CRD_NUMBER_TYPE | 0..1 | minLength=1; maxLength=9 | |
| state | US_IAR_STATE_TYPE | 1..53 | one of 54 codes (AL, AK, AZ, AR, CA, …; full list in the XSD) | |
| dateInfo | (group: NON_SCHEDULEABC_FIRM_REGISTRATION_DATES) | 1..1 | ||
| effectiveDate | DATE_TYPE | 0..1 | pattern=\d{1,2}-\d{1,2}-\d{4} | |
| terminationDate | DATE_TYPE | 0..1 | pattern=\d{1,2}-\d{1,2}-\d{4} | |
| exemptAdvisor | (group: NON_SCHEDULEABC_REG_TYPE_2) | 0..1 | ||
| regInfo | (group: REG_TYPE_2) | 1..1 | ||
| fileNumber | FILE_NUMBER_TYPE | 1..1 | pattern=\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} | |
| crdNumber | CRD_NUMBER_TYPE | 1..1 | minLength=1; maxLength=9 | |
| dateInfo | (group: NON_SCHEDULEABC_FIRM_REGISTRATION_DATES) | 1..1 | ||
| effectiveDate | DATE_TYPE | 0..1 | pattern=\d{1,2}-\d{1,2}-\d{4} | |
| terminationDate | DATE_TYPE | 0..1 | pattern=\d{1,2}-\d{1,2}-\d{4} | |
| gsBrokerDealer | (group: NON_SCHEDULEABC_REG_TYPE_4) | 0..1 | ||
| regInfo | (group: REG_TYPE_4) | 1..1 | ||
| fileNumber | FILE_NUMBER_TYPE | 1..1 | pattern=\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} | |
| bankId | STRING_256_TYPE | 0..1 | minLength=1; maxLength=256 | |
| dateInfo | (group: NON_SCHEDULEABC_FIRM_REGISTRATION_DATES) | 1..1 | ||
| effectiveDate | DATE_TYPE | 0..1 | pattern=\d{1,2}-\d{1,2}-\d{4} | |
| terminationDate | DATE_TYPE | 0..1 | pattern=\d{1,2}-\d{1,2}-\d{4} | |
| otherReg | (group: NON_SCHEDULEABC_REG_TYPE_5) | 0..1 | ||
| regInfo | (group: REG_TYPE_5) | 1..1 | ||
| description | STRING_256_TYPE | 1..1 | minLength=1; maxLength=256 | |
| fileNumber | FILE_NUMBER_TYPE | 0..1 | pattern=\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} | |
| cik | CIK_TYPE | 0..1 | pattern=\d{1,10} | |
| dateInfo | (group: NON_SCHEDULEABC_FIRM_REGISTRATION_DATES) | 1..1 | ||
| effectiveDate | DATE_TYPE | 0..1 | pattern=\d{1,2}-\d{1,2}-\d{4} | |
| terminationDate | DATE_TYPE | 0..1 | pattern=\d{1,2}-\d{1,2}-\d{4} | |
| anotherReg | (group: NON_SCHEDULEABC_REG_TYPE_6) | 0..1 | ||
| regInfo | (group: REG_TYPE_6) | 1..1 | ||
| description | STRING_256_TYPE | 1..1 | minLength=1; maxLength=256 | |
| registrationId | STRING_256_TYPE | 0..1 | minLength=1; maxLength=256 | |
| dateInfo | (group: NON_SCHEDULEABC_FIRM_REGISTRATION_DATES) | 1..1 | ||
| effectiveDate | DATE_TYPE | 0..1 | pattern=\d{1,2}-\d{1,2}-\d{4} | |
| terminationDate | DATE_TYPE | 0..1 | pattern=\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 | ||
| firstName | STRING_50_TYPE | 1..1 | minLength=1; maxLength=50 | |
| middleName | STRING_30_TYPE | 1..1 | minLength=1; maxLength=30 | |
| lastName | STRING_50_TYPE | 1..1 | minLength=1; maxLength=50 | |
| cik | CIK_TYPE | 0..1 | pattern=\d{1,10} | |
| crd | CRD_NUMBER_TYPE | 0..1 | minLength=1; maxLength=9 | |
| dateInfo | (group: NON_SCHEDULEABC_FIRM_REGISTRATION_DATES) | 0..1 | ||
| effectiveDate | DATE_TYPE | 0..1 | pattern=\d{1,2}-\d{1,2}-\d{4} | |
| terminationDate | DATE_TYPE | 0..1 | pattern=\d{1,2}-\d{1,2}-\d{4} | |
| description | STRING_10K_TYPE | 1..1 | minLength=1; maxLength=10000 | |
| contact | (group: PRINCIPAL_OFFICE_INFO) | 1..1 | ||
| addressInfo | (group: ADDRESS_TYPE) | 0..1 | ||
| residentialAddressFlag | YES_NO_TYPE | 0..1 | one of: Y, N | |
| address | (group: ADDRESS_TYPE) | 1..1 | ||
| street1 | STREET_TYPE | 1..1 | minLength=1; maxLength=40 | |
| street2 | STREET_TYPE | 0..1 | minLength=1; maxLength=40 | |
| city | STRING_30_TYPE | 1..1 | minLength=1; maxLength=30 | |
| stateOrCountry | STATE_COUNTRY_CODE | 1..1 | one of 331 codes (AL, AK, AZ, AR, CA, …; full list in the XSD) | |
| zipCode | ZIP_TYPE | 1..1 | minLength=1; maxLength=10; pattern=[0-9A-Za-z #\-]* | |
| phoneNumber | PHONE_TYPE | 1..1 | minLength=1; maxLength=20; pattern=[a-zA-Z0-9\-]{1,20} | |
| faxNumber | PHONE_TYPE | 0..1 | minLength=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 | ||
| name | STRING_256_TYPE | 1..1 | minLength=1; maxLength=256 | |
| cik | CIK_TYPE | 1..1 | pattern=\d{1,10} | |
| reportingSchedules | (group: SECTION_12_15D_REPORTING_SCHEDULES) | 1..1 | ||
| reportingSchedule | SECTION_12_15D_REPORTING_SCHEDULE | 1..5 | one of: Schedule A, Schedule B, Schedule C Section 4, Schedule C Section 5, Schedule D Section 8-A | |
| miscellaneous | STRING_10K_TYPE | 0..1 | minLength=1; maxLength=10000 | |
| disclosureAnswers | (group: DISCLOSURE_QUESTIONS) | 1..1 | ||
| criminalDisclosure | (group: CRIMINAL_ACTION_DISCLOSURE) | 1..1 | ||
| isConvictedOfFelony | YES_NO_TYPE | 1..1 | one of: Y, N | |
| isChargedWithFelony | YES_NO_TYPE | 1..1 | one of: Y, N | |
| isOrgConvictedOfFelony | YES_NO_TYPE | 1..1 | one of: Y, N | |
| isOrgChargedWithFelony | YES_NO_TYPE | 1..1 | one of: Y, N | |
| regulatoryDisclosure | (group: REGULATORY_ACTION_DISCLOSURE) | 1..1 | ||
| isMadeFalseStatement | YES_NO_TYPE | 1..1 | one of: Y, N | |
| isViolatedRegulation | YES_NO_TYPE | 1..1 | one of: Y, N | |
| isCauseOfDenial | YES_NO_TYPE | 1..1 | one of: Y, N | |
| isOrderAgainst | YES_NO_TYPE | 1..1 | one of: Y, N | |
| isImposedPenalty | YES_NO_TYPE | 1..1 | one of: Y, N | |
| isUnEthical | YES_NO_TYPE | 1..1 | one of: Y, N | |
| isFoundInViolationOfRegulation | YES_NO_TYPE | 1..1 | one of: Y, N | |
| isFoundInCauseOfDenial | YES_NO_TYPE | 1..1 | one of: Y, N | |
| isOrderAgainstActivity | YES_NO_TYPE | 1..1 | one of: Y, N | |
| isDeniedLicense | YES_NO_TYPE | 1..1 | one of: Y, N | |
| isFoundMadeFalseStatement | YES_NO_TYPE | 1..1 | one of: Y, N | |
| isFoundInViolationOfRules | YES_NO_TYPE | 1..1 | one of: Y, N | |
| isFoundInCauseOfSuspension | YES_NO_TYPE | 1..1 | one of: Y, N | |
| isDiscipliend | YES_NO_TYPE | 1..1 | one of: Y, N | |
| isAuthorizedToActAttorney | YES_NO_TYPE | 1..1 | one of: Y, N | |
| isRegulatoryComplaint | YES_NO_TYPE | 1..1 | one of: Y, N | |
| civilDisclosure | (group: CIVIL_JUDICIAL_ACTION_DISCLOSURE) | 1..1 | ||
| isEnjoined | YES_NO_TYPE | 1..1 | one of: Y, N | |
| isFoundInViolationOfRegulation | YES_NO_TYPE | 1..1 | one of: Y, N | |
| isDismissed | YES_NO_TYPE | 1..1 | one of: Y, N | |
| isNamedInCivilProceeding | YES_NO_TYPE | 1..1 | one of: Y, N | |
| hasAnnualReceiptsLessThan7Million | YES_NO_TYPE | 1..1 | one of: Y, N | |
| isAffiliatedWithReceiptsMoreThan7Million | YES_NO_TYPE | 1..1 | one 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 | ||
| name | STRING_256_TYPE | 1..1 | minLength=1; maxLength=256 | |
| controPersonPR | YES_NO_TYPE | 0..1 | one of: Y, N | |
| empIDNumber | STRING_256_TYPE | 0..1 | minLength=1; maxLength=256 | |
| deFeNp | (group: OWNING_ENTITY_DE_FE_NP) | 1..1 | ||
| (choice) | 1..1 | exactly one of the following branches | ||
| de | string | 1*..1 | ||
| fe | string | 1*..1 | ||
| irsNum | TAX_ID_TYPE | 0..1 | pattern=\d{2}[\-]?\d{7} | |
| baseInformation | (group: OWNING_ENTITY_BASE) | 1..1 | ||
| titleStatus | STRING_256_TYPE | 1..1 | minLength=1; maxLength=256 | |
| statusAcquired | DATE_TYPE | 1..1 | pattern=\d{1,2}-\d{1,2}-\d{4} | |
| ownershipCode | OWNERSHIP_CODE | 1..1 | one of: NA, A, B, C, D, E, F | |
| isControPerson | YES_NO_TYPE | 1..1 | one of: Y, N | |
| crdNumber | CRD_NUMBER_TYPE | 0..1 | minLength=1; maxLength=9 | |
| foreignBusIdNo | STRING_256_TYPE | 0..1 | minLength=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 | ||
| firstName | STRING_50_TYPE | 1..1 | minLength=1; maxLength=50 | |
| middleName | STRING_30_TYPE | 1..1 | minLength=1; maxLength=30 | |
| lastName | STRING_50_TYPE | 1..1 | minLength=1; maxLength=50 | |
| baseInformation | (group: OWNING_ENTITY_BASE_PERSON) | 1..1 | ||
| titleStatus | STRING_256_TYPE | 1..1 | minLength=1; maxLength=256 | |
| statusAcquired | DATE_TYPE | 1..1 | pattern=\d{1,2}-\d{1,2}-\d{4} | |
| ownershipCode | OWNERSHIP_CODE | 1..1 | one of: NA, A, B, C, D, E, F | |
| isControPerson | YES_NO_TYPE | 1..1 | one of: Y, N | |
| crdNumber | CRD_NUMBER_TYPE | 0..1 | minLength=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 | ||
| owningEntity | STRING_256_TYPE | 1..1 | minLength=1; maxLength=256 | |
| baseInfo | (group: DIRECT_OWNER_BUSINESS) | 1..1 | ||
| name | STRING_256_TYPE | 1..1 | minLength=1; maxLength=256 | |
| controPersonPR | YES_NO_TYPE | 0..1 | one of: Y, N | |
| empIDNumber | STRING_256_TYPE | 0..1 | minLength=1; maxLength=256 | |
| deFeNp | (group: OWNING_ENTITY_DE_FE_NP) | 1..1 | ||
| (choice) | 1..1 | exactly one of the following branches | ||
| de | string | 1*..1 | ||
| fe | string | 1*..1 | ||
| irsNum | TAX_ID_TYPE | 0..1 | pattern=\d{2}[\-]?\d{7} | |
| baseInformation | (group: OWNING_ENTITY_BASE) | 1..1 | ||
| titleStatus | STRING_256_TYPE | 1..1 | minLength=1; maxLength=256 | |
| statusAcquired | DATE_TYPE | 1..1 | pattern=\d{1,2}-\d{1,2}-\d{4} | |
| ownershipCode | OWNERSHIP_CODE | 1..1 | one of: NA, A, B, C, D, E, F | |
| isControPerson | YES_NO_TYPE | 1..1 | one of: Y, N | |
| crdNumber | CRD_NUMBER_TYPE | 0..1 | minLength=1; maxLength=9 | |
| foreignBusIdNo | STRING_256_TYPE | 0..1 | minLength=1; maxLength=256 | |
| persons | (group: INDIRECT_OWNERS_PERSONS_CONTAINER) | 0..1 | ||
| person | (group: INDIRECT_OWNER_PERSON) | 1..200 | ||
| owningEntity | STRING_256_TYPE | 1..1 | minLength=1; maxLength=256 | |
| baseInfo | (group: DIRECT_OWNER_PERSON) | 1..1 | ||
| name | (group: INDIVIDUAL_NAME_NO_SUFIX_TYPE) | 1..1 | ||
| firstName | STRING_50_TYPE | 1..1 | minLength=1; maxLength=50 | |
| middleName | STRING_30_TYPE | 1..1 | minLength=1; maxLength=30 | |
| lastName | STRING_50_TYPE | 1..1 | minLength=1; maxLength=50 | |
| baseInformation | (group: OWNING_ENTITY_BASE_PERSON) | 1..1 | ||
| titleStatus | STRING_256_TYPE | 1..1 | minLength=1; maxLength=256 | |
| statusAcquired | DATE_TYPE | 1..1 | pattern=\d{1,2}-\d{1,2}-\d{4} | |
| ownershipCode | OWNERSHIP_CODE | 1..1 | one of: NA, A, B, C, D, E, F | |
| isControPerson | YES_NO_TYPE | 1..1 | one of: Y, N | |
| crdNumber | CRD_NUMBER_TYPE | 0..1 | minLength=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..1 | exactly one of the following branches | ||
| add | string | 1*..1 | ||
| delete | string | 1*..1 | ||
| amend | string | 1*..1 | ||
| newAdd | string | 1*..1 | ||
| baseInformation | (group: DIRECT_OWNER_BUSINESS) | 1..1 | ||
| name | STRING_256_TYPE | 1..1 | minLength=1; maxLength=256 | |
| controPersonPR | YES_NO_TYPE | 0..1 | one of: Y, N | |
| empIDNumber | STRING_256_TYPE | 0..1 | minLength=1; maxLength=256 | |
| deFeNp | (group: OWNING_ENTITY_DE_FE_NP) | 1..1 | ||
| (choice) | 1..1 | exactly one of the following branches | ||
| de | string | 1*..1 | ||
| fe | string | 1*..1 | ||
| irsNum | TAX_ID_TYPE | 0..1 | pattern=\d{2}[\-]?\d{7} | |
| baseInformation | (group: OWNING_ENTITY_BASE) | 1..1 | ||
| titleStatus | STRING_256_TYPE | 1..1 | minLength=1; maxLength=256 | |
| statusAcquired | DATE_TYPE | 1..1 | pattern=\d{1,2}-\d{1,2}-\d{4} | |
| ownershipCode | OWNERSHIP_CODE | 1..1 | one of: NA, A, B, C, D, E, F | |
| isControPerson | YES_NO_TYPE | 1..1 | one of: Y, N | |
| crdNumber | CRD_NUMBER_TYPE | 0..1 | minLength=1; maxLength=9 | |
| foreignBusIdNo | STRING_256_TYPE | 0..1 | minLength=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..1 | exactly one of the following branches | ||
| add | string | 1*..1 | ||
| delete | string | 1*..1 | ||
| amend | string | 1*..1 | ||
| newAdd | string | 1*..1 | ||
| baseInformation | (group: DIRECT_OWNER_PERSON) | 1..1 | ||
| name | (group: INDIVIDUAL_NAME_NO_SUFIX_TYPE) | 1..1 | ||
| firstName | STRING_50_TYPE | 1..1 | minLength=1; maxLength=50 | |
| middleName | STRING_30_TYPE | 1..1 | minLength=1; maxLength=30 | |
| lastName | STRING_50_TYPE | 1..1 | minLength=1; maxLength=50 | |
| baseInformation | (group: OWNING_ENTITY_BASE_PERSON) | 1..1 | ||
| titleStatus | STRING_256_TYPE | 1..1 | minLength=1; maxLength=256 | |
| statusAcquired | DATE_TYPE | 1..1 | pattern=\d{1,2}-\d{1,2}-\d{4} | |
| ownershipCode | OWNERSHIP_CODE | 1..1 | one of: NA, A, B, C, D, E, F | |
| isControPerson | YES_NO_TYPE | 1..1 | one of: Y, N | |
| crdNumber | CRD_NUMBER_TYPE | 0..1 | minLength=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..1 | exactly one of the following branches | ||
| add | string | 1*..1 | ||
| delete | string | 1*..1 | ||
| amend | string | 1*..1 | ||
| newAdd | string | 1*..1 | ||
| baseInformation | (group: INDIRECT_OWNER_BUSINESS) | 1..1 | ||
| owningEntity | STRING_256_TYPE | 1..1 | minLength=1; maxLength=256 | |
| baseInfo | (group: DIRECT_OWNER_BUSINESS) | 1..1 | ||
| name | STRING_256_TYPE | 1..1 | minLength=1; maxLength=256 | |
| controPersonPR | YES_NO_TYPE | 0..1 | one of: Y, N | |
| empIDNumber | STRING_256_TYPE | 0..1 | minLength=1; maxLength=256 | |
| deFeNp | (group: OWNING_ENTITY_DE_FE_NP) | 1..1 | ||
| (choice) | 1..1 | exactly one of the following branches | ||
| de | string | 1*..1 | ||
| fe | string | 1*..1 | ||
| irsNum | TAX_ID_TYPE | 0..1 | pattern=\d{2}[\-]?\d{7} | |
| baseInformation | (group: OWNING_ENTITY_BASE) | 1..1 | ||
| titleStatus | STRING_256_TYPE | 1..1 | minLength=1; maxLength=256 | |
| statusAcquired | DATE_TYPE | 1..1 | pattern=\d{1,2}-\d{1,2}-\d{4} | |
| ownershipCode | OWNERSHIP_CODE | 1..1 | one of: NA, A, B, C, D, E, F | |
| isControPerson | YES_NO_TYPE | 1..1 | one of: Y, N | |
| crdNumber | CRD_NUMBER_TYPE | 0..1 | minLength=1; maxLength=9 | |
| foreignBusIdNo | STRING_256_TYPE | 0..1 | minLength=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..1 | exactly one of the following branches | ||
| add | string | 1*..1 | ||
| delete | string | 1*..1 | ||
| amend | string | 1*..1 | ||
| newAdd | string | 1*..1 | ||
| baseInformation | (group: INDIRECT_OWNER_PERSON) | 1..1 | ||
| owningEntity | STRING_256_TYPE | 1..1 | minLength=1; maxLength=256 | |
| baseInfo | (group: DIRECT_OWNER_PERSON) | 1..1 | ||
| name | (group: INDIVIDUAL_NAME_NO_SUFIX_TYPE) | 1..1 | ||
| firstName | STRING_50_TYPE | 1..1 | minLength=1; maxLength=50 | |
| middleName | STRING_30_TYPE | 1..1 | minLength=1; maxLength=30 | |
| lastName | STRING_50_TYPE | 1..1 | minLength=1; maxLength=50 | |
| baseInformation | (group: OWNING_ENTITY_BASE_PERSON) | 1..1 | ||
| titleStatus | STRING_256_TYPE | 1..1 | minLength=1; maxLength=256 | |
| statusAcquired | DATE_TYPE | 1..1 | pattern=\d{1,2}-\d{1,2}-\d{4} | |
| ownershipCode | OWNERSHIP_CODE | 1..1 | one of: NA, A, B, C, D, E, F | |
| isControPerson | YES_NO_TYPE | 1..1 | one of: Y, N | |
| crdNumber | CRD_NUMBER_TYPE | 0..1 | minLength=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..1 | exactly one of the following branches | ||
| add | string | 1*..1 | ||
| amend | string | 1*..1 | ||
| apDrpFiledCount | STRING_NUMERIC_3_TYPE | 0..1 | pattern=\d{1,10} | |
| drpFor | (group: DRP_FILED_FOR) | 1..1 | ||
| (choice) | 1..1 | exactly one of the following branches | ||
| applicant | string | 1*..1 | ||
| applicantAndAP | string | 1*..1 | ||
| ap | string | 1*..1 | ||
| respondingTo | (group: CRIMINAL_RESPONDING_TO_TYPES) | 1..1 | ||
| responseQuestion | CRIMINAL_RESPONDING_TO_TYPE | 1..4 | one 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..1 | exactly one of the following branches | ||
| filedDisclosure | (group: FILED_DRP) | 1*..1 | ||
| advBDU4Filing | (group: ADV_BD_U4_FILING) | 0..1 | ||
| name | STRING_256_TYPE | 1..1 | minLength=1; maxLength=256 | |
| crdNumber | CRD_NUMBER_TYPE | 1..1 | minLength=1; maxLength=9 | |
| disclosureNumber | STRING_256_TYPE | 1..1 | minLength=1; maxLength=256 | |
| maFiling | (group: MA_FILING) | 0..1 | ||
| name | STRING_256_TYPE | 1..1 | minLength=1; maxLength=256 | |
| regNumber | FILE_NUMBER_TYPE | 1..1 | pattern=\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} | |
| drpDate | DATE_TYPE | 1..1 | pattern=\d{1,2}-\d{1,2}-\d{4} | |
| accessionNumber | ACCESSION_NUMBER_TYPE | 1..1 | pattern=[*]{0}|[0-9]{1,10}\-[0-9]{1,2}\-[0-9]{1,6} | |
| matFiling | (group: MAT_FILING) | 0..1 | ||
| name | STRING_256_TYPE | 1..1 | minLength=1; maxLength=256 | |
| regNumber | FILE_NUMBER_TYPE | 1..1 | pattern=\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} | |
| date | DATE_TYPE | 1..1 | pattern=\d{1,2}-\d{1,2}-\d{4} | |
| maiFiling | (group: MA_FILING) | 0..1 | ||
| name | STRING_256_TYPE | 1..1 | minLength=1; maxLength=256 | |
| regNumber | FILE_NUMBER_TYPE | 1..1 | pattern=\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} | |
| drpDate | DATE_TYPE | 1..1 | pattern=\d{1,2}-\d{1,2}-\d{4} | |
| accessionNumber | ACCESSION_NUMBER_TYPE | 1..1 | pattern=[*]{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 | ||
| chargesBroughtAgainstControlled | YES_NO_TYPE | 0..1 | one of: Y, N | |
| chargedControlInfo | (group: CHARGED_CONTROL_INFORMATION) | 0..1 | ||
| name | STRING_256_TYPE | 1..1 | minLength=1; maxLength=256 | |
| isEngagedInMARBusiness | YES_NO_TYPE | 1..1 | one of: Y, N | |
| relationshipToCharged | STRING_10K_TYPE | 1..1 | minLength=1; maxLength=10000 | |
| hasFelonyCharges | YES_NO_TYPE | 0..1 | one of: Y, N | |
| court | (group: CRIMINAL_EVENT_COURT_INFO) | 0..1 | ||
| criminalCourt | (group: CRIMINAL_EVENT_COURT_TYPES_INFO) | 1..1 | ||
| (choice) | 1..1 | exactly one of the following branches | ||
| fedCourt | string | 1*..1 | ||
| milCourt | string | 1*..1 | ||
| stateCourt | string | 1*..1 | ||
| foreignCourt | string | 1*..1 | ||
| intnlCourt | string | 1*..1 | ||
| other | string | 1*..1 | ||
| other | STRING_256_TYPE | 0..1 | minLength=1; maxLength=256 | |
| dateFirstCharged | (group: EXACT_OR_EXPLANATION_10K) | 0..1 | ||
| date | DATE_TYPE | 0..1 | pattern=\d{1,2}-\d{1,2}-\d{4} | |
| (choice) | 1..1 | exactly one of the following branches | ||
| exact | string | 1*..1 | ||
| explanationInfo | (group: EXPLANATION_INFO_10K) | 1*..1 | ||
| explanation | string | 1..1 | ||
| provideExplanation | STRING_10K_TYPE | 1..1 | minLength=1; maxLength=10000 | |
| actionAppealedTo | (group: CRIMINAL_APPEALED_TO_TYPE) | 0..1 | ||
| date | DATE_TYPE | 1..1 | pattern=\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..1 | exactly one of the following branches | ||
| fedCourt | string | 1*..1 | ||
| milCourt | string | 1*..1 | ||
| stateCourt | string | 1*..1 | ||
| foreignCourt | string | 1*..1 | ||
| intnlCourt | string | 1*..1 | ||
| other | string | 1*..1 | ||
| other | STRING_256_TYPE | 0..1 | minLength=1; maxLength=256 | |
| appealedToCourtName | STRING_256_TYPE | 1..1 | minLength=1; maxLength=256 | |
| statusDateInfo | (group: EXACT_OR_EXPLANATION_3K) | 0..1 | ||
| date | DATE_TYPE | 0..1 | pattern=\d{1,2}-\d{1,2}-\d{4} | |
| (choice) | 1..1 | exactly one of the following branches | ||
| exact | string | 1*..1 | ||
| explanationInfo | (group: EXPLANATION_INFO_3K) | 1*..1 | ||
| explanation | string | 1..1 | ||
| provideExplanation | STRING_3K_TYPE | 1..1 | minLength=1; maxLength=3000 | |
| baseInformation | (group: BASE_DRP_INFORMATION) | 0..1 | ||
| chargesBroughtIn | (group: CHARGES_WHERE_BROUGHT_IN) | 0..1 | ||
| name | STRING_256_TYPE | 0..1 | minLength=1; maxLength=256 | |
| docketOrCaseNo | STRING_256_TYPE | 1..1 | minLength=1; maxLength=256 | |
| address | (group: ADDRESS_TYPE) | 1..1 | ||
| street1 | STREET_TYPE | 1..1 | minLength=1; maxLength=40 | |
| street2 | STREET_TYPE | 0..1 | minLength=1; maxLength=40 | |
| city | STRING_30_TYPE | 1..1 | minLength=1; maxLength=30 | |
| stateOrCountry | STATE_COUNTRY_CODE | 1..1 | one of 331 codes (AL, AK, AZ, AR, CA, …; full list in the XSD) | |
| zipCode | ZIP_TYPE | 1..1 | minLength=1; maxLength=10; pattern=[0-9A-Za-z #\-]* | |
| status | (group: EVENT_STATUS_TYPE) | 1..1 | ||
| (choice) | 1..1 | exactly one of the following branches | ||
| pending | string | 1*..1 | ||
| onAppeal | string | 1*..1 | ||
| final | string | 1*..1 | ||
| summary | STRING_10K_TYPE | 0..1 | minLength=1; maxLength=10000 | |
| charges | (group: CRIMINAL_CHARGES_CONTAINER) | 0..1 | ||
| charge | (group: CRIMINAL_CHARGE) | 0..100 | ||
| (choice) | 1..1 | exactly one of the following branches | ||
| baseInformation | (group: EVENT_DISC_DETAIL_TYPE) | 1*..1 | ||
| charge | STRING_10K_TYPE | 1..1 | minLength=1; maxLength=10000 | |
| numberOfCounts | STRING_NUMERIC_3_TYPE | 1..1 | pattern=\d{1,10} | |
| felonyOrMisdemeanor | (group: FELONY_MISDEMEANOR_TYPE) | 1..1 | ||
| (choice) | 1..1 | exactly one of the following branches | ||
| felony | string | 1*..1 | ||
| misdemeanor | string | 1*..1 | ||
| plea | STRING_1K_TYPE | 1..1 | minLength=1; maxLength=1000 | |
| productType | STRING_1K_TYPE | 0..1 | minLength=1; maxLength=1000 | |
| investmentProductType | STRING_1K_TYPE | 0..1 | minLength=1; maxLength=1000 | |
| amendedReducedDate | DATE_TYPE | 0..1 | pattern=\d{1,2}-\d{1,2}-\d{4} | |
| dispositionDisclosureDetail | (group: DISPOSITION_DISCLOSURE_DETAIL) | 1*..1 | ||
| dispositionType | (group: DISPOSITION_TYPE_CONTAINER) | 1..1 | ||
| type | DISPOSITION_TYPES | 1..13 | one 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 | |
| appealType | APPEAL_TYPES | 0..4 | one of: Affirmed, Vacated & Returned For Further Action, Vacated / Final, Other | |
| explanation | STRING_3K_TYPE | 0..1 | minLength=1; maxLength=3000 | |
| otherDisp | STRING_256_TYPE | 0..1 | minLength=1; maxLength=256 | |
| otherAppeal | STRING_256_TYPE | 0..1 | minLength=1; maxLength=256 | |
| date | STRING_3K_TYPE | 1..1 | minLength=1; maxLength=3000 | |
| sentencePenaltyType | STRING_3K_TYPE | 0..1 | minLength=1; maxLength=3000 | |
| incarcerationInfo | (group: INCARCERATION_INFORMATION) | 0..1 | ||
| duration | (group: SENTENCE_DURATION_TYPE) | 0..1 | ||
| days | STRING_NUMERIC_3_TYPE | 0..1 | pattern=\d{1,10} | |
| months | STRING_NUMERIC_3_TYPE | 0..1 | pattern=\d{1,10} | |
| years | STRING_NUMERIC_3_TYPE | 0..1 | pattern=\d{1,10} | |
| startDate | (group: DATE_SENTENCE_TYPE) | 1..1 | ||
| (choice) | 1..1 | exactly one of the following branches | ||
| date | DATE_TYPE | 1*..1 | pattern=\d{1,2}-\d{1,2}-\d{4} | |
| notDetermined | string | 1*..1 | ||
| endDate | (group: DATE_SENTENCE_TYPE) | 1..1 | ||
| (choice) | 1..1 | exactly one of the following branches | ||
| date | DATE_TYPE | 1*..1 | pattern=\d{1,2}-\d{1,2}-\d{4} | |
| notDetermined | string | 1*..1 | ||
| concurrentEndDate | DATE_TYPE | 0..1 | pattern=\d{1,2}-\d{1,2}-\d{4} | |
| explanation | STRING_3K_TYPE | 0..1 | minLength=1; maxLength=3000 | |
| monetaryPenalty | (group: MONETARY_PENALTY) | 0..1 | ||
| totalFine | DECIMAL_TYPE14_2_FIXED | 1..1 | totalDigits=16; fractionDigits=2; pattern=[\+\-]?\d{0,14}\.\d\d | |
| reducedAmount | DECIMAL_TYPE14_2_FIXED | 0..1 | totalDigits=16; fractionDigits=2; pattern=[\+\-]?\d{0,14}\.\d\d | |
| paidStatus | (group: MONETARY_PAYMENT_STATUS) | 1..1 | ||
| (choice) | 1..1 | exactly one of the following branches | ||
| paidInFullDate | DATE_TYPE | 1*..1 | pattern=\d{1,2}-\d{1,2}-\d{4} | |
| notPaidInfo | (group: MONETARY_NON_PAYMENT_INFORMATION) | 1*..1 | ||
| amountUNPAID | DECIMAL_TYPE14_2_FIXED | 1..1 | totalDigits=16; fractionDigits=2; pattern=[\+\-]?\d{0,14}\.\d\d | |
| explanation | STRING_3K_TYPE | 1..1 | minLength=1; maxLength=3000 | |
| finalAmount | DECIMAL_TYPE14_2_FIXED | 1..1 | totalDigits=16; fractionDigits=2; pattern=[\+\-]?\d{0,14}\.\d\d | |
| drpRemoveReason | (group: DRP_REMOVE_REASON_1K) | 0..1 | ||
| (choice) | 1..1 | exactly one of the following branches | ||
| isRegistered | string | 1*..1 | ||
| isFiledError | (group: FILEDERROR_1K) | 1*..1 | ||
| explainTheCircumstances | STRING_1K_TYPE | 1..1 | minLength=1; maxLength=1000 | |
| isOlderThan10Years | (group: ORDERTHAN10YEARS_1K) | 1*..1 | ||
| explainTheCircumstances | STRING_1K_TYPE | 0..1 | minLength=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..1 | exactly one of the following branches | ||
| firmInfo | ENTITY_NAME_256_TYPE | 1*..1 | minLength=1; maxLength=256; pattern=([\w\s!\\#$(),.:;=@\-{}|/&]+) | |
| naturalPersonInfo | (group: INDIVIDUAL_NAME_TYPE) | 1*..1 | ||
| firstName | STRING_50_TYPE | 0..1 | minLength=1; maxLength=50 | |
| middleName | STRING_30_TYPE | 0..1 | minLength=1; maxLength=30 | |
| lastName | STRING_50_TYPE | 0..1 | minLength=1; maxLength=50 | |
| suffix | STRING_10_TYPE | 0..1 | minLength=1; maxLength=10 | |
| registrationInfo | (group: SEC_REGISTERED_INFO) | 1..1 | ||
| isSECRegistered | YES_NO_TYPE | 1..1 | one of: Y, N | |
| secRegistrationNumber | STRING_150_TYPE | 0..1 | minLength=1; maxLength=150 | |
| crdNumber | CRD_NUMBER_TYPE | 0..1 | minLength=1; maxLength=9 | |
| drpRemovalInformation | (group: ASSOCIATED_PERSON_DRP_REMOVAL_INFORMATION_1K) | 0..1 | ||
| (choice) | 1..1 | exactly one of the following branches | ||
| apNotAssociated | string | 1*..1 | ||
| eventResolved | string | 1*..1 | ||
| eventOccurTenYearsAgo | string | 1*..1 | ||
| isFiledError | (group: FILEDERROR_1K) | 1*..1 | ||
| explainTheCircumstances | STRING_1K_TYPE | 1..1 | minLength=1; maxLength=1000 | |
| isORDERTHAN10YEARS | (group: ORDERTHAN10YEARS_1K) | 1*..1 | ||
| explainTheCircumstances | STRING_1K_TYPE | 0..1 | minLength=1; maxLength=1000 | |
| drpInfo | (group: CRIMINAL_DRP_DETAILS) | 1..1 | ||
| (choice) | 1..1 | exactly one of the following branches | ||
| filedDisclosure | (group: FILED_DRP) | 1*..1 | ||
| advBDU4Filing | (group: ADV_BD_U4_FILING) | 0..1 | ||
| name | STRING_256_TYPE | 1..1 | minLength=1; maxLength=256 | |
| crdNumber | CRD_NUMBER_TYPE | 1..1 | minLength=1; maxLength=9 | |
| disclosureNumber | STRING_256_TYPE | 1..1 | minLength=1; maxLength=256 | |
| maFiling | (group: MA_FILING) | 0..1 | ||
| name | STRING_256_TYPE | 1..1 | minLength=1; maxLength=256 | |
| regNumber | FILE_NUMBER_TYPE | 1..1 | pattern=\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} | |
| drpDate | DATE_TYPE | 1..1 | pattern=\d{1,2}-\d{1,2}-\d{4} | |
| accessionNumber | ACCESSION_NUMBER_TYPE | 1..1 | pattern=[*]{0}|[0-9]{1,10}\-[0-9]{1,2}\-[0-9]{1,6} | |
| matFiling | (group: MAT_FILING) | 0..1 | ||
| name | STRING_256_TYPE | 1..1 | minLength=1; maxLength=256 | |
| regNumber | FILE_NUMBER_TYPE | 1..1 | pattern=\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} | |
| date | DATE_TYPE | 1..1 | pattern=\d{1,2}-\d{1,2}-\d{4} | |
| maiFiling | (group: MA_FILING) | 0..1 | ||
| name | STRING_256_TYPE | 1..1 | minLength=1; maxLength=256 | |
| regNumber | FILE_NUMBER_TYPE | 1..1 | pattern=\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} | |
| drpDate | DATE_TYPE | 1..1 | pattern=\d{1,2}-\d{1,2}-\d{4} | |
| accessionNumber | ACCESSION_NUMBER_TYPE | 1..1 | pattern=[*]{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 | ||
| chargesBroughtAgainstControlled | YES_NO_TYPE | 0..1 | one of: Y, N | |
| chargedControlInfo | (group: CHARGED_CONTROL_INFORMATION) | 0..1 | ||
| name | STRING_256_TYPE | 1..1 | minLength=1; maxLength=256 | |
| isEngagedInMARBusiness | YES_NO_TYPE | 1..1 | one of: Y, N | |
| relationshipToCharged | STRING_10K_TYPE | 1..1 | minLength=1; maxLength=10000 | |
| hasFelonyCharges | YES_NO_TYPE | 0..1 | one of: Y, N | |
| court | (group: CRIMINAL_EVENT_COURT_INFO) | 0..1 | ||
| criminalCourt | (group: CRIMINAL_EVENT_COURT_TYPES_INFO) | 1..1 | ||
| (choice) | 1..1 | exactly one of the following branches | ||
| fedCourt | string | 1*..1 | ||
| milCourt | string | 1*..1 | ||
| stateCourt | string | 1*..1 | ||
| foreignCourt | string | 1*..1 | ||
| intnlCourt | string | 1*..1 | ||
| other | string | 1*..1 | ||
| other | STRING_256_TYPE | 0..1 | minLength=1; maxLength=256 | |
| dateFirstCharged | (group: EXACT_OR_EXPLANATION_10K) | 0..1 | ||
| date | DATE_TYPE | 0..1 | pattern=\d{1,2}-\d{1,2}-\d{4} | |
| (choice) | 1..1 | exactly one of the following branches | ||
| exact | string | 1*..1 | ||
| explanationInfo | (group: EXPLANATION_INFO_10K) | 1*..1 | ||
| explanation | string | 1..1 | ||
| provideExplanation | STRING_10K_TYPE | 1..1 | minLength=1; maxLength=10000 | |
| actionAppealedTo | (group: CRIMINAL_APPEALED_TO_TYPE) | 0..1 | ||
| date | DATE_TYPE | 1..1 | pattern=\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..1 | exactly one of the following branches | ||
| fedCourt | string | 1*..1 | ||
| milCourt | string | 1*..1 | ||
| stateCourt | string | 1*..1 | ||
| foreignCourt | string | 1*..1 | ||
| intnlCourt | string | 1*..1 | ||
| other | string | 1*..1 | ||
| other | STRING_256_TYPE | 0..1 | minLength=1; maxLength=256 | |
| appealedToCourtName | STRING_256_TYPE | 1..1 | minLength=1; maxLength=256 | |
| statusDateInfo | (group: EXACT_OR_EXPLANATION_3K) | 0..1 | ||
| date | DATE_TYPE | 0..1 | pattern=\d{1,2}-\d{1,2}-\d{4} | |
| (choice) | 1..1 | exactly one of the following branches | ||
| exact | string | 1*..1 | ||
| explanationInfo | (group: EXPLANATION_INFO_3K) | 1*..1 | ||
| explanation | string | 1..1 | ||
| provideExplanation | STRING_3K_TYPE | 1..1 | minLength=1; maxLength=3000 | |
| baseInformation | (group: BASE_DRP_INFORMATION) | 0..1 | ||
| chargesBroughtIn | (group: CHARGES_WHERE_BROUGHT_IN) | 0..1 | ||
| name | STRING_256_TYPE | 0..1 | minLength=1; maxLength=256 | |
| docketOrCaseNo | STRING_256_TYPE | 1..1 | minLength=1; maxLength=256 | |
| address | (group: ADDRESS_TYPE) | 1..1 | ||
| street1 | STREET_TYPE | 1..1 | minLength=1; maxLength=40 | |
| street2 | STREET_TYPE | 0..1 | minLength=1; maxLength=40 | |
| city | STRING_30_TYPE | 1..1 | minLength=1; maxLength=30 | |
| stateOrCountry | STATE_COUNTRY_CODE | 1..1 | one of 331 codes (AL, AK, AZ, AR, CA, …; full list in the XSD) | |
| zipCode | ZIP_TYPE | 1..1 | minLength=1; maxLength=10; pattern=[0-9A-Za-z #\-]* | |
| status | (group: EVENT_STATUS_TYPE) | 1..1 | ||
| (choice) | 1..1 | exactly one of the following branches | ||
| pending | string | 1*..1 | ||
| onAppeal | string | 1*..1 | ||
| final | string | 1*..1 | ||
| summary | STRING_10K_TYPE | 0..1 | minLength=1; maxLength=10000 | |
| charges | (group: CRIMINAL_CHARGES_CONTAINER) | 0..1 | ||
| charge | (group: CRIMINAL_CHARGE) | 0..100 | ||
| (choice) | 1..1 | exactly one of the following branches | ||
| baseInformation | (group: EVENT_DISC_DETAIL_TYPE) | 1*..1 | ||
| charge | STRING_10K_TYPE | 1..1 | minLength=1; maxLength=10000 | |
| numberOfCounts | STRING_NUMERIC_3_TYPE | 1..1 | pattern=\d{1,10} | |
| felonyOrMisdemeanor | (group: FELONY_MISDEMEANOR_TYPE) | 1..1 | ||
| (choice) | 1..1 | exactly one of the following branches | ||
| felony | string | 1*..1 | ||
| misdemeanor | string | 1*..1 | ||
| plea | STRING_1K_TYPE | 1..1 | minLength=1; maxLength=1000 | |
| productType | STRING_1K_TYPE | 0..1 | minLength=1; maxLength=1000 | |
| investmentProductType | STRING_1K_TYPE | 0..1 | minLength=1; maxLength=1000 | |
| amendedReducedDate | DATE_TYPE | 0..1 | pattern=\d{1,2}-\d{1,2}-\d{4} | |
| dispositionDisclosureDetail | (group: DISPOSITION_DISCLOSURE_DETAIL) | 1*..1 | ||
| dispositionType | (group: DISPOSITION_TYPE_CONTAINER) | 1..1 | ||
| type | DISPOSITION_TYPES | 1..13 | one 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 | |
| appealType | APPEAL_TYPES | 0..4 | one of: Affirmed, Vacated & Returned For Further Action, Vacated / Final, Other | |
| explanation | STRING_3K_TYPE | 0..1 | minLength=1; maxLength=3000 | |
| otherDisp | STRING_256_TYPE | 0..1 | minLength=1; maxLength=256 | |
| otherAppeal | STRING_256_TYPE | 0..1 | minLength=1; maxLength=256 | |
| date | STRING_3K_TYPE | 1..1 | minLength=1; maxLength=3000 | |
| sentencePenaltyType | STRING_3K_TYPE | 0..1 | minLength=1; maxLength=3000 | |
| incarcerationInfo | (group: INCARCERATION_INFORMATION) | 0..1 | ||
| duration | (group: SENTENCE_DURATION_TYPE) | 0..1 | ||
| days | STRING_NUMERIC_3_TYPE | 0..1 | pattern=\d{1,10} | |
| months | STRING_NUMERIC_3_TYPE | 0..1 | pattern=\d{1,10} | |
| years | STRING_NUMERIC_3_TYPE | 0..1 | pattern=\d{1,10} | |
| startDate | (group: DATE_SENTENCE_TYPE) | 1..1 | ||
| (choice) | 1..1 | exactly one of the following branches | ||
| date | DATE_TYPE | 1*..1 | pattern=\d{1,2}-\d{1,2}-\d{4} | |
| notDetermined | string | 1*..1 | ||
| endDate | (group: DATE_SENTENCE_TYPE) | 1..1 | ||
| (choice) | 1..1 | exactly one of the following branches | ||
| date | DATE_TYPE | 1*..1 | pattern=\d{1,2}-\d{1,2}-\d{4} | |
| notDetermined | string | 1*..1 | ||
| concurrentEndDate | DATE_TYPE | 0..1 | pattern=\d{1,2}-\d{1,2}-\d{4} | |
| explanation | STRING_3K_TYPE | 0..1 | minLength=1; maxLength=3000 | |
| monetaryPenalty | (group: MONETARY_PENALTY) | 0..1 | ||
| totalFine | DECIMAL_TYPE14_2_FIXED | 1..1 | totalDigits=16; fractionDigits=2; pattern=[\+\-]?\d{0,14}\.\d\d | |
| reducedAmount | DECIMAL_TYPE14_2_FIXED | 0..1 | totalDigits=16; fractionDigits=2; pattern=[\+\-]?\d{0,14}\.\d\d | |
| paidStatus | (group: MONETARY_PAYMENT_STATUS) | 1..1 | ||
| (choice) | 1..1 | exactly one of the following branches | ||
| paidInFullDate | DATE_TYPE | 1*..1 | pattern=\d{1,2}-\d{1,2}-\d{4} | |
| notPaidInfo | (group: MONETARY_NON_PAYMENT_INFORMATION) | 1*..1 | ||
| amountUNPAID | DECIMAL_TYPE14_2_FIXED | 1..1 | totalDigits=16; fractionDigits=2; pattern=[\+\-]?\d{0,14}\.\d\d | |
| explanation | STRING_3K_TYPE | 1..1 | minLength=1; maxLength=3000 | |
| finalAmount | DECIMAL_TYPE14_2_FIXED | 1..1 | totalDigits=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..1 | exactly one of the following branches | ||
| add | string | 1*..1 | ||
| amend | string | 1*..1 | ||
| apDrpFiledCount | STRING_NUMERIC_3_TYPE | 0..1 | pattern=\d{1,10} | |
| drpFor | (group: DRP_FILED_FOR) | 1..1 | ||
| (choice) | 1..1 | exactly one of the following branches | ||
| applicant | string | 1*..1 | ||
| applicantAndAP | string | 1*..1 | ||
| ap | string | 1*..1 | ||
| respondingTo | (group: REGULATORY_RESPONDING_TO_TYPES) | 1..1 | ||
| responseQuestion | REGULATORY_RESPONDING_TO_TYPE | 1..16 | one 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..1 | exactly one of the following branches | ||
| filedDisclosure | (group: FILED_DRP) | 1*..1 | ||
| advBDU4Filing | (group: ADV_BD_U4_FILING) | 0..1 | ||
| name | STRING_256_TYPE | 1..1 | minLength=1; maxLength=256 | |
| crdNumber | CRD_NUMBER_TYPE | 1..1 | minLength=1; maxLength=9 | |
| disclosureNumber | STRING_256_TYPE | 1..1 | minLength=1; maxLength=256 | |
| maFiling | (group: MA_FILING) | 0..1 | ||
| name | STRING_256_TYPE | 1..1 | minLength=1; maxLength=256 | |
| regNumber | FILE_NUMBER_TYPE | 1..1 | pattern=\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} | |
| drpDate | DATE_TYPE | 1..1 | pattern=\d{1,2}-\d{1,2}-\d{4} | |
| accessionNumber | ACCESSION_NUMBER_TYPE | 1..1 | pattern=[*]{0}|[0-9]{1,10}\-[0-9]{1,2}\-[0-9]{1,6} | |
| matFiling | (group: MAT_FILING) | 0..1 | ||
| name | STRING_256_TYPE | 1..1 | minLength=1; maxLength=256 | |
| regNumber | FILE_NUMBER_TYPE | 1..1 | pattern=\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} | |
| date | DATE_TYPE | 1..1 | pattern=\d{1,2}-\d{1,2}-\d{4} | |
| maiFiling | (group: MA_FILING) | 0..1 | ||
| name | STRING_256_TYPE | 1..1 | minLength=1; maxLength=256 | |
| regNumber | FILE_NUMBER_TYPE | 1..1 | pattern=\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} | |
| drpDate | DATE_TYPE | 1..1 | pattern=\d{1,2}-\d{1,2}-\d{4} | |
| accessionNumber | ACCESSION_NUMBER_TYPE | 1..1 | pattern=[*]{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 | ||
| name | STRING_256_TYPE | 0..1 | minLength=1; maxLength=256 | |
| docketOrCaseNo | STRING_256_TYPE | 1..1 | minLength=1; maxLength=256 | |
| address | (group: ADDRESS_TYPE) | 1..1 | ||
| street1 | STREET_TYPE | 1..1 | minLength=1; maxLength=40 | |
| street2 | STREET_TYPE | 0..1 | minLength=1; maxLength=40 | |
| city | STRING_30_TYPE | 1..1 | minLength=1; maxLength=30 | |
| stateOrCountry | STATE_COUNTRY_CODE | 1..1 | one of 331 codes (AL, AK, AZ, AR, CA, …; full list in the XSD) | |
| zipCode | ZIP_TYPE | 1..1 | minLength=1; maxLength=10; pattern=[0-9A-Za-z #\-]* | |
| status | (group: EVENT_STATUS_TYPE) | 1..1 | ||
| (choice) | 1..1 | exactly one of the following branches | ||
| pending | string | 1*..1 | ||
| onAppeal | string | 1*..1 | ||
| final | string | 1*..1 | ||
| summary | STRING_10K_TYPE | 0..1 | minLength=1; maxLength=10000 | |
| statusDateInfo | (group: EXACT_OR_EXPLANATION_10K) | 0..1 | ||
| date | DATE_TYPE | 0..1 | pattern=\d{1,2}-\d{1,2}-\d{4} | |
| (choice) | 1..1 | exactly one of the following branches | ||
| exact | string | 1*..1 | ||
| explanationInfo | (group: EXPLANATION_INFO_10K) | 1*..1 | ||
| explanation | string | 1..1 | ||
| provideExplanation | STRING_10K_TYPE | 1..1 | minLength=1; maxLength=10000 | |
| dateInitiated | (group: EXACT_OR_EXPLANATION_3K) | 1..1 | ||
| date | DATE_TYPE | 0..1 | pattern=\d{1,2}-\d{1,2}-\d{4} | |
| (choice) | 1..1 | exactly one of the following branches | ||
| exact | string | 1*..1 | ||
| explanationInfo | (group: EXPLANATION_INFO_3K) | 1*..1 | ||
| explanation | string | 1..1 | ||
| provideExplanation | STRING_3K_TYPE | 1..1 | minLength=1; maxLength=3000 | |
| initiatedBy | (group: REGULATORY_ACTION_INITIATED_BY_TYPES) | 1..1 | ||
| initiator | (group: REGULATORY_ACTION_INITIATED_BY_TYPE) | 1..1 | ||
| (choice) | 1..1 | exactly one of the following branches | ||
| sec | string | 1*..1 | ||
| otherFederalAuthority | string | 1*..1 | ||
| state | string | 1*..1 | ||
| sro | string | 1*..1 | ||
| foreignFRA | string | 1*..1 | ||
| cftc | string | 1*..1 | ||
| federalBankingAgency | string | 1*..1 | ||
| nationalCUAdmin | string | 1*..1 | ||
| other | string | 1*..1 | ||
| other | STRING_256_TYPE | 0..1 | minLength=1; maxLength=256 | |
| name | STRING_256_TYPE | 0..1 | minLength=1; maxLength=256 | |
| sanctionsSought | (group: SANCTION_TYPES) | 1..1 | ||
| sanction | SANCTION_TYPE | 1..18 | 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) | |
| otherSanctions | STRING_10K_TYPE | 0..1 | minLength=1; maxLength=10000 | |
| principalProductTypes | (group: PRINCIPAL_PRODUCT_TYPES) | 1..1 | ||
| product | PRINCIPAL_PRODUCT_TYPE | 1..35 | PRINCIPAL_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) | |
| productOther | STRING_256_TYPE | 0..1 | minLength=1; maxLength=256 | |
| otherProductTypes | STRING_1K_TYPE | 0..1 | minLength=1; maxLength=1000 | |
| allegationsDescription | STRING_10K_TYPE | 1..1 | minLength=1; maxLength=10000 | |
| pendingInformation | (group: REGULATORY_PENDING_INFORMATION) | 0..1 | ||
| servedInformation | (group: EXACT_OR_EXPLANATION_10K) | 0..1 | ||
| date | DATE_TYPE | 0..1 | pattern=\d{1,2}-\d{1,2}-\d{4} | |
| (choice) | 1..1 | exactly one of the following branches | ||
| exact | string | 1*..1 | ||
| explanationInfo | (group: EXPLANATION_INFO_10K) | 1*..1 | ||
| explanation | string | 1..1 | ||
| provideExplanation | STRING_10K_TYPE | 1..1 | minLength=1; maxLength=10000 | |
| limitationsRestrictions | STRING_1K_TYPE | 0..1 | minLength=1; maxLength=1000 | |
| appealInformation | (group: REGULATORY_APPEAL_INFORMATION_TYPE) | 0..1 | ||
| appealBroughtInInformation | (group: CHARGES_WHERE_BROUGHT_IN) | 0..1 | ||
| name | STRING_256_TYPE | 0..1 | minLength=1; maxLength=256 | |
| docketOrCaseNo | STRING_256_TYPE | 1..1 | minLength=1; maxLength=256 | |
| address | (group: ADDRESS_TYPE) | 1..1 | ||
| street1 | STREET_TYPE | 1..1 | minLength=1; maxLength=40 | |
| street2 | STREET_TYPE | 0..1 | minLength=1; maxLength=40 | |
| city | STRING_30_TYPE | 1..1 | minLength=1; maxLength=30 | |
| stateOrCountry | STATE_COUNTRY_CODE | 1..1 | one of 331 codes (AL, AK, AZ, AR, CA, …; full list in the XSD) | |
| zipCode | ZIP_TYPE | 1..1 | minLength=1; maxLength=10; pattern=[0-9A-Za-z #\-]* | |
| docketName | STRING_256_TYPE | 0..1 | minLength=1; maxLength=256 | |
| dateInformation | (group: EXACT_OR_EXPLANATION_1K) | 0..1 | ||
| date | DATE_TYPE | 0..1 | pattern=\d{1,2}-\d{1,2}-\d{4} | |
| (choice) | 1..1 | exactly one of the following branches | ||
| exact | string | 1*..1 | ||
| explanationInfo | (group: EXPLANATION_INFO_1K) | 1*..1 | ||
| explanation | string | 1..1 | ||
| provideExplanation | STRING_1K_TYPE | 1..1 | minLength=1; maxLength=1000 | |
| details | STRING_10K_TYPE | 0..1 | minLength=1; maxLength=10000 | |
| limitationsRestrictions | STRING_1K_TYPE | 0..1 | minLength=1; maxLength=1000 | |
| resolutionInformation | (group: REGULATORY_RESOLUTION_INFORMATION) | 0..1 | ||
| date | (group: EXACT_OR_EXPLANATION_3K) | 1..1 | ||
| date | DATE_TYPE | 0..1 | pattern=\d{1,2}-\d{1,2}-\d{4} | |
| (choice) | 1..1 | exactly one of the following branches | ||
| exact | string | 1*..1 | ||
| explanationInfo | (group: EXPLANATION_INFO_3K) | 1*..1 | ||
| explanation | string | 1..1 | ||
| provideExplanation | STRING_3K_TYPE | 1..1 | minLength=1; maxLength=3000 | |
| types | (group: REGULATORY_RESOLUTION_TYPES) | 1..1 | ||
| judgement | REGULATORY_RESOLUTION_TYPE | 1..12 | 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 | |
| judgementOther | STRING_3K_TYPE | 0..1 | minLength=1; maxLength=3000 | |
| appealJudgement | APPEAL_EXTENDED_TYPES | 0..5 | APPEAL_TYPES (one of: Affirmed, Vacated & Returned For Further Action, Vacated / Final, Other) or APPEAL_EXTENDED_TYPE (one of: Vacated Nunc Pro Tunc / ab initio) | |
| appealJudgementOther | STRING_1K_TYPE | 0..1 | minLength=1; maxLength=1000 | |
| explanation | STRING_10K_TYPE | 0..1 | minLength=1; maxLength=10000 | |
| isFinalOrder | YES_NO_TYPE | 0..1 | one of: Y, N | |
| details | (group: REGULATORY_RESOLUTION_DETAILS) | 1..1 | ||
| sanctionsOrdered | YES_NO_TYPE | 1..1 | one of: Y, N | |
| sanctions | (group: SANCTION_TYPES) | 0..1 | ||
| sanction | SANCTION_TYPE | 1..18 | 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) | |
| otherSanctions | STRING_10K_TYPE | 0..1 | minLength=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..1 | exactly one of the following branches | ||
| permanent | string | 1*..1 | ||
| noTimeSpecified | string | 1*..1 | ||
| limited | (group: DURATION_TYPE_LIMITED) | 1*..1 | ||
| limited | string | 1..1 | ||
| durationTime | (group: SENTENCE_DURATION_TYPE) | 1..1 | ||
| days | STRING_NUMERIC_3_TYPE | 0..1 | pattern=\d{1,10} | |
| months | STRING_NUMERIC_3_TYPE | 0..1 | pattern=\d{1,10} | |
| years | STRING_NUMERIC_3_TYPE | 0..1 | pattern=\d{1,10} | |
| startDate | (group: EXACT_OR_EXPLANATION_1K) | 1..1 | ||
| date | DATE_TYPE | 0..1 | pattern=\d{1,2}-\d{1,2}-\d{4} | |
| (choice) | 1..1 | exactly one of the following branches | ||
| exact | string | 1*..1 | ||
| explanationInfo | (group: EXPLANATION_INFO_1K) | 1*..1 | ||
| explanation | string | 1..1 | ||
| provideExplanation | STRING_1K_TYPE | 1..1 | minLength=1; maxLength=1000 | |
| endDate | (group: EXACT_OR_EXPLANATION_1K) | 0..1 | ||
| date | DATE_TYPE | 0..1 | pattern=\d{1,2}-\d{1,2}-\d{4} | |
| (choice) | 1..1 | exactly one of the following branches | ||
| exact | string | 1*..1 | ||
| explanationInfo | (group: EXPLANATION_INFO_1K) | 1*..1 | ||
| explanation | string | 1..1 | ||
| provideExplanation | STRING_1K_TYPE | 1..1 | minLength=1; maxLength=1000 | |
| description | STRING_10K_TYPE | 1..1 | minLength=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..1 | exactly one of the following branches | ||
| permanent | string | 1*..1 | ||
| noTimeSpecified | string | 1*..1 | ||
| limited | (group: DURATION_TYPE_LIMITED) | 1*..1 | ||
| limited | string | 1..1 | ||
| durationTime | (group: SENTENCE_DURATION_TYPE) | 1..1 | ||
| days | STRING_NUMERIC_3_TYPE | 0..1 | pattern=\d{1,10} | |
| months | STRING_NUMERIC_3_TYPE | 0..1 | pattern=\d{1,10} | |
| years | STRING_NUMERIC_3_TYPE | 0..1 | pattern=\d{1,10} | |
| startDate | (group: EXACT_OR_EXPLANATION_1K) | 1..1 | ||
| date | DATE_TYPE | 0..1 | pattern=\d{1,2}-\d{1,2}-\d{4} | |
| (choice) | 1..1 | exactly one of the following branches | ||
| exact | string | 1*..1 | ||
| explanationInfo | (group: EXPLANATION_INFO_1K) | 1*..1 | ||
| explanation | string | 1..1 | ||
| provideExplanation | STRING_1K_TYPE | 1..1 | minLength=1; maxLength=1000 | |
| endDate | (group: EXACT_OR_EXPLANATION_1K) | 0..1 | ||
| date | DATE_TYPE | 0..1 | pattern=\d{1,2}-\d{1,2}-\d{4} | |
| (choice) | 1..1 | exactly one of the following branches | ||
| exact | string | 1*..1 | ||
| explanationInfo | (group: EXPLANATION_INFO_1K) | 1*..1 | ||
| explanation | string | 1..1 | ||
| provideExplanation | STRING_1K_TYPE | 1..1 | minLength=1; maxLength=1000 | |
| description | STRING_10K_TYPE | 1..1 | minLength=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..1 | exactly one of the following branches | ||
| permanent | string | 1*..1 | ||
| noTimeSpecified | string | 1*..1 | ||
| limited | (group: DURATION_TYPE_LIMITED) | 1*..1 | ||
| limited | string | 1..1 | ||
| durationTime | (group: SENTENCE_DURATION_TYPE) | 1..1 | ||
| days | STRING_NUMERIC_3_TYPE | 0..1 | pattern=\d{1,10} | |
| months | STRING_NUMERIC_3_TYPE | 0..1 | pattern=\d{1,10} | |
| years | STRING_NUMERIC_3_TYPE | 0..1 | pattern=\d{1,10} | |
| startDate | (group: EXACT_OR_EXPLANATION_1K) | 1..1 | ||
| date | DATE_TYPE | 0..1 | pattern=\d{1,2}-\d{1,2}-\d{4} | |
| (choice) | 1..1 | exactly one of the following branches | ||
| exact | string | 1*..1 | ||
| explanationInfo | (group: EXPLANATION_INFO_1K) | 1*..1 | ||
| explanation | string | 1..1 | ||
| provideExplanation | STRING_1K_TYPE | 1..1 | minLength=1; maxLength=1000 | |
| endDate | (group: EXACT_OR_EXPLANATION_1K) | 0..1 | ||
| date | DATE_TYPE | 0..1 | pattern=\d{1,2}-\d{1,2}-\d{4} | |
| (choice) | 1..1 | exactly one of the following branches | ||
| exact | string | 1*..1 | ||
| explanationInfo | (group: EXPLANATION_INFO_1K) | 1*..1 | ||
| explanation | string | 1..1 | ||
| provideExplanation | STRING_1K_TYPE | 1..1 | minLength=1; maxLength=1000 | |
| description | STRING_10K_TYPE | 1..1 | minLength=1; maxLength=10000 | |
| isReqaulificationRequired | YES_NO_TYPE | 0..1 | one 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..1 | exactly one of the following branches | ||
| permanent | string | 1*..1 | ||
| noTimeSpecified | string | 1*..1 | ||
| limited | (group: DURATION_TYPE_LIMITED) | 1*..1 | ||
| limited | string | 1..1 | ||
| durationTime | (group: SENTENCE_DURATION_TYPE) | 1..1 | ||
| days | STRING_NUMERIC_3_TYPE | 0..1 | pattern=\d{1,10} | |
| months | STRING_NUMERIC_3_TYPE | 0..1 | pattern=\d{1,10} | |
| years | STRING_NUMERIC_3_TYPE | 0..1 | pattern=\d{1,10} | |
| typeRequired | STRING_1K_TYPE | 1..1 | minLength=1; maxLength=1000 | |
| conditionState | (group: CONDITION_STATE_10K) | 1..1 | ||
| (choice) | 1..1 | exactly one of the following branches | ||
| satisfied | DATE_TYPE | 1*..1 | pattern=\d{1,2}-\d{1,2}-\d{4} | |
| notSatisfied | STRING_10K_TYPE | 1*..1 | minLength=1; maxLength=10000 | |
| monetarySanctions | (group: REGULATORY_MONETARY_SANCTION) | 0..1 | ||
| amountOrdered | DECIMAL_TYPE16_2 | 1..1 | totalDigits=16; fractionDigits=2; minInclusive=0; pattern=\d{0,14}\.\d\d | |
| waivedPortion | DECIMAL_TYPE16_2 | 0..1 | totalDigits=16; fractionDigits=2; minInclusive=0; pattern=\d{0,14}\.\d\d | |
| finalAmount | DECIMAL_TYPE16_2_NEGATIVE | 1..1 | totalDigits=18; fractionDigits=2; pattern=[\+\-]?\d{0,16}\.\d\d | |
| paymentState | (group: CONDITION_STATE_3K) | 1..1 | ||
| (choice) | 1..1 | exactly one of the following branches | ||
| satisfied | DATE_TYPE | 1*..1 | pattern=\d{1,2}-\d{1,2}-\d{4} | |
| notSatisfied | STRING_3K_TYPE | 1*..1 | minLength=1; maxLength=3000 | |
| totalAmountOrdered | DECIMAL_TYPE16_2 | 0..1 | totalDigits=16; fractionDigits=2; minInclusive=0; pattern=\d{0,14}\.\d\d | |
| drpRemoveReason | (group: DRP_REMOVE_REASON_10K) | 0..1 | ||
| (choice) | 1..1 | exactly one of the following branches | ||
| isRegistered | string | 1*..1 | ||
| isFiledError | (group: FILEDERROR_10K) | 1*..1 | ||
| explainTheCircumstances | STRING_10K_TYPE | 1..1 | minLength=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..1 | exactly one of the following branches | ||
| firmInfo | ENTITY_NAME_256_TYPE | 1*..1 | minLength=1; maxLength=256; pattern=([\w\s!\\#$(),.:;=@\-{}|/&]+) | |
| naturalPersonInfo | (group: INDIVIDUAL_NAME_TYPE) | 1*..1 | ||
| firstName | STRING_50_TYPE | 0..1 | minLength=1; maxLength=50 | |
| middleName | STRING_30_TYPE | 0..1 | minLength=1; maxLength=30 | |
| lastName | STRING_50_TYPE | 0..1 | minLength=1; maxLength=50 | |
| suffix | STRING_10_TYPE | 0..1 | minLength=1; maxLength=10 | |
| registrationInfo | (group: SEC_REGISTERED_INFO) | 1..1 | ||
| isSECRegistered | YES_NO_TYPE | 1..1 | one of: Y, N | |
| secRegistrationNumber | STRING_150_TYPE | 0..1 | minLength=1; maxLength=150 | |
| crdNumber | CRD_NUMBER_TYPE | 0..1 | minLength=1; maxLength=9 | |
| drpRemovalInformation | (group: ASSOCIATED_PERSON_DRP_REMOVAL_INFORMATION_10K) | 0..1 | ||
| (choice) | 1..1 | exactly one of the following branches | ||
| apNotAssociated | string | 1*..1 | ||
| eventResolved | string | 1*..1 | ||
| isFiledError | (group: FILEDERROR_10K) | 1*..1 | ||
| explainTheCircumstances | STRING_10K_TYPE | 1..1 | minLength=1; maxLength=10000 | |
| drpInfo | (group: REGULATORY_DRP_DETAILS) | 1..1 | ||
| (choice) | 1..1 | exactly one of the following branches | ||
| filedDisclosure | (group: FILED_DRP) | 1*..1 | ||
| advBDU4Filing | (group: ADV_BD_U4_FILING) | 0..1 | ||
| name | STRING_256_TYPE | 1..1 | minLength=1; maxLength=256 | |
| crdNumber | CRD_NUMBER_TYPE | 1..1 | minLength=1; maxLength=9 | |
| disclosureNumber | STRING_256_TYPE | 1..1 | minLength=1; maxLength=256 | |
| maFiling | (group: MA_FILING) | 0..1 | ||
| name | STRING_256_TYPE | 1..1 | minLength=1; maxLength=256 | |
| regNumber | FILE_NUMBER_TYPE | 1..1 | pattern=\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} | |
| drpDate | DATE_TYPE | 1..1 | pattern=\d{1,2}-\d{1,2}-\d{4} | |
| accessionNumber | ACCESSION_NUMBER_TYPE | 1..1 | pattern=[*]{0}|[0-9]{1,10}\-[0-9]{1,2}\-[0-9]{1,6} | |
| matFiling | (group: MAT_FILING) | 0..1 | ||
| name | STRING_256_TYPE | 1..1 | minLength=1; maxLength=256 | |
| regNumber | FILE_NUMBER_TYPE | 1..1 | pattern=\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} | |
| date | DATE_TYPE | 1..1 | pattern=\d{1,2}-\d{1,2}-\d{4} | |
| maiFiling | (group: MA_FILING) | 0..1 | ||
| name | STRING_256_TYPE | 1..1 | minLength=1; maxLength=256 | |
| regNumber | FILE_NUMBER_TYPE | 1..1 | pattern=\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} | |
| drpDate | DATE_TYPE | 1..1 | pattern=\d{1,2}-\d{1,2}-\d{4} | |
| accessionNumber | ACCESSION_NUMBER_TYPE | 1..1 | pattern=[*]{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 | ||
| name | STRING_256_TYPE | 0..1 | minLength=1; maxLength=256 | |
| docketOrCaseNo | STRING_256_TYPE | 1..1 | minLength=1; maxLength=256 | |
| address | (group: ADDRESS_TYPE) | 1..1 | ||
| street1 | STREET_TYPE | 1..1 | minLength=1; maxLength=40 | |
| street2 | STREET_TYPE | 0..1 | minLength=1; maxLength=40 | |
| city | STRING_30_TYPE | 1..1 | minLength=1; maxLength=30 | |
| stateOrCountry | STATE_COUNTRY_CODE | 1..1 | one of 331 codes (AL, AK, AZ, AR, CA, …; full list in the XSD) | |
| zipCode | ZIP_TYPE | 1..1 | minLength=1; maxLength=10; pattern=[0-9A-Za-z #\-]* | |
| status | (group: EVENT_STATUS_TYPE) | 1..1 | ||
| (choice) | 1..1 | exactly one of the following branches | ||
| pending | string | 1*..1 | ||
| onAppeal | string | 1*..1 | ||
| final | string | 1*..1 | ||
| summary | STRING_10K_TYPE | 0..1 | minLength=1; maxLength=10000 | |
| statusDateInfo | (group: EXACT_OR_EXPLANATION_10K) | 0..1 | ||
| date | DATE_TYPE | 0..1 | pattern=\d{1,2}-\d{1,2}-\d{4} | |
| (choice) | 1..1 | exactly one of the following branches | ||
| exact | string | 1*..1 | ||
| explanationInfo | (group: EXPLANATION_INFO_10K) | 1*..1 | ||
| explanation | string | 1..1 | ||
| provideExplanation | STRING_10K_TYPE | 1..1 | minLength=1; maxLength=10000 | |
| dateInitiated | (group: EXACT_OR_EXPLANATION_3K) | 1..1 | ||
| date | DATE_TYPE | 0..1 | pattern=\d{1,2}-\d{1,2}-\d{4} | |
| (choice) | 1..1 | exactly one of the following branches | ||
| exact | string | 1*..1 | ||
| explanationInfo | (group: EXPLANATION_INFO_3K) | 1*..1 | ||
| explanation | string | 1..1 | ||
| provideExplanation | STRING_3K_TYPE | 1..1 | minLength=1; maxLength=3000 | |
| initiatedBy | (group: REGULATORY_ACTION_INITIATED_BY_TYPES) | 1..1 | ||
| initiator | (group: REGULATORY_ACTION_INITIATED_BY_TYPE) | 1..1 | ||
| (choice) | 1..1 | exactly one of the following branches | ||
| sec | string | 1*..1 | ||
| otherFederalAuthority | string | 1*..1 | ||
| state | string | 1*..1 | ||
| sro | string | 1*..1 | ||
| foreignFRA | string | 1*..1 | ||
| cftc | string | 1*..1 | ||
| federalBankingAgency | string | 1*..1 | ||
| nationalCUAdmin | string | 1*..1 | ||
| other | string | 1*..1 | ||
| other | STRING_256_TYPE | 0..1 | minLength=1; maxLength=256 | |
| name | STRING_256_TYPE | 0..1 | minLength=1; maxLength=256 | |
| sanctionsSought | (group: SANCTION_TYPES) | 1..1 | ||
| sanction | SANCTION_TYPE | 1..18 | 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) | |
| otherSanctions | STRING_10K_TYPE | 0..1 | minLength=1; maxLength=10000 | |
| principalProductTypes | (group: PRINCIPAL_PRODUCT_TYPES) | 1..1 | ||
| product | PRINCIPAL_PRODUCT_TYPE | 1..35 | PRINCIPAL_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) | |
| productOther | STRING_256_TYPE | 0..1 | minLength=1; maxLength=256 | |
| otherProductTypes | STRING_1K_TYPE | 0..1 | minLength=1; maxLength=1000 | |
| allegationsDescription | STRING_10K_TYPE | 1..1 | minLength=1; maxLength=10000 | |
| pendingInformation | (group: REGULATORY_PENDING_INFORMATION) | 0..1 | ||
| servedInformation | (group: EXACT_OR_EXPLANATION_10K) | 0..1 | ||
| date | DATE_TYPE | 0..1 | pattern=\d{1,2}-\d{1,2}-\d{4} | |
| (choice) | 1..1 | exactly one of the following branches | ||
| exact | string | 1*..1 | ||
| explanationInfo | (group: EXPLANATION_INFO_10K) | 1*..1 | ||
| explanation | string | 1..1 | ||
| provideExplanation | STRING_10K_TYPE | 1..1 | minLength=1; maxLength=10000 | |
| limitationsRestrictions | STRING_1K_TYPE | 0..1 | minLength=1; maxLength=1000 | |
| appealInformation | (group: REGULATORY_APPEAL_INFORMATION_TYPE) | 0..1 | ||
| appealBroughtInInformation | (group: CHARGES_WHERE_BROUGHT_IN) | 0..1 | ||
| name | STRING_256_TYPE | 0..1 | minLength=1; maxLength=256 | |
| docketOrCaseNo | STRING_256_TYPE | 1..1 | minLength=1; maxLength=256 | |
| address | (group: ADDRESS_TYPE) | 1..1 | ||
| street1 | STREET_TYPE | 1..1 | minLength=1; maxLength=40 | |
| street2 | STREET_TYPE | 0..1 | minLength=1; maxLength=40 | |
| city | STRING_30_TYPE | 1..1 | minLength=1; maxLength=30 | |
| stateOrCountry | STATE_COUNTRY_CODE | 1..1 | one of 331 codes (AL, AK, AZ, AR, CA, …; full list in the XSD) | |
| zipCode | ZIP_TYPE | 1..1 | minLength=1; maxLength=10; pattern=[0-9A-Za-z #\-]* | |
| docketName | STRING_256_TYPE | 0..1 | minLength=1; maxLength=256 | |
| dateInformation | (group: EXACT_OR_EXPLANATION_1K) | 0..1 | ||
| date | DATE_TYPE | 0..1 | pattern=\d{1,2}-\d{1,2}-\d{4} | |
| (choice) | 1..1 | exactly one of the following branches | ||
| exact | string | 1*..1 | ||
| explanationInfo | (group: EXPLANATION_INFO_1K) | 1*..1 | ||
| explanation | string | 1..1 | ||
| provideExplanation | STRING_1K_TYPE | 1..1 | minLength=1; maxLength=1000 | |
| details | STRING_10K_TYPE | 0..1 | minLength=1; maxLength=10000 | |
| limitationsRestrictions | STRING_1K_TYPE | 0..1 | minLength=1; maxLength=1000 | |
| resolutionInformation | (group: REGULATORY_RESOLUTION_INFORMATION) | 0..1 | ||
| date | (group: EXACT_OR_EXPLANATION_3K) | 1..1 | ||
| date | DATE_TYPE | 0..1 | pattern=\d{1,2}-\d{1,2}-\d{4} | |
| (choice) | 1..1 | exactly one of the following branches | ||
| exact | string | 1*..1 | ||
| explanationInfo | (group: EXPLANATION_INFO_3K) | 1*..1 | ||
| explanation | string | 1..1 | ||
| provideExplanation | STRING_3K_TYPE | 1..1 | minLength=1; maxLength=3000 | |
| types | (group: REGULATORY_RESOLUTION_TYPES) | 1..1 | ||
| judgement | REGULATORY_RESOLUTION_TYPE | 1..12 | 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 | |
| judgementOther | STRING_3K_TYPE | 0..1 | minLength=1; maxLength=3000 | |
| appealJudgement | APPEAL_EXTENDED_TYPES | 0..5 | APPEAL_TYPES (one of: Affirmed, Vacated & Returned For Further Action, Vacated / Final, Other) or APPEAL_EXTENDED_TYPE (one of: Vacated Nunc Pro Tunc / ab initio) | |
| appealJudgementOther | STRING_1K_TYPE | 0..1 | minLength=1; maxLength=1000 | |
| explanation | STRING_10K_TYPE | 0..1 | minLength=1; maxLength=10000 | |
| isFinalOrder | YES_NO_TYPE | 0..1 | one of: Y, N | |
| details | (group: REGULATORY_RESOLUTION_DETAILS) | 1..1 | ||
| sanctionsOrdered | YES_NO_TYPE | 1..1 | one of: Y, N | |
| sanctions | (group: SANCTION_TYPES) | 0..1 | ||
| sanction | SANCTION_TYPE | 1..18 | 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) | |
| otherSanctions | STRING_10K_TYPE | 0..1 | minLength=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..1 | exactly one of the following branches | ||
| permanent | string | 1*..1 | ||
| noTimeSpecified | string | 1*..1 | ||
| limited | (group: DURATION_TYPE_LIMITED) | 1*..1 | ||
| limited | string | 1..1 | ||
| durationTime | (group: SENTENCE_DURATION_TYPE) | 1..1 | ||
| days | STRING_NUMERIC_3_TYPE | 0..1 | pattern=\d{1,10} | |
| months | STRING_NUMERIC_3_TYPE | 0..1 | pattern=\d{1,10} | |
| years | STRING_NUMERIC_3_TYPE | 0..1 | pattern=\d{1,10} | |
| startDate | (group: EXACT_OR_EXPLANATION_1K) | 1..1 | ||
| date | DATE_TYPE | 0..1 | pattern=\d{1,2}-\d{1,2}-\d{4} | |
| (choice) | 1..1 | exactly one of the following branches | ||
| exact | string | 1*..1 | ||
| explanationInfo | (group: EXPLANATION_INFO_1K) | 1*..1 | ||
| explanation | string | 1..1 | ||
| provideExplanation | STRING_1K_TYPE | 1..1 | minLength=1; maxLength=1000 | |
| endDate | (group: EXACT_OR_EXPLANATION_1K) | 0..1 | ||
| date | DATE_TYPE | 0..1 | pattern=\d{1,2}-\d{1,2}-\d{4} | |
| (choice) | 1..1 | exactly one of the following branches | ||
| exact | string | 1*..1 | ||
| explanationInfo | (group: EXPLANATION_INFO_1K) | 1*..1 | ||
| explanation | string | 1..1 | ||
| provideExplanation | STRING_1K_TYPE | 1..1 | minLength=1; maxLength=1000 | |
| description | STRING_10K_TYPE | 1..1 | minLength=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..1 | exactly one of the following branches | ||
| permanent | string | 1*..1 | ||
| noTimeSpecified | string | 1*..1 | ||
| limited | (group: DURATION_TYPE_LIMITED) | 1*..1 | ||
| limited | string | 1..1 | ||
| durationTime | (group: SENTENCE_DURATION_TYPE) | 1..1 | ||
| days | STRING_NUMERIC_3_TYPE | 0..1 | pattern=\d{1,10} | |
| months | STRING_NUMERIC_3_TYPE | 0..1 | pattern=\d{1,10} | |
| years | STRING_NUMERIC_3_TYPE | 0..1 | pattern=\d{1,10} | |
| startDate | (group: EXACT_OR_EXPLANATION_1K) | 1..1 | ||
| date | DATE_TYPE | 0..1 | pattern=\d{1,2}-\d{1,2}-\d{4} | |
| (choice) | 1..1 | exactly one of the following branches | ||
| exact | string | 1*..1 | ||
| explanationInfo | (group: EXPLANATION_INFO_1K) | 1*..1 | ||
| explanation | string | 1..1 | ||
| provideExplanation | STRING_1K_TYPE | 1..1 | minLength=1; maxLength=1000 | |
| endDate | (group: EXACT_OR_EXPLANATION_1K) | 0..1 | ||
| date | DATE_TYPE | 0..1 | pattern=\d{1,2}-\d{1,2}-\d{4} | |
| (choice) | 1..1 | exactly one of the following branches | ||
| exact | string | 1*..1 | ||
| explanationInfo | (group: EXPLANATION_INFO_1K) | 1*..1 | ||
| explanation | string | 1..1 | ||
| provideExplanation | STRING_1K_TYPE | 1..1 | minLength=1; maxLength=1000 | |
| description | STRING_10K_TYPE | 1..1 | minLength=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..1 | exactly one of the following branches | ||
| permanent | string | 1*..1 | ||
| noTimeSpecified | string | 1*..1 | ||
| limited | (group: DURATION_TYPE_LIMITED) | 1*..1 | ||
| limited | string | 1..1 | ||
| durationTime | (group: SENTENCE_DURATION_TYPE) | 1..1 | ||
| days | STRING_NUMERIC_3_TYPE | 0..1 | pattern=\d{1,10} | |
| months | STRING_NUMERIC_3_TYPE | 0..1 | pattern=\d{1,10} | |
| years | STRING_NUMERIC_3_TYPE | 0..1 | pattern=\d{1,10} | |
| startDate | (group: EXACT_OR_EXPLANATION_1K) | 1..1 | ||
| date | DATE_TYPE | 0..1 | pattern=\d{1,2}-\d{1,2}-\d{4} | |
| (choice) | 1..1 | exactly one of the following branches | ||
| exact | string | 1*..1 | ||
| explanationInfo | (group: EXPLANATION_INFO_1K) | 1*..1 | ||
| explanation | string | 1..1 | ||
| provideExplanation | STRING_1K_TYPE | 1..1 | minLength=1; maxLength=1000 | |
| endDate | (group: EXACT_OR_EXPLANATION_1K) | 0..1 | ||
| date | DATE_TYPE | 0..1 | pattern=\d{1,2}-\d{1,2}-\d{4} | |
| (choice) | 1..1 | exactly one of the following branches | ||
| exact | string | 1*..1 | ||
| explanationInfo | (group: EXPLANATION_INFO_1K) | 1*..1 | ||
| explanation | string | 1..1 | ||
| provideExplanation | STRING_1K_TYPE | 1..1 | minLength=1; maxLength=1000 | |
| description | STRING_10K_TYPE | 1..1 | minLength=1; maxLength=10000 | |
| isReqaulificationRequired | YES_NO_TYPE | 0..1 | one 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..1 | exactly one of the following branches | ||
| permanent | string | 1*..1 | ||
| noTimeSpecified | string | 1*..1 | ||
| limited | (group: DURATION_TYPE_LIMITED) | 1*..1 | ||
| limited | string | 1..1 | ||
| durationTime | (group: SENTENCE_DURATION_TYPE) | 1..1 | ||
| days | STRING_NUMERIC_3_TYPE | 0..1 | pattern=\d{1,10} | |
| months | STRING_NUMERIC_3_TYPE | 0..1 | pattern=\d{1,10} | |
| years | STRING_NUMERIC_3_TYPE | 0..1 | pattern=\d{1,10} | |
| typeRequired | STRING_1K_TYPE | 1..1 | minLength=1; maxLength=1000 | |
| conditionState | (group: CONDITION_STATE_10K) | 1..1 | ||
| (choice) | 1..1 | exactly one of the following branches | ||
| satisfied | DATE_TYPE | 1*..1 | pattern=\d{1,2}-\d{1,2}-\d{4} | |
| notSatisfied | STRING_10K_TYPE | 1*..1 | minLength=1; maxLength=10000 | |
| monetarySanctions | (group: REGULATORY_MONETARY_SANCTION) | 0..1 | ||
| amountOrdered | DECIMAL_TYPE16_2 | 1..1 | totalDigits=16; fractionDigits=2; minInclusive=0; pattern=\d{0,14}\.\d\d | |
| waivedPortion | DECIMAL_TYPE16_2 | 0..1 | totalDigits=16; fractionDigits=2; minInclusive=0; pattern=\d{0,14}\.\d\d | |
| finalAmount | DECIMAL_TYPE16_2_NEGATIVE | 1..1 | totalDigits=18; fractionDigits=2; pattern=[\+\-]?\d{0,16}\.\d\d | |
| paymentState | (group: CONDITION_STATE_3K) | 1..1 | ||
| (choice) | 1..1 | exactly one of the following branches | ||
| satisfied | DATE_TYPE | 1*..1 | pattern=\d{1,2}-\d{1,2}-\d{4} | |
| notSatisfied | STRING_3K_TYPE | 1*..1 | minLength=1; maxLength=3000 | |
| totalAmountOrdered | DECIMAL_TYPE16_2 | 0..1 | totalDigits=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..1 | exactly one of the following branches | ||
| add | string | 1*..1 | ||
| amend | string | 1*..1 | ||
| apDrpFiledCount | STRING_NUMERIC_3_TYPE | 0..1 | pattern=\d{1,10} | |
| drpFor | (group: DRP_FILED_FOR) | 1..1 | ||
| (choice) | 1..1 | exactly one of the following branches | ||
| applicant | string | 1*..1 | ||
| applicantAndAP | string | 1*..1 | ||
| ap | string | 1*..1 | ||
| respondingTo | (group: CIVIL_JUDICIAL_RESPONDING_TO_TYPES) | 1..1 | ||
| responseQuestion | CIVIL_JUDICIAL_RESPONDING_TO_TYPE | 1..4 | one 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..1 | exactly one of the following branches | ||
| filedDisclosre | (group: FILED_DRP) | 1*..1 | ||
| advBDU4Filing | (group: ADV_BD_U4_FILING) | 0..1 | ||
| name | STRING_256_TYPE | 1..1 | minLength=1; maxLength=256 | |
| crdNumber | CRD_NUMBER_TYPE | 1..1 | minLength=1; maxLength=9 | |
| disclosureNumber | STRING_256_TYPE | 1..1 | minLength=1; maxLength=256 | |
| maFiling | (group: MA_FILING) | 0..1 | ||
| name | STRING_256_TYPE | 1..1 | minLength=1; maxLength=256 | |
| regNumber | FILE_NUMBER_TYPE | 1..1 | pattern=\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} | |
| drpDate | DATE_TYPE | 1..1 | pattern=\d{1,2}-\d{1,2}-\d{4} | |
| accessionNumber | ACCESSION_NUMBER_TYPE | 1..1 | pattern=[*]{0}|[0-9]{1,10}\-[0-9]{1,2}\-[0-9]{1,6} | |
| matFiling | (group: MAT_FILING) | 0..1 | ||
| name | STRING_256_TYPE | 1..1 | minLength=1; maxLength=256 | |
| regNumber | FILE_NUMBER_TYPE | 1..1 | pattern=\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} | |
| date | DATE_TYPE | 1..1 | pattern=\d{1,2}-\d{1,2}-\d{4} | |
| maiFiling | (group: MA_FILING) | 0..1 | ||
| name | STRING_256_TYPE | 1..1 | minLength=1; maxLength=256 | |
| regNumber | FILE_NUMBER_TYPE | 1..1 | pattern=\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} | |
| drpDate | DATE_TYPE | 1..1 | pattern=\d{1,2}-\d{1,2}-\d{4} | |
| accessionNumber | ACCESSION_NUMBER_TYPE | 1..1 | pattern=[*]{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 | ||
| name | STRING_256_TYPE | 0..1 | minLength=1; maxLength=256 | |
| docketOrCaseNo | STRING_256_TYPE | 1..1 | minLength=1; maxLength=256 | |
| address | (group: ADDRESS_TYPE) | 1..1 | ||
| street1 | STREET_TYPE | 1..1 | minLength=1; maxLength=40 | |
| street2 | STREET_TYPE | 0..1 | minLength=1; maxLength=40 | |
| city | STRING_30_TYPE | 1..1 | minLength=1; maxLength=30 | |
| stateOrCountry | STATE_COUNTRY_CODE | 1..1 | one of 331 codes (AL, AK, AZ, AR, CA, …; full list in the XSD) | |
| zipCode | ZIP_TYPE | 1..1 | minLength=1; maxLength=10; pattern=[0-9A-Za-z #\-]* | |
| status | (group: EVENT_STATUS_TYPE) | 1..1 | ||
| (choice) | 1..1 | exactly one of the following branches | ||
| pending | string | 1*..1 | ||
| onAppeal | string | 1*..1 | ||
| final | string | 1*..1 | ||
| summary | STRING_10K_TYPE | 0..1 | minLength=1; maxLength=10000 | |
| statusDateInfo | (group: EXACT_OR_EXPLANATION_10K) | 0..1 | ||
| date | DATE_TYPE | 0..1 | pattern=\d{1,2}-\d{1,2}-\d{4} | |
| (choice) | 1..1 | exactly one of the following branches | ||
| exact | string | 1*..1 | ||
| explanationInfo | (group: EXPLANATION_INFO_10K) | 1*..1 | ||
| explanation | string | 1..1 | ||
| provideExplanation | STRING_10K_TYPE | 1..1 | minLength=1; maxLength=10000 | |
| initiatedBy | (group: CIVIL_JUDICIAL_ACTION_INITIATED_BY_TYPES) | 1..1 | ||
| initiator | CIVIL_JUDICIAL_ACTION_INITIATED_BY_TYPE | 1..10 | one of: SEC, Other Federal Authority, State, SRO, Foreign Financial Regulatory Authority, Commodities Exchange, Private Plantiff, CFTC, Municipal Advisory Firm, Other | |
| other | STRING_256_TYPE | 0..1 | minLength=1; maxLength=256 | |
| plantiffsInformation | (group: PLANTIFFS_INFORMATION_CONTAINER) | 0..1 | ||
| plantiffName | STRING_3K_TYPE | 0..1 | minLength=1; maxLength=3000 | |
| isMissingPlantiffs | YES_NO_TYPE | 1..1 | one of: Y, N | |
| defendantInformation | (group: DEFENDANTS_INFORMATION_CONTAINER) | 1..1 | ||
| defendantName | STRING_1K_TYPE | 1..1 | minLength=1; maxLength=1000 | |
| isADefendant | YES_NO_TYPE | 1..1 | one of: Y, N | |
| involementInformation | STRING_256_TYPE | 0..1 | minLength=1; maxLength=256 | |
| sanctionsReliefSought | (group: CIVIL_JUDICIAL_SANCTIONS_TYPES) | 1..1 | ||
| sanctionRelief | CIVIL_JUDICIAL_SANCTIONS | 1..21 | SANCTION_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) | |
| other | STRING_10K_TYPE | 0..1 | minLength=1; maxLength=10000 | |
| notificationServedInformation | (group: EXACT_OR_EXPLANATION_10K) | 1..1 | ||
| date | DATE_TYPE | 0..1 | pattern=\d{1,2}-\d{1,2}-\d{4} | |
| (choice) | 1..1 | exactly one of the following branches | ||
| exact | string | 1*..1 | ||
| explanationInfo | (group: EXPLANATION_INFO_10K) | 1*..1 | ||
| explanation | string | 1..1 | ||
| provideExplanation | STRING_10K_TYPE | 1..1 | minLength=1; maxLength=10000 | |
| courtBroughIn | (group: CIVIL_JUDICIAL_COURT) | 1..1 | ||
| civilJudicialCourt | (group: CIVIL_JUDICIAL_COURT_TYPES) | 1..1 | ||
| (choice) | 1..1 | exactly one of the following branches | ||
| fedCourt | string | 1*..1 | ||
| milCourt | string | 1*..1 | ||
| stateCourt | string | 1*..1 | ||
| foreignCourt | string | 1*..1 | ||
| intnlCourt | string | 1*..1 | ||
| other | string | 1*..1 | ||
| other | STRING_256_TYPE | 0..1 | minLength=1; maxLength=256 | |
| principalProductTypes | (group: PRINCIPAL_PRODUCT_TYPES) | 1..1 | ||
| product | PRINCIPAL_PRODUCT_TYPE | 1..35 | PRINCIPAL_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) | |
| productOther | STRING_256_TYPE | 0..1 | minLength=1; maxLength=256 | |
| otherProductTypes | STRING_1K_TYPE | 0..1 | minLength=1; maxLength=1000 | |
| allegationsDescription | STRING_10K_TYPE | 1..1 | minLength=1; maxLength=10000 | |
| pendingInformation | (group: CIVIL_JUDICIAL_PENDING_INFORMATION) | 0..1 | ||
| servedInformation | (group: EXACT_OR_EXPLANATION_10K) | 1..1 | ||
| date | DATE_TYPE | 0..1 | pattern=\d{1,2}-\d{1,2}-\d{4} | |
| (choice) | 1..1 | exactly one of the following branches | ||
| exact | string | 1*..1 | ||
| explanationInfo | (group: EXPLANATION_INFO_10K) | 1*..1 | ||
| explanation | string | 1..1 | ||
| provideExplanation | STRING_10K_TYPE | 1..1 | minLength=1; maxLength=10000 | |
| limitationsRestrictions | STRING_3K_TYPE | 0..1 | minLength=1; maxLength=3000 | |
| appealInformation | (group: CIVIL_JUDICIAL_APPEAL_INFORMATION_TYPE) | 0..1 | ||
| appealBroughtInInformation | (group: CHARGES_WHERE_BROUGHT_IN) | 0..1 | ||
| name | STRING_256_TYPE | 0..1 | minLength=1; maxLength=256 | |
| docketOrCaseNo | STRING_256_TYPE | 1..1 | minLength=1; maxLength=256 | |
| address | (group: ADDRESS_TYPE) | 1..1 | ||
| street1 | STREET_TYPE | 1..1 | minLength=1; maxLength=40 | |
| street2 | STREET_TYPE | 0..1 | minLength=1; maxLength=40 | |
| city | STRING_30_TYPE | 1..1 | minLength=1; maxLength=30 | |
| stateOrCountry | STATE_COUNTRY_CODE | 1..1 | one of 331 codes (AL, AK, AZ, AR, CA, …; full list in the XSD) | |
| zipCode | ZIP_TYPE | 1..1 | minLength=1; maxLength=10; pattern=[0-9A-Za-z #\-]* | |
| docketName | STRING_256_TYPE | 0..1 | minLength=1; maxLength=256 | |
| dateInformation | (group: EXACT_OR_EXPLANATION_3K) | 0..1 | ||
| date | DATE_TYPE | 0..1 | pattern=\d{1,2}-\d{1,2}-\d{4} | |
| (choice) | 1..1 | exactly one of the following branches | ||
| exact | string | 1*..1 | ||
| explanationInfo | (group: EXPLANATION_INFO_3K) | 1*..1 | ||
| explanation | string | 1..1 | ||
| provideExplanation | STRING_3K_TYPE | 1..1 | minLength=1; maxLength=3000 | |
| details | STRING_10K_TYPE | 0..1 | minLength=1; maxLength=10000 | |
| limitationsRestrictions | STRING_1K_TYPE | 0..1 | minLength=1; maxLength=1000 | |
| resolutionInformation | (group: CIVIL_JUDICIAL_RESOLUTION_INFORMATION) | 0..1 | ||
| date | (group: EXACT_OR_EXPLANATION_1K) | 1..1 | ||
| date | DATE_TYPE | 0..1 | pattern=\d{1,2}-\d{1,2}-\d{4} | |
| (choice) | 1..1 | exactly one of the following branches | ||
| exact | string | 1*..1 | ||
| explanationInfo | (group: EXPLANATION_INFO_1K) | 1*..1 | ||
| explanation | string | 1..1 | ||
| provideExplanation | STRING_1K_TYPE | 1..1 | minLength=1; maxLength=1000 | |
| types | (group: CIVIL_JUDICIAL_RESOLUTION) | 1..1 | ||
| judgement | CIVIL_JUDICIAL_RESOLUTION_TYPES | 1..12 | REGULATORY_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) | |
| judgementOther | STRING_1K_TYPE | 0..1 | minLength=1; maxLength=1000 | |
| appealJudgement | APPEAL_EXTENDED_TYPES | 0..5 | APPEAL_TYPES (one of: Affirmed, Vacated & Returned For Further Action, Vacated / Final, Other) or APPEAL_EXTENDED_TYPE (one of: Vacated Nunc Pro Tunc / ab initio) | |
| appealJudgementOther | STRING_1K_TYPE | 0..1 | minLength=1; maxLength=1000 | |
| explanation | STRING_10K_TYPE | 0..1 | minLength=1; maxLength=10000 | |
| isFinalOrder | YES_NO_TYPE | 0..1 | one of: Y, N | |
| details | (group: CIVIL_JUDICIAL_RESOLUTION_DETAILS) | 1..1 | ||
| sanctionsOrdered | YES_NO_TYPE | 1..1 | one of: Y, N | |
| sanctions | (group: CIVIL_JUDICIAL_SANCTIONS_TYPES) | 0..1 | ||
| sanctionRelief | CIVIL_JUDICIAL_SANCTIONS | 1..21 | SANCTION_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) | |
| other | STRING_10K_TYPE | 0..1 | minLength=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..1 | exactly one of the following branches | ||
| permanent | string | 1*..1 | ||
| noTimeSpecified | string | 1*..1 | ||
| limited | (group: DURATION_TYPE_LIMITED) | 1*..1 | ||
| limited | string | 1..1 | ||
| durationTime | (group: SENTENCE_DURATION_TYPE) | 1..1 | ||
| days | STRING_NUMERIC_3_TYPE | 0..1 | pattern=\d{1,10} | |
| months | STRING_NUMERIC_3_TYPE | 0..1 | pattern=\d{1,10} | |
| years | STRING_NUMERIC_3_TYPE | 0..1 | pattern=\d{1,10} | |
| startDate | (group: EXACT_OR_EXPLANATION_1K) | 1..1 | ||
| date | DATE_TYPE | 0..1 | pattern=\d{1,2}-\d{1,2}-\d{4} | |
| (choice) | 1..1 | exactly one of the following branches | ||
| exact | string | 1*..1 | ||
| explanationInfo | (group: EXPLANATION_INFO_1K) | 1*..1 | ||
| explanation | string | 1..1 | ||
| provideExplanation | STRING_1K_TYPE | 1..1 | minLength=1; maxLength=1000 | |
| endDate | (group: EXACT_OR_EXPLANATION_1K) | 0..1 | ||
| date | DATE_TYPE | 0..1 | pattern=\d{1,2}-\d{1,2}-\d{4} | |
| (choice) | 1..1 | exactly one of the following branches | ||
| exact | string | 1*..1 | ||
| explanationInfo | (group: EXPLANATION_INFO_1K) | 1*..1 | ||
| explanation | string | 1..1 | ||
| provideExplanation | STRING_1K_TYPE | 1..1 | minLength=1; maxLength=1000 | |
| description | STRING_10K_TYPE | 1..1 | minLength=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..1 | exactly one of the following branches | ||
| permanent | string | 1*..1 | ||
| noTimeSpecified | string | 1*..1 | ||
| limited | (group: DURATION_TYPE_LIMITED) | 1*..1 | ||
| limited | string | 1..1 | ||
| durationTime | (group: SENTENCE_DURATION_TYPE) | 1..1 | ||
| days | STRING_NUMERIC_3_TYPE | 0..1 | pattern=\d{1,10} | |
| months | STRING_NUMERIC_3_TYPE | 0..1 | pattern=\d{1,10} | |
| years | STRING_NUMERIC_3_TYPE | 0..1 | pattern=\d{1,10} | |
| startDate | (group: EXACT_OR_EXPLANATION_1K) | 1..1 | ||
| date | DATE_TYPE | 0..1 | pattern=\d{1,2}-\d{1,2}-\d{4} | |
| (choice) | 1..1 | exactly one of the following branches | ||
| exact | string | 1*..1 | ||
| explanationInfo | (group: EXPLANATION_INFO_1K) | 1*..1 | ||
| explanation | string | 1..1 | ||
| provideExplanation | STRING_1K_TYPE | 1..1 | minLength=1; maxLength=1000 | |
| endDate | (group: EXACT_OR_EXPLANATION_1K) | 0..1 | ||
| date | DATE_TYPE | 0..1 | pattern=\d{1,2}-\d{1,2}-\d{4} | |
| (choice) | 1..1 | exactly one of the following branches | ||
| exact | string | 1*..1 | ||
| explanationInfo | (group: EXPLANATION_INFO_1K) | 1*..1 | ||
| explanation | string | 1..1 | ||
| provideExplanation | STRING_1K_TYPE | 1..1 | minLength=1; maxLength=1000 | |
| description | STRING_3K_TYPE | 1..1 | minLength=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..1 | exactly one of the following branches | ||
| permanent | string | 1*..1 | ||
| noTimeSpecified | string | 1*..1 | ||
| limited | (group: DURATION_TYPE_LIMITED) | 1*..1 | ||
| limited | string | 1..1 | ||
| durationTime | (group: SENTENCE_DURATION_TYPE) | 1..1 | ||
| days | STRING_NUMERIC_3_TYPE | 0..1 | pattern=\d{1,10} | |
| months | STRING_NUMERIC_3_TYPE | 0..1 | pattern=\d{1,10} | |
| years | STRING_NUMERIC_3_TYPE | 0..1 | pattern=\d{1,10} | |
| startDate | (group: EXACT_OR_EXPLANATION_1K) | 1..1 | ||
| date | DATE_TYPE | 0..1 | pattern=\d{1,2}-\d{1,2}-\d{4} | |
| (choice) | 1..1 | exactly one of the following branches | ||
| exact | string | 1*..1 | ||
| explanationInfo | (group: EXPLANATION_INFO_1K) | 1*..1 | ||
| explanation | string | 1..1 | ||
| provideExplanation | STRING_1K_TYPE | 1..1 | minLength=1; maxLength=1000 | |
| endDate | (group: EXACT_OR_EXPLANATION_1K) | 0..1 | ||
| date | DATE_TYPE | 0..1 | pattern=\d{1,2}-\d{1,2}-\d{4} | |
| (choice) | 1..1 | exactly one of the following branches | ||
| exact | string | 1*..1 | ||
| explanationInfo | (group: EXPLANATION_INFO_1K) | 1*..1 | ||
| explanation | string | 1..1 | ||
| provideExplanation | STRING_1K_TYPE | 1..1 | minLength=1; maxLength=1000 | |
| description | STRING_3K_TYPE | 1..1 | minLength=1; maxLength=3000 | |
| isReqaulificationRequired | YES_NO_TYPE | 0..1 | one 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..1 | exactly one of the following branches | ||
| permanent | string | 1*..1 | ||
| noTimeSpecified | string | 1*..1 | ||
| limited | (group: DURATION_TYPE_LIMITED) | 1*..1 | ||
| limited | string | 1..1 | ||
| durationTime | (group: SENTENCE_DURATION_TYPE) | 1..1 | ||
| days | STRING_NUMERIC_3_TYPE | 0..1 | pattern=\d{1,10} | |
| months | STRING_NUMERIC_3_TYPE | 0..1 | pattern=\d{1,10} | |
| years | STRING_NUMERIC_3_TYPE | 0..1 | pattern=\d{1,10} | |
| typeRequired | STRING_3K_TYPE | 1..1 | minLength=1; maxLength=3000 | |
| conditionState | (group: CONDITION_STATE_10K) | 1..1 | ||
| (choice) | 1..1 | exactly one of the following branches | ||
| satisfied | DATE_TYPE | 1*..1 | pattern=\d{1,2}-\d{1,2}-\d{4} | |
| notSatisfied | STRING_10K_TYPE | 1*..1 | minLength=1; maxLength=10000 | |
| monetarySanctions | (group: CIVIL_JUDICIAL_MONETARY_SANCTION) | 0..1 | ||
| amountOrdered | DECIMAL_TYPE16_2 | 1..1 | totalDigits=16; fractionDigits=2; minInclusive=0; pattern=\d{0,14}\.\d\d | |
| waivedPortion | DECIMAL_TYPE16_2 | 0..1 | totalDigits=16; fractionDigits=2; minInclusive=0; pattern=\d{0,14}\.\d\d | |
| finalAmount | DECIMAL_TYPE16_2_NEGATIVE | 1..1 | totalDigits=18; fractionDigits=2; pattern=[\+\-]?\d{0,16}\.\d\d | |
| paymentState | (group: CONDITION_STATE_1K) | 1..1 | ||
| (choice) | 1..1 | exactly one of the following branches | ||
| satisfied | DATE_TYPE | 1*..1 | pattern=\d{1,2}-\d{1,2}-\d{4} | |
| notSatisfied | STRING_1K_TYPE | 1*..1 | minLength=1; maxLength=1000 | |
| totalAmountOrdered | DECIMAL_TYPE16_2 | 0..1 | totalDigits=16; fractionDigits=2; minInclusive=0; pattern=\d{0,14}\.\d\d | |
| drpRemoveReason | (group: DRP_REMOVE_REASON_1K) | 0..1 | ||
| (choice) | 1..1 | exactly one of the following branches | ||
| isRegistered | string | 1*..1 | ||
| isFiledError | (group: FILEDERROR_1K) | 1*..1 | ||
| explainTheCircumstances | STRING_1K_TYPE | 1..1 | minLength=1; maxLength=1000 | |
| isOlderThan10Years | (group: ORDERTHAN10YEARS_1K) | 1*..1 | ||
| explainTheCircumstances | STRING_1K_TYPE | 0..1 | minLength=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..1 | exactly one of the following branches | ||
| firmInfo | ENTITY_NAME_256_TYPE | 1*..1 | minLength=1; maxLength=256; pattern=([\w\s!\\#$(),.:;=@\-{}|/&]+) | |
| naturalPersonInfo | (group: INDIVIDUAL_NAME_TYPE) | 1*..1 | ||
| firstName | STRING_50_TYPE | 0..1 | minLength=1; maxLength=50 | |
| middleName | STRING_30_TYPE | 0..1 | minLength=1; maxLength=30 | |
| lastName | STRING_50_TYPE | 0..1 | minLength=1; maxLength=50 | |
| suffix | STRING_10_TYPE | 0..1 | minLength=1; maxLength=10 | |
| registrationInfo | (group: SEC_REGISTERED_INFO) | 1..1 | ||
| isSECRegistered | YES_NO_TYPE | 1..1 | one of: Y, N | |
| secRegistrationNumber | STRING_150_TYPE | 0..1 | minLength=1; maxLength=150 | |
| crdNumber | CRD_NUMBER_TYPE | 0..1 | minLength=1; maxLength=9 | |
| drpRemovalInformation | (group: ASSOCIATED_PERSON_DRP_REMOVAL_INFORMATION_10K) | 0..1 | ||
| (choice) | 1..1 | exactly one of the following branches | ||
| apNotAssociated | string | 1*..1 | ||
| eventResolved | string | 1*..1 | ||
| isFiledError | (group: FILEDERROR_10K) | 1*..1 | ||
| explainTheCircumstances | STRING_10K_TYPE | 1..1 | minLength=1; maxLength=10000 | |
| drpInfo | (group: CIVIL_JUDICIAL_DRP_DETAILS) | 1..1 | ||
| (choice) | 1..1 | exactly one of the following branches | ||
| filedDisclosre | (group: FILED_DRP) | 1*..1 | ||
| advBDU4Filing | (group: ADV_BD_U4_FILING) | 0..1 | ||
| name | STRING_256_TYPE | 1..1 | minLength=1; maxLength=256 | |
| crdNumber | CRD_NUMBER_TYPE | 1..1 | minLength=1; maxLength=9 | |
| disclosureNumber | STRING_256_TYPE | 1..1 | minLength=1; maxLength=256 | |
| maFiling | (group: MA_FILING) | 0..1 | ||
| name | STRING_256_TYPE | 1..1 | minLength=1; maxLength=256 | |
| regNumber | FILE_NUMBER_TYPE | 1..1 | pattern=\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} | |
| drpDate | DATE_TYPE | 1..1 | pattern=\d{1,2}-\d{1,2}-\d{4} | |
| accessionNumber | ACCESSION_NUMBER_TYPE | 1..1 | pattern=[*]{0}|[0-9]{1,10}\-[0-9]{1,2}\-[0-9]{1,6} | |
| matFiling | (group: MAT_FILING) | 0..1 | ||
| name | STRING_256_TYPE | 1..1 | minLength=1; maxLength=256 | |
| regNumber | FILE_NUMBER_TYPE | 1..1 | pattern=\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} | |
| date | DATE_TYPE | 1..1 | pattern=\d{1,2}-\d{1,2}-\d{4} | |
| maiFiling | (group: MA_FILING) | 0..1 | ||
| name | STRING_256_TYPE | 1..1 | minLength=1; maxLength=256 | |
| regNumber | FILE_NUMBER_TYPE | 1..1 | pattern=\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} | |
| drpDate | DATE_TYPE | 1..1 | pattern=\d{1,2}-\d{1,2}-\d{4} | |
| accessionNumber | ACCESSION_NUMBER_TYPE | 1..1 | pattern=[*]{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 | ||
| name | STRING_256_TYPE | 0..1 | minLength=1; maxLength=256 | |
| docketOrCaseNo | STRING_256_TYPE | 1..1 | minLength=1; maxLength=256 | |
| address | (group: ADDRESS_TYPE) | 1..1 | ||
| street1 | STREET_TYPE | 1..1 | minLength=1; maxLength=40 | |
| street2 | STREET_TYPE | 0..1 | minLength=1; maxLength=40 | |
| city | STRING_30_TYPE | 1..1 | minLength=1; maxLength=30 | |
| stateOrCountry | STATE_COUNTRY_CODE | 1..1 | one of 331 codes (AL, AK, AZ, AR, CA, …; full list in the XSD) | |
| zipCode | ZIP_TYPE | 1..1 | minLength=1; maxLength=10; pattern=[0-9A-Za-z #\-]* | |
| status | (group: EVENT_STATUS_TYPE) | 1..1 | ||
| (choice) | 1..1 | exactly one of the following branches | ||
| pending | string | 1*..1 | ||
| onAppeal | string | 1*..1 | ||
| final | string | 1*..1 | ||
| summary | STRING_10K_TYPE | 0..1 | minLength=1; maxLength=10000 | |
| statusDateInfo | (group: EXACT_OR_EXPLANATION_10K) | 0..1 | ||
| date | DATE_TYPE | 0..1 | pattern=\d{1,2}-\d{1,2}-\d{4} | |
| (choice) | 1..1 | exactly one of the following branches | ||
| exact | string | 1*..1 | ||
| explanationInfo | (group: EXPLANATION_INFO_10K) | 1*..1 | ||
| explanation | string | 1..1 | ||
| provideExplanation | STRING_10K_TYPE | 1..1 | minLength=1; maxLength=10000 | |
| initiatedBy | (group: CIVIL_JUDICIAL_ACTION_INITIATED_BY_TYPES) | 1..1 | ||
| initiator | CIVIL_JUDICIAL_ACTION_INITIATED_BY_TYPE | 1..10 | one of: SEC, Other Federal Authority, State, SRO, Foreign Financial Regulatory Authority, Commodities Exchange, Private Plantiff, CFTC, Municipal Advisory Firm, Other | |
| other | STRING_256_TYPE | 0..1 | minLength=1; maxLength=256 | |
| plantiffsInformation | (group: PLANTIFFS_INFORMATION_CONTAINER) | 0..1 | ||
| plantiffName | STRING_3K_TYPE | 0..1 | minLength=1; maxLength=3000 | |
| isMissingPlantiffs | YES_NO_TYPE | 1..1 | one of: Y, N | |
| defendantInformation | (group: DEFENDANTS_INFORMATION_CONTAINER) | 1..1 | ||
| defendantName | STRING_1K_TYPE | 1..1 | minLength=1; maxLength=1000 | |
| isADefendant | YES_NO_TYPE | 1..1 | one of: Y, N | |
| involementInformation | STRING_256_TYPE | 0..1 | minLength=1; maxLength=256 | |
| sanctionsReliefSought | (group: CIVIL_JUDICIAL_SANCTIONS_TYPES) | 1..1 | ||
| sanctionRelief | CIVIL_JUDICIAL_SANCTIONS | 1..21 | SANCTION_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) | |
| other | STRING_10K_TYPE | 0..1 | minLength=1; maxLength=10000 | |
| notificationServedInformation | (group: EXACT_OR_EXPLANATION_10K) | 1..1 | ||
| date | DATE_TYPE | 0..1 | pattern=\d{1,2}-\d{1,2}-\d{4} | |
| (choice) | 1..1 | exactly one of the following branches | ||
| exact | string | 1*..1 | ||
| explanationInfo | (group: EXPLANATION_INFO_10K) | 1*..1 | ||
| explanation | string | 1..1 | ||
| provideExplanation | STRING_10K_TYPE | 1..1 | minLength=1; maxLength=10000 | |
| courtBroughIn | (group: CIVIL_JUDICIAL_COURT) | 1..1 | ||
| civilJudicialCourt | (group: CIVIL_JUDICIAL_COURT_TYPES) | 1..1 | ||
| (choice) | 1..1 | exactly one of the following branches | ||
| fedCourt | string | 1*..1 | ||
| milCourt | string | 1*..1 | ||
| stateCourt | string | 1*..1 | ||
| foreignCourt | string | 1*..1 | ||
| intnlCourt | string | 1*..1 | ||
| other | string | 1*..1 | ||
| other | STRING_256_TYPE | 0..1 | minLength=1; maxLength=256 | |
| principalProductTypes | (group: PRINCIPAL_PRODUCT_TYPES) | 1..1 | ||
| product | PRINCIPAL_PRODUCT_TYPE | 1..35 | PRINCIPAL_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) | |
| productOther | STRING_256_TYPE | 0..1 | minLength=1; maxLength=256 | |
| otherProductTypes | STRING_1K_TYPE | 0..1 | minLength=1; maxLength=1000 | |
| allegationsDescription | STRING_10K_TYPE | 1..1 | minLength=1; maxLength=10000 | |
| pendingInformation | (group: CIVIL_JUDICIAL_PENDING_INFORMATION) | 0..1 | ||
| servedInformation | (group: EXACT_OR_EXPLANATION_10K) | 1..1 | ||
| date | DATE_TYPE | 0..1 | pattern=\d{1,2}-\d{1,2}-\d{4} | |
| (choice) | 1..1 | exactly one of the following branches | ||
| exact | string | 1*..1 | ||
| explanationInfo | (group: EXPLANATION_INFO_10K) | 1*..1 | ||
| explanation | string | 1..1 | ||
| provideExplanation | STRING_10K_TYPE | 1..1 | minLength=1; maxLength=10000 | |
| limitationsRestrictions | STRING_3K_TYPE | 0..1 | minLength=1; maxLength=3000 | |
| appealInformation | (group: CIVIL_JUDICIAL_APPEAL_INFORMATION_TYPE) | 0..1 | ||
| appealBroughtInInformation | (group: CHARGES_WHERE_BROUGHT_IN) | 0..1 | ||
| name | STRING_256_TYPE | 0..1 | minLength=1; maxLength=256 | |
| docketOrCaseNo | STRING_256_TYPE | 1..1 | minLength=1; maxLength=256 | |
| address | (group: ADDRESS_TYPE) | 1..1 | ||
| street1 | STREET_TYPE | 1..1 | minLength=1; maxLength=40 | |
| street2 | STREET_TYPE | 0..1 | minLength=1; maxLength=40 | |
| city | STRING_30_TYPE | 1..1 | minLength=1; maxLength=30 | |
| stateOrCountry | STATE_COUNTRY_CODE | 1..1 | one of 331 codes (AL, AK, AZ, AR, CA, …; full list in the XSD) | |
| zipCode | ZIP_TYPE | 1..1 | minLength=1; maxLength=10; pattern=[0-9A-Za-z #\-]* | |
| docketName | STRING_256_TYPE | 0..1 | minLength=1; maxLength=256 | |
| dateInformation | (group: EXACT_OR_EXPLANATION_3K) | 0..1 | ||
| date | DATE_TYPE | 0..1 | pattern=\d{1,2}-\d{1,2}-\d{4} | |
| (choice) | 1..1 | exactly one of the following branches | ||
| exact | string | 1*..1 | ||
| explanationInfo | (group: EXPLANATION_INFO_3K) | 1*..1 | ||
| explanation | string | 1..1 | ||
| provideExplanation | STRING_3K_TYPE | 1..1 | minLength=1; maxLength=3000 | |
| details | STRING_10K_TYPE | 0..1 | minLength=1; maxLength=10000 | |
| limitationsRestrictions | STRING_1K_TYPE | 0..1 | minLength=1; maxLength=1000 | |
| resolutionInformation | (group: CIVIL_JUDICIAL_RESOLUTION_INFORMATION) | 0..1 | ||
| date | (group: EXACT_OR_EXPLANATION_1K) | 1..1 | ||
| date | DATE_TYPE | 0..1 | pattern=\d{1,2}-\d{1,2}-\d{4} | |
| (choice) | 1..1 | exactly one of the following branches | ||
| exact | string | 1*..1 | ||
| explanationInfo | (group: EXPLANATION_INFO_1K) | 1*..1 | ||
| explanation | string | 1..1 | ||
| provideExplanation | STRING_1K_TYPE | 1..1 | minLength=1; maxLength=1000 | |
| types | (group: CIVIL_JUDICIAL_RESOLUTION) | 1..1 | ||
| judgement | CIVIL_JUDICIAL_RESOLUTION_TYPES | 1..12 | REGULATORY_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) | |
| judgementOther | STRING_1K_TYPE | 0..1 | minLength=1; maxLength=1000 | |
| appealJudgement | APPEAL_EXTENDED_TYPES | 0..5 | APPEAL_TYPES (one of: Affirmed, Vacated & Returned For Further Action, Vacated / Final, Other) or APPEAL_EXTENDED_TYPE (one of: Vacated Nunc Pro Tunc / ab initio) | |
| appealJudgementOther | STRING_1K_TYPE | 0..1 | minLength=1; maxLength=1000 | |
| explanation | STRING_10K_TYPE | 0..1 | minLength=1; maxLength=10000 | |
| isFinalOrder | YES_NO_TYPE | 0..1 | one of: Y, N | |
| details | (group: CIVIL_JUDICIAL_RESOLUTION_DETAILS) | 1..1 | ||
| sanctionsOrdered | YES_NO_TYPE | 1..1 | one of: Y, N | |
| sanctions | (group: CIVIL_JUDICIAL_SANCTIONS_TYPES) | 0..1 | ||
| sanctionRelief | CIVIL_JUDICIAL_SANCTIONS | 1..21 | SANCTION_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) | |
| other | STRING_10K_TYPE | 0..1 | minLength=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..1 | exactly one of the following branches | ||
| permanent | string | 1*..1 | ||
| noTimeSpecified | string | 1*..1 | ||
| limited | (group: DURATION_TYPE_LIMITED) | 1*..1 | ||
| limited | string | 1..1 | ||
| durationTime | (group: SENTENCE_DURATION_TYPE) | 1..1 | ||
| days | STRING_NUMERIC_3_TYPE | 0..1 | pattern=\d{1,10} | |
| months | STRING_NUMERIC_3_TYPE | 0..1 | pattern=\d{1,10} | |
| years | STRING_NUMERIC_3_TYPE | 0..1 | pattern=\d{1,10} | |
| startDate | (group: EXACT_OR_EXPLANATION_1K) | 1..1 | ||
| date | DATE_TYPE | 0..1 | pattern=\d{1,2}-\d{1,2}-\d{4} | |
| (choice) | 1..1 | exactly one of the following branches | ||
| exact | string | 1*..1 | ||
| explanationInfo | (group: EXPLANATION_INFO_1K) | 1*..1 | ||
| explanation | string | 1..1 | ||
| provideExplanation | STRING_1K_TYPE | 1..1 | minLength=1; maxLength=1000 | |
| endDate | (group: EXACT_OR_EXPLANATION_1K) | 0..1 | ||
| date | DATE_TYPE | 0..1 | pattern=\d{1,2}-\d{1,2}-\d{4} | |
| (choice) | 1..1 | exactly one of the following branches | ||
| exact | string | 1*..1 | ||
| explanationInfo | (group: EXPLANATION_INFO_1K) | 1*..1 | ||
| explanation | string | 1..1 | ||
| provideExplanation | STRING_1K_TYPE | 1..1 | minLength=1; maxLength=1000 | |
| description | STRING_10K_TYPE | 1..1 | minLength=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..1 | exactly one of the following branches | ||
| permanent | string | 1*..1 | ||
| noTimeSpecified | string | 1*..1 | ||
| limited | (group: DURATION_TYPE_LIMITED) | 1*..1 | ||
| limited | string | 1..1 | ||
| durationTime | (group: SENTENCE_DURATION_TYPE) | 1..1 | ||
| days | STRING_NUMERIC_3_TYPE | 0..1 | pattern=\d{1,10} | |
| months | STRING_NUMERIC_3_TYPE | 0..1 | pattern=\d{1,10} | |
| years | STRING_NUMERIC_3_TYPE | 0..1 | pattern=\d{1,10} | |
| startDate | (group: EXACT_OR_EXPLANATION_1K) | 1..1 | ||
| date | DATE_TYPE | 0..1 | pattern=\d{1,2}-\d{1,2}-\d{4} | |
| (choice) | 1..1 | exactly one of the following branches | ||
| exact | string | 1*..1 | ||
| explanationInfo | (group: EXPLANATION_INFO_1K) | 1*..1 | ||
| explanation | string | 1..1 | ||
| provideExplanation | STRING_1K_TYPE | 1..1 | minLength=1; maxLength=1000 | |
| endDate | (group: EXACT_OR_EXPLANATION_1K) | 0..1 | ||
| date | DATE_TYPE | 0..1 | pattern=\d{1,2}-\d{1,2}-\d{4} | |
| (choice) | 1..1 | exactly one of the following branches | ||
| exact | string | 1*..1 | ||
| explanationInfo | (group: EXPLANATION_INFO_1K) | 1*..1 | ||
| explanation | string | 1..1 | ||
| provideExplanation | STRING_1K_TYPE | 1..1 | minLength=1; maxLength=1000 | |
| description | STRING_3K_TYPE | 1..1 | minLength=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..1 | exactly one of the following branches | ||
| permanent | string | 1*..1 | ||
| noTimeSpecified | string | 1*..1 | ||
| limited | (group: DURATION_TYPE_LIMITED) | 1*..1 | ||
| limited | string | 1..1 | ||
| durationTime | (group: SENTENCE_DURATION_TYPE) | 1..1 | ||
| days | STRING_NUMERIC_3_TYPE | 0..1 | pattern=\d{1,10} | |
| months | STRING_NUMERIC_3_TYPE | 0..1 | pattern=\d{1,10} | |
| years | STRING_NUMERIC_3_TYPE | 0..1 | pattern=\d{1,10} | |
| startDate | (group: EXACT_OR_EXPLANATION_1K) | 1..1 | ||
| date | DATE_TYPE | 0..1 | pattern=\d{1,2}-\d{1,2}-\d{4} | |
| (choice) | 1..1 | exactly one of the following branches | ||
| exact | string | 1*..1 | ||
| explanationInfo | (group: EXPLANATION_INFO_1K) | 1*..1 | ||
| explanation | string | 1..1 | ||
| provideExplanation | STRING_1K_TYPE | 1..1 | minLength=1; maxLength=1000 | |
| endDate | (group: EXACT_OR_EXPLANATION_1K) | 0..1 | ||
| date | DATE_TYPE | 0..1 | pattern=\d{1,2}-\d{1,2}-\d{4} | |
| (choice) | 1..1 | exactly one of the following branches | ||
| exact | string | 1*..1 | ||
| explanationInfo | (group: EXPLANATION_INFO_1K) | 1*..1 | ||
| explanation | string | 1..1 | ||
| provideExplanation | STRING_1K_TYPE | 1..1 | minLength=1; maxLength=1000 | |
| description | STRING_3K_TYPE | 1..1 | minLength=1; maxLength=3000 | |
| isReqaulificationRequired | YES_NO_TYPE | 0..1 | one 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..1 | exactly one of the following branches | ||
| permanent | string | 1*..1 | ||
| noTimeSpecified | string | 1*..1 | ||
| limited | (group: DURATION_TYPE_LIMITED) | 1*..1 | ||
| limited | string | 1..1 | ||
| durationTime | (group: SENTENCE_DURATION_TYPE) | 1..1 | ||
| days | STRING_NUMERIC_3_TYPE | 0..1 | pattern=\d{1,10} | |
| months | STRING_NUMERIC_3_TYPE | 0..1 | pattern=\d{1,10} | |
| years | STRING_NUMERIC_3_TYPE | 0..1 | pattern=\d{1,10} | |
| typeRequired | STRING_3K_TYPE | 1..1 | minLength=1; maxLength=3000 | |
| conditionState | (group: CONDITION_STATE_10K) | 1..1 | ||
| (choice) | 1..1 | exactly one of the following branches | ||
| satisfied | DATE_TYPE | 1*..1 | pattern=\d{1,2}-\d{1,2}-\d{4} | |
| notSatisfied | STRING_10K_TYPE | 1*..1 | minLength=1; maxLength=10000 | |
| monetarySanctions | (group: CIVIL_JUDICIAL_MONETARY_SANCTION) | 0..1 | ||
| amountOrdered | DECIMAL_TYPE16_2 | 1..1 | totalDigits=16; fractionDigits=2; minInclusive=0; pattern=\d{0,14}\.\d\d | |
| waivedPortion | DECIMAL_TYPE16_2 | 0..1 | totalDigits=16; fractionDigits=2; minInclusive=0; pattern=\d{0,14}\.\d\d | |
| finalAmount | DECIMAL_TYPE16_2_NEGATIVE | 1..1 | totalDigits=18; fractionDigits=2; pattern=[\+\-]?\d{0,16}\.\d\d | |
| paymentState | (group: CONDITION_STATE_1K) | 1..1 | ||
| (choice) | 1..1 | exactly one of the following branches | ||
| satisfied | DATE_TYPE | 1*..1 | pattern=\d{1,2}-\d{1,2}-\d{4} | |
| notSatisfied | STRING_1K_TYPE | 1*..1 | minLength=1; maxLength=1000 | |
| totalAmountOrdered | DECIMAL_TYPE16_2 | 0..1 | totalDigits=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..1 | exactly one of the following branches | ||
| add | string | 1*..1 | ||
| delete | string | 1*..1 | ||
| amend | string | 1*..1 | ||
| newAdd | string | 1*..1 | ||
| misc | STRING_10K_TYPE | 0..1 | minLength=1; maxLength=10000 | |
| maSelfCertification | (group: MA_EXECUTION) | 0..1 | ||
| signature | (group: SIGNATURE_TYPE_3) | 1..1 | ||
| signature | STRING_150_TYPE | 1..1 | minLength=1; maxLength=150 | |
| signerName | STRING_150_TYPE | 1..1 | minLength=1; maxLength=150 | |
| title | STRING_150_TYPE | 1..1 | minLength=1; maxLength=150 | |
| date | DATE_TYPE | 1..1 | pattern=\d{1,2}-\d{1,2}-\d{4} | |
| crdNumber | CRD_NUMBER_TYPE | 0..1 | minLength=1; maxLength=9 | |
| maExecutionPage | (group: MA_EXECUTION) | 1..1 | ||
| signature | (group: SIGNATURE_TYPE_3) | 1..1 | ||
| signature | STRING_150_TYPE | 1..1 | minLength=1; maxLength=150 | |
| signerName | STRING_150_TYPE | 1..1 | minLength=1; maxLength=150 | |
| title | STRING_150_TYPE | 1..1 | minLength=1; maxLength=150 | |
| date | DATE_TYPE | 1..1 | pattern=\d{1,2}-\d{1,2}-\d{4} | |
| crdNumber | CRD_NUMBER_TYPE | 0..1 | minLength=1; maxLength=9 | |
| maNRSelfCertification | (group: MA_EXECUTION) | 0..1 | ||
| signature | (group: SIGNATURE_TYPE_3) | 1..1 | ||
| signature | STRING_150_TYPE | 1..1 | minLength=1; maxLength=150 | |
| signerName | STRING_150_TYPE | 1..1 | minLength=1; maxLength=150 | |
| title | STRING_150_TYPE | 1..1 | minLength=1; maxLength=150 | |
| date | DATE_TYPE | 1..1 | pattern=\d{1,2}-\d{1,2}-\d{4} | |
| crdNumber | CRD_NUMBER_TYPE | 0..1 | minLength=1; maxLength=9 | |
| maNRExecutionPage | (group: MA_EXECUTION) | 0..1 | ||
| signature | (group: SIGNATURE_TYPE_3) | 1..1 | ||
| signature | STRING_150_TYPE | 1..1 | minLength=1; maxLength=150 | |
| signerName | STRING_150_TYPE | 1..1 | minLength=1; maxLength=150 | |
| title | STRING_150_TYPE | 1..1 | minLength=1; maxLength=150 | |
| date | DATE_TYPE | 1..1 | pattern=\d{1,2}-\d{1,2}-\d{4} | |
| crdNumber | CRD_NUMBER_TYPE | 0..1 | minLength=1; maxLength=9 | |
| documents | (group: EDGAR_DOCUMENT_TYPE) | 0..1000 | Document 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. | |
| conformedName | DOCUMENT_NAME_TYPE | 1..1 | minLength=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]))) | |
| conformedDocumentType | SUB_DOCUMENT_TYPE | 1..1 | SUBMISSION_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)) | |
| relatedFormType | RELATED_FORM_TYPE | 0..1 | one of: 10-D, 10-D/A, ABS-EE, ABS-EE/A | |
| description | DOCUMENT_DESCRIPTION_TYPE | 0..1 | maxLength=255; minLength=1; pattern=[A-Za-z0-9!#-$%():;'@\*\+\-/=\?\^_~{|},. \\\s<>&"\[\]]{1,255} | |
| contents | DOCUMENT_MIME_BLOCK_TYPE | 1..1 | minLength=1 | |
| controls | (group: FORM_CONTROLS) | 0..1 | ||
| isSolePropietor | YES_NO_TYPE | 0..1 | one of: Y, N | |
| hasNameChange | YES_NO_TYPE | 0..1 | one of: Y, N | |
| hasDBAName | YES_NO_TYPE | 0..1 | one of: Y, N | |
| hasPreviousDBAName | YES_NO_TYPE | 0..1 | one of: Y, N | |
| hasAdditionalDBANames | YES_NO_TYPE | 0..1 | one of: Y, N | |
| hasMATReg | YES_NO_TYPE | 0..1 | one of: Y, N | |
| additionalRegs | YES_NO_TYPE | 0..1 | one of: Y, N | |
| additionalOffices | YES_NO_TYPE | 0..1 | one of: Y, N | |
| hasMailingAddress | YES_NO_TYPE | 0..1 | one of: Y, N | |
| hasAdditionalWebsites | YES_NO_TYPE | 0..1 | one of: Y, N | |
| hasBooksRecords | YES_NO_TYPE | 0..1 | one of: Y, N | |
| isRegisteredFFRA | YES_NO_TYPE | 0..1 | one of: Y, N | |
| isAffiliatedOtherBus | YES_NO_TYPE | 0..1 | one of: Y, N | |
| independentBusinessEmployee | YES_NO_TYPE | 0..1 | one of: Y, N | |
| receiveCompensationForMAAFromOtherClients | YES_NO_TYPE | 0..1 | one of: Y, N | |
| isSucceedingApplicant | YES_NO_TYPE | 0..1 | one of: Y, N | |
| isCPForApplicantPolicy | YES_NO_TYPE | 0..1 | one of: Y, N | |
| isPRCompanyUnder1215 | YES_NO_TYPE | 0..1 | one of: Y, N | |
| isCPForFirm | YES_NO_TYPE | 0..1 | one of: Y, N | |
| hasOtherProductTypes | YES_NO_TYPE | 0..1 | one of: Y, N | |
| wasSanctionsOrdered | YES_NO_TYPE | 0..1 | one of: Y, N | |
| moneytarySanctions | YES_NO_TYPE | 0..1 | one of: Y, N | |
| hasScheduleB | YES_NO_TYPE | 0..1 | one of: Y, N | |
| isSection12Or15ReportingCompany | YES_NO_TYPE | 0..1 | one of: Y, N | |
| isOtherNonMAABuisinesssPrimary | YES_NO_TYPE | 0..1 | one of: Y, N |
| Field (path) | Type | Occurs | Allowed values | SEC's description |
|---|---|---|---|---|
| edgarSubmission | (group) | 1..1 | ||
| schemaVersion | SCHEMA_VERSION_TYPE | 0..1 | length=5 | |
| headerData | (group: HEADER_DATA) | 1..1 | ||
| submissionType | SUBMISSION_TYPE | 1..1 | one of: MA-I, MA-I-A, MA-I/A | |
| filerInfo | (group: HEADER_DATA) | 1..1 | ||
| liveTestFlag | LIVE_TEST_TYPE | 0..1 | one of: LIVE, TEST | |
| filer | (group: FILER_TYPE) | 1..1 | ||
| filerId | CIK_TYPE | 1..1 | pattern=\d{1,10} | |
| filerCcc | CCC_TYPE | 1..1 | length=8 | |
| filerFileNumber | FILE_NUMBER_TYPE | 0..1 | pattern=\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 | ||
| name | NAME_TYPE | 0..1 | minLength=1; maxLength=30; pattern=[A-Za-z0-9!#-$%():;'@\*\+\-/=\?\^_~{|},. \\\s<>&"\[\]]{1,30} | |
| phoneNumber | PHONE_TYPE | 0..1 | minLength=1; maxLength=20; pattern=[a-zA-Z0-9\-]{1,20} | |
| contactEmail | INTERNET_ADDRESS_TYPE | 1..1 | maxLength=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 | ||
| internetNotificationAddress | INTERNET_ADDRESS_TYPE | 1..n | maxLength=80; minLength=4; pattern=([a-zA-Z0-9_\-\.]+)@((\[[0-9]{1,3}\.[0-9]{1,3}\.[0-9]{1,3}\.)|(([a-zA-Z0-9\-]+\.)+))([a-zA-Z]{2,7}|[0-9]{1,3})(\]?) | |
| period | YEAR_TYPE | 0..1 | pattern=\d{4,4} | |
| formData | (group: FORM_DATA) | 1..1 | ||
| isAmendment | YES_NO_TYPE | 0..1 | one of: Y, N | |
| previousAccessionNumber | ACCESSION_NUMBER_TYPE | 0..1 | pattern=[*]{0}|[0-9]{1,10}\-[0-9]{1,2}\-[0-9]{1,6} | |
| isIndividual | YES_NO_TYPE | 0..1 | one of: Y, N | |
| applicantName | (group: INDIVIDUAL_NAME_TYPE) | 1..1 | ||
| firstName | STRING_50_TYPE | 0..1 | minLength=1; maxLength=50 | |
| middleName | STRING_30_TYPE | 0..1 | minLength=1; maxLength=30 | |
| lastName | STRING_50_TYPE | 0..1 | minLength=1; maxLength=50 | |
| suffix | STRING_10_TYPE | 0..1 | minLength=1; maxLength=10 | |
| applicantCrdNum | CRD_NUMBER_TYPE | 0..1 | minLength=1; maxLength=9 | |
| hasMoreThanOneAdvisoryFirms | YES_NO_TYPE | 0..1 | one of: Y, N | |
| noOfAdvisoryFirms | NUMBER_TYPE | 1..1 | totalDigits=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 | ||
| filerId | CIK_TYPE | 1..1 | pattern=\d{1,10} | |
| municipalFirmName | ENTITY_NAME_TYPE | 1..1 | minLength=1; maxLength=150; pattern=([A-Za-z0-9\s!\\#$(),.:;=@'\-{}|/&]+) | |
| municipalDbaName | STRING_256_TYPE | 0..1 | minLength=1; maxLength=256 | |
| recentEmploymentCommencedDate | DATE_TYPE | 1..1 | pattern=\d{1,2}-\d{1,2}-\d{4} | |
| isIndependentRelatioship | YES_NO_TYPE | 1..1 | one of: Y, N | |
| maRegistration | (group: MA_REGISTRATION) | 1..1 | ||
| (choice) | 1..1 | exactly one of the following branches | ||
| secRegistration | (group: REG_TYPE_1) | 1*..1 | ||
| fileNumber | FILE_NUMBER_TYPE | 0..1 | pattern=\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..1 | exactly one of the following branches | ||
| hasFiled | (group: HAS_FILED_MA) | 1*..1 | ||
| filingDate | DATE_TYPE | 1..1 | pattern=\d{1,2}-\d{1,2}-\d{4} | |
| cik | CIK_TYPE | 1..1 | pattern=\d{1,10} | |
| explanation | STRING_256_TYPE | 1*..1 | minLength=1; maxLength=256 | |
| advisorOffices | (group: MUNICIPAL_ADVISORY_OFFICES) | 0..1 | ||
| advisorOffice | (group: ADDRESS_TYPE_2) | 1..n | ||
| locationInfo | LOCATED_AT_SUPERVISED_FROM | 1..2 | one of: LOCATED, SUPERVISED | |
| startDate | DATE_TYPE | 1..1 | pattern=\d{1,2}-\d{1,2}-\d{4} | |
| addressInfo | (group: ADDRESS_TYPE) | 0..1 | ||
| residentialAddressFlag | YES_NO_TYPE | 0..1 | one of: Y, N | |
| address | (group: ADDRESS_TYPE) | 1..1 | ||
| street1 | STREET_TYPE | 1..1 | minLength=1; maxLength=40 | |
| street2 | STREET_TYPE | 0..1 | minLength=1; maxLength=40 | |
| city | STRING_30_TYPE | 1..1 | minLength=1; maxLength=30 | |
| stateOrCountry | STATE_COUNTRY_CODE | 1..1 | one of 331 codes (AL, AK, AZ, AR, CA, …; full list in the XSD) | |
| zipCode | ZIP_TYPE | 1..1 | minLength=1; maxLength=10; pattern=[0-9A-Za-z #\-]* | |
| otherNames | (group: OTHER_NAMES) | 0..1 | ||
| otherName | (group: INDIVIDUAL_NAME_TYPE) | 1..10 | ||
| firstName | STRING_50_TYPE | 0..1 | minLength=1; maxLength=50 | |
| middleName | STRING_30_TYPE | 0..1 | minLength=1; maxLength=30 | |
| lastName | STRING_50_TYPE | 0..1 | minLength=1; maxLength=50 | |
| suffix | STRING_10_TYPE | 0..1 | minLength=1; maxLength=10 | |
| residentialHistory | (group: RESIDENTIAL_HISTORY) | 1..1 | ||
| currentAddress | (group: ADDRESS_TYPE_1) | 0..1 | ||
| startDate | DATE_TYPE_2 | 1..1 | pattern=\d{1,2}-\d{4} | |
| endDate | DATE_TYPE_2 | 0..1 | pattern=\d{1,2}-\d{4} | |
| addressInfo | (group: ADDRESS_TYPE) | 1..1 | ||
| street1 | STREET_TYPE | 1..1 | minLength=1; maxLength=40 | |
| street2 | STREET_TYPE | 0..1 | minLength=1; maxLength=40 | |
| city | STRING_30_TYPE | 1..1 | minLength=1; maxLength=30 | |
| stateOrCountry | STATE_COUNTRY_CODE | 1..1 | one of 331 codes (AL, AK, AZ, AR, CA, …; full list in the XSD) | |
| zipCode | ZIP_TYPE | 1..1 | minLength=1; maxLength=10; pattern=[0-9A-Za-z #\-]* | |
| priorAddresses | (group: PRIOR_ADDRESSES) | 0..1 | ||
| priorAddress | (group: ADDRESS_TYPE_1) | 1..n | ||
| startDate | DATE_TYPE_2 | 1..1 | pattern=\d{1,2}-\d{4} | |
| endDate | DATE_TYPE_2 | 0..1 | pattern=\d{1,2}-\d{4} | |
| addressInfo | (group: ADDRESS_TYPE) | 1..1 | ||
| street1 | STREET_TYPE | 1..1 | minLength=1; maxLength=40 | |
| street2 | STREET_TYPE | 0..1 | minLength=1; maxLength=40 | |
| city | STRING_30_TYPE | 1..1 | minLength=1; maxLength=30 | |
| stateOrCountry | STATE_COUNTRY_CODE | 1..1 | one of 331 codes (AL, AK, AZ, AR, CA, …; full list in the XSD) | |
| zipCode | ZIP_TYPE | 1..1 | minLength=1; maxLength=10; pattern=[0-9A-Za-z #\-]* | |
| employmentHistory | (group: EMPLOYMENT_HISTORY) | 1..1 | ||
| currentEmployer | (group: EMPLOYMENT_INFO) | 1..1 | ||
| startDate | DATE_TYPE_2 | 1..1 | pattern=\d{1,2}-\d{4} | |
| endDate | DATE_TYPE_2 | 0..1 | pattern=\d{1,2}-\d{4} | |
| name | STRING_256_TYPE | 1..1 | minLength=1; maxLength=256 | |
| addressInfo | (group: ADDRESS_TYPE_3) | 1..1 | ||
| city | STRING_30_TYPE | 1..1 | minLength=1; maxLength=30 | |
| stateOrCountry | (group: STATE_COUNTRY_TYPE) | 1..1 | ||
| stateOrCountry | STATE_COUNTRY_CODE | 1..1 | one of 331 codes (AL, AK, AZ, AR, CA, …; full list in the XSD) | |
| zipCode | ZIP_TYPE | 1..1 | minLength=1; maxLength=10; pattern=[0-9A-Za-z #\-]* | |
| isRelatedToMunicipalAdvisor | YES_NO_TYPE | 1..1 | one of: Y, N | |
| isRelatedToInvestment | YES_NO_TYPE | 1..1 | one of: Y, N | |
| positionDescription | STRING_256_TYPE | 1..1 | minLength=1; maxLength=256 | |
| priorEmployers | (group: PRIOR_EMPLOYERS) | 0..1 | ||
| priorEmployer | (group: EMPLOYMENT_INFO) | 1..n | ||
| startDate | DATE_TYPE_2 | 1..1 | pattern=\d{1,2}-\d{4} | |
| endDate | DATE_TYPE_2 | 0..1 | pattern=\d{1,2}-\d{4} | |
| name | STRING_256_TYPE | 1..1 | minLength=1; maxLength=256 | |
| addressInfo | (group: ADDRESS_TYPE_3) | 1..1 | ||
| city | STRING_30_TYPE | 1..1 | minLength=1; maxLength=30 | |
| stateOrCountry | (group: STATE_COUNTRY_TYPE) | 1..1 | ||
| stateOrCountry | STATE_COUNTRY_CODE | 1..1 | one of 331 codes (AL, AK, AZ, AR, CA, …; full list in the XSD) | |
| zipCode | ZIP_TYPE | 1..1 | minLength=1; maxLength=10; pattern=[0-9A-Za-z #\-]* | |
| isRelatedToMunicipalAdvisor | YES_NO_TYPE | 1..1 | one of: Y, N | |
| isRelatedToInvestment | YES_NO_TYPE | 1..1 | one of: Y, N | |
| positionDescription | STRING_256_TYPE | 1..1 | minLength=1; maxLength=256 | |
| isEngagedInOtherBusiness | YES_NO_TYPE | 1..1 | one of: Y, N | |
| otherBusinesses | (group: OTHER_BUSINESSES) | 0..1 | ||
| otherBusiness | (group: OTHER_BUSINESS) | 1..15 | ||
| startDate | DATE_TYPE_2 | 1..1 | pattern=\d{1,2}-\d{4} | |
| name | STRING_256_TYPE | 1..1 | minLength=1; maxLength=256 | |
| addressInfo | (group: ADDRESS_TYPE) | 1..1 | ||
| street1 | STREET_TYPE | 1..1 | minLength=1; maxLength=40 | |
| street2 | STREET_TYPE | 0..1 | minLength=1; maxLength=40 | |
| city | STRING_30_TYPE | 1..1 | minLength=1; maxLength=30 | |
| stateOrCountry | STATE_COUNTRY_CODE | 1..1 | one of 331 codes (AL, AK, AZ, AR, CA, …; full list in the XSD) | |
| zipCode | ZIP_TYPE | 1..1 | minLength=1; maxLength=10; pattern=[0-9A-Za-z #\-]* | |
| isRelatedToMunicipalAdvisor | YES_NO_TYPE | 1..1 | one of: Y, N | |
| isRelatedToInvestment | YES_NO_TYPE | 1..1 | one of: Y, N | |
| natureOfBusiness | STRING_256_TYPE | 1..1 | minLength=1; maxLength=256 | |
| positionDescription | STRING_1K_TYPE | 1..1 | minLength=1; maxLength=1000 | |
| approximateHoursOrMonths | NO_OF_HOURS | 1..1 | totalDigits=3; minInclusive=0; maxInclusive=745 | |
| dutiesDescription | STRING_3K_TYPE | 1..1 | minLength=1; maxLength=3000 | |
| disclosureQuestions | (group: DISCLOSURE_QUESTIONS) | 1..1 | ||
| criminalDisclosure | (group: CRIMINAL_DISCLOSURE_QUESTION) | 1..1 | ||
| criminalDisclosureCommonQuestion | (group: CRIMINAL_ACTION_DISCLOSURE) | 1..1 | ||
| isConvictedOfFelony | YES_NO_TYPE | 1..1 | one of: Y, N | |
| isChargedWithFelony | YES_NO_TYPE | 1..1 | one of: Y, N | |
| isOrgConvictedOfFelony | YES_NO_TYPE | 1..1 | one of: Y, N | |
| isOrgChargedWithFelony | YES_NO_TYPE | 1..1 | one of: Y, N | |
| isConvictedOfMisdemeanor | YES_NO_TYPE | 1..1 | one of: Y, N | |
| isChargedWithMisdemeanor | YES_NO_TYPE | 1..1 | one of: Y, N | |
| isOrgConvictedOfMisdemeanor | YES_NO_TYPE | 1..1 | one of: Y, N | |
| isOrgChargedWithMisdemeanor | YES_NO_TYPE | 1..1 | one of: Y, N | |
| regulatoryDisclosure | (group: REGULATORY_DISCLOSURE_QUESTION) | 1..1 | ||
| regulatoryDisclosureCommonQuestion | (group: REGULATORY_ACTION_DISCLOSURE) | 1..1 | ||
| isMadeFalseStatement | YES_NO_TYPE | 1..1 | one of: Y, N | |
| isViolatedRegulation | YES_NO_TYPE | 1..1 | one of: Y, N | |
| isCauseOfDenial | YES_NO_TYPE | 1..1 | one of: Y, N | |
| isOrderAgainst | YES_NO_TYPE | 1..1 | one of: Y, N | |
| isImposedPenalty | YES_NO_TYPE | 1..1 | one of: Y, N | |
| isUnEthical | YES_NO_TYPE | 1..1 | one of: Y, N | |
| isFoundInViolationOfRegulation | YES_NO_TYPE | 1..1 | one of: Y, N | |
| isFoundInCauseOfDenial | YES_NO_TYPE | 1..1 | one of: Y, N | |
| isOrderAgainstActivity | YES_NO_TYPE | 1..1 | one of: Y, N | |
| isDeniedLicense | YES_NO_TYPE | 1..1 | one of: Y, N | |
| isFoundMadeFalseStatement | YES_NO_TYPE | 1..1 | one of: Y, N | |
| isFoundInViolationOfRules | YES_NO_TYPE | 1..1 | one of: Y, N | |
| isFoundInCauseOfSuspension | YES_NO_TYPE | 1..1 | one of: Y, N | |
| isDiscipliend | YES_NO_TYPE | 1..1 | one of: Y, N | |
| isAuthorizedToActAttorney | YES_NO_TYPE | 1..1 | one of: Y, N | |
| isRegulatoryComplaint | YES_NO_TYPE | 1..1 | one of: Y, N | |
| isViolatedSecurityAct | YES_NO_TYPE | 1..1 | one of: Y, N | |
| isWillFullyAided | YES_NO_TYPE | 1..1 | one of: Y, N | |
| isFailedToSupervise | YES_NO_TYPE | 1..1 | one of: Y, N | |
| isFoundWillFullyAided | YES_NO_TYPE | 1..1 | one of: Y, N | |
| isAssociationBared | YES_NO_TYPE | 1..1 | one of: Y, N | |
| isFinalOrder | YES_NO_TYPE | 1..1 | one of: Y, N | |
| isWillFullyViolatedSecurityAct | YES_NO_TYPE | 1..1 | one of: Y, N | |
| isFailedResonably | YES_NO_TYPE | 1..1 | one of: Y, N | |
| investigationDisclosure | (group: INVESTIGATION_DISCLOSURE_QUESTION) | 1..1 | ||
| isInvestigated | YES_NO_TYPE | 1..1 | one of: Y, N | |
| civilDisclosure | (group: CIVIL_JUDICIAL_ACTION_DISCLOSURE) | 1..1 | ||
| isEnjoined | YES_NO_TYPE | 1..1 | one of: Y, N | |
| isFoundInViolationOfRegulation | YES_NO_TYPE | 1..1 | one of: Y, N | |
| isDismissed | YES_NO_TYPE | 1..1 | one of: Y, N | |
| isNamedInCivilProceeding | YES_NO_TYPE | 1..1 | one of: Y, N | |
| complaintDisclosure | (group: CUSTOMER_COMPLAINT_DISCLOSURE) | 1..1 | ||
| isComplaintPending | YES_NO_TYPE | 1..1 | one of: Y, N | |
| isComplaintSettled | YES_NO_TYPE | 1..1 | one of: Y, N | |
| isFraudCasePending | YES_NO_TYPE | 1..1 | one of: Y, N | |
| isFraudCaseResultedAward | YES_NO_TYPE | 1..1 | one of: Y, N | |
| isFraudCaseSettled | YES_NO_TYPE | 1..1 | one of: Y, N | |
| terminationDisclosure | (group: TERMINATION_DISCLOSURE) | 1..1 | ||
| isViloatedIndustryStandard | YES_NO_TYPE | 1..1 | one of: Y, N | |
| isInvolvedInFraud | YES_NO_TYPE | 1..1 | one of: Y, N | |
| isFailedToSupervise | YES_NO_TYPE | 1..1 | one of: Y, N | |
| financialDisclosure | (group: FINANCIAL_JUDGEMENT_DISCLOSURE) | 1..1 | ||
| isCompromised | YES_NO_TYPE | 1..1 | one of: Y, N | |
| isBankruptcyPetition | YES_NO_TYPE | 1..1 | one of: Y, N | |
| isTrusteeApointed | YES_NO_TYPE | 1..1 | one of: Y, N | |
| isBondRevoked | YES_NO_TYPE | 1..1 | one of: Y, N | |
| judgmentLienDisclosure | (group: JUDGMENT_LIEN_DISCLOSURE_QUESTION) | 1..1 | ||
| isLienAgainst | YES_NO_TYPE | 1..1 | one of: Y, N | |
| signatureInfo | (group: SIGNATURE_SELF_CERTIFICATION_EXECUTION) | 0..1 | ||
| signature | (group: SIGNATURE_TYPE) | 0..1 | ||
| dateSigned | DATE_TYPE | 0..1 | pattern=\d{1,2}-\d{1,2}-\d{4} | |
| nameOfApplicant | (group: INDIVIDUAL_NAME_TYPE) | 0..1 | ||
| firstName | STRING_50_TYPE | 0..1 | minLength=1; maxLength=50 | |
| middleName | STRING_30_TYPE | 0..1 | minLength=1; maxLength=30 | |
| lastName | STRING_50_TYPE | 0..1 | minLength=1; maxLength=50 | |
| suffix | STRING_10_TYPE | 0..1 | minLength=1; maxLength=10 | |
| signature | ENTITY_NAME_TYPE | 0..1 | minLength=1; maxLength=150; pattern=([A-Za-z0-9\s!\\#$(),.:;=@'\-{}|/&]+) | |
| title | STRING_256_TYPE | 0..1 | minLength=1; maxLength=256 | |
| crdNumber | CRD_NUMBER_TYPE | 0..1 | minLength=1; maxLength=9 | |
| selfCertification | (group: SIGNATURE_SELF_CERTIFICATION_EXECUTION) | 0..1 | ||
| signature | (group: SIGNATURE_TYPE) | 0..1 | ||
| dateSigned | DATE_TYPE | 0..1 | pattern=\d{1,2}-\d{1,2}-\d{4} | |
| nameOfApplicant | (group: INDIVIDUAL_NAME_TYPE) | 0..1 | ||
| firstName | STRING_50_TYPE | 0..1 | minLength=1; maxLength=50 | |
| middleName | STRING_30_TYPE | 0..1 | minLength=1; maxLength=30 | |
| lastName | STRING_50_TYPE | 0..1 | minLength=1; maxLength=50 | |
| suffix | STRING_10_TYPE | 0..1 | minLength=1; maxLength=10 | |
| signature | ENTITY_NAME_TYPE | 0..1 | minLength=1; maxLength=150; pattern=([A-Za-z0-9\s!\\#$(),.:;=@'\-{}|/&]+) | |
| title | STRING_256_TYPE | 0..1 | minLength=1; maxLength=256 | |
| crdNumber | CRD_NUMBER_TYPE | 0..1 | minLength=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..1 | exactly one of the following branches | ||
| add | string | 1*..1 | ||
| amend | string | 1*..1 | ||
| filingInfo | (group: FILED_DRP) | 0..1 | ||
| formADVBDFiling | (group: IARD_CRD_FILING) | 0..1 | ||
| filingName | STRING_256_TYPE | 1..1 | minLength=1; maxLength=256 | |
| crdNumber | CRD_NUMBER_TYPE | 1..1 | minLength=1; maxLength=9 | |
| disclosureNumber | STRING_256_TYPE | 1..1 | minLength=1; maxLength=256 | |
| maFiling | (group: MAI_COMMON_FILING) | 0..1 | ||
| filingName | STRING_256_TYPE | 1..1 | minLength=1; maxLength=256 | |
| registrationNumber | FILE_NUMBER_TYPE | 1..1 | pattern=\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} | |
| filingDate | DATE_TYPE | 1..1 | pattern=\d{1,2}-\d{1,2}-\d{4} | |
| accessionNumber | ACCESSION_NUMBER_TYPE | 1..1 | pattern=[*]{0}|[0-9]{1,10}\-[0-9]{1,2}\-[0-9]{1,6} | |
| maiFiling | (group: MAI_COMMON_FILING) | 0..1 | ||
| filingName | STRING_256_TYPE | 1..1 | minLength=1; maxLength=256 | |
| registrationNumber | FILE_NUMBER_TYPE | 1..1 | pattern=\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} | |
| filingDate | DATE_TYPE | 1..1 | pattern=\d{1,2}-\d{1,2}-\d{4} | |
| accessionNumber | ACCESSION_NUMBER_TYPE | 1..1 | pattern=[*]{0}|[0-9]{1,10}\-[0-9]{1,2}\-[0-9]{1,6} | |
| matFiling | (group: MAT_FILING) | 0..1 | ||
| filingName | STRING_256_TYPE | 1..1 | minLength=1; maxLength=256 | |
| registrationNumber | FILE_NUMBER_TYPE | 1..1 | pattern=\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} | |
| filingDate | DATE_TYPE | 1..1 | pattern=\d{1,2}-\d{1,2}-\d{4} | |
| summary | STRING_10K_TYPE | 0..1 | minLength=1; maxLength=10000 | |
| drpRemovalInfo | (group: APPLICANT_HEADER_INFORMATION) | 0..1 | ||
| isDrpRemovable | YES_NO_TYPE | 0..1 | one of: Y, N | |
| drpRemoveReason | (group: DRP_REMOVE_REASON) | 0..1 | ||
| (choice) | 1..1 | exactly one of the following branches | ||
| isRegistered | string | 1*..1 | ||
| isFiledError | (group: FILEDERROR_10K) | 1*..1 | ||
| explainTheCircumstances | STRING_10K_TYPE | 1..1 | minLength=1; maxLength=10000 | |
| status | (group: EVENT_STATUS_TYPE) | 0..1 | ||
| (choice) | 1..1 | exactly one of the following branches | ||
| pending | string | 1*..1 | ||
| onAppeal | string | 1*..1 | ||
| final | string | 1*..1 | ||
| criminalQuestions | CRIMINAL_DISCLOSURE_QUESTIONS | 1..8 | one 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 | ||
| name | ENTITY_NAME_256_TYPE | 1..1 | minLength=1; maxLength=256; pattern=([\w\s!\\#$(),.:;=@\-{}|/&]+) | |
| isEngagedInMARBusiness | YES_NO_TYPE | 1..1 | one of: Y, N | |
| relationshipToCharged | STRING_10K_TYPE | 1..1 | minLength=1; maxLength=10000 | |
| formalCharges | (group: FORMAL_CHARGES_INFO_YES_NO) | 1..1 | ||
| courtType | (group: CRIMINAL_EVENT_COURT_YES_NO_TYPE) | 1..1 | ||
| (choice) | 1..1 | exactly one of the following branches | ||
| isFederalCourt | YES_NO_TYPE | 1*..1 | one of: Y, N | |
| isMilitaryCourt | YES_NO_TYPE | 1*..1 | one of: Y, N | |
| isStateCourt | YES_NO_TYPE | 1*..1 | one of: Y, N | |
| isForeignCountryCourt | YES_NO_TYPE | 1*..1 | one of: Y, N | |
| isInternationalCourt | YES_NO_TYPE | 1*..1 | one of: Y, N | |
| isOther | YES_NO_TYPE | 1*..1 | one of: Y, N | |
| other | STRING_256_TYPE | 0..1 | minLength=1; maxLength=256 | |
| chargesInfo | (group: FORMAL_CHARGES_DOCKET_INFO) | 1..1 | ||
| courtInfo | (group: CHARGES_WHERE_BROUGHT_IN) | 1..1 | ||
| name | STRING_256_TYPE | 0..1 | minLength=1; maxLength=256 | |
| docketOrCaseNo | STRING_256_TYPE | 1..1 | minLength=1; maxLength=256 | |
| address | (group: ADDRESS_TYPE) | 1..1 | ||
| street1 | STREET_TYPE | 1..1 | minLength=1; maxLength=40 | |
| street2 | STREET_TYPE | 0..1 | minLength=1; maxLength=40 | |
| city | STRING_30_TYPE | 1..1 | minLength=1; maxLength=30 | |
| stateOrCountry | STATE_COUNTRY_CODE | 1..1 | one of 331 codes (AL, AK, AZ, AR, CA, …; full list in the XSD) | |
| zipCode | ZIP_TYPE | 1..1 | minLength=1; maxLength=10; pattern=[0-9A-Za-z #\-]* | |
| docketCaseName | ENTITY_NAME_256_TYPE | 0..1 | minLength=1; maxLength=256; pattern=([\w\s!\\#$(),.:;=@\-{}|/&]+) | |
| eventDisclosureDetail | (group: EVENT_DETAIL_DICLOSURE_CONTAINER) | 1..1 | ||
| eventDetail | (group: EXACT_OR_EXPLANATION_10K) | 1..1 | ||
| date | DATE_TYPE | 0..1 | pattern=\d{1,2}-\d{1,2}-\d{4} | |
| (choice) | 1..1 | exactly one of the following branches | ||
| exact | string | 1*..1 | ||
| explanationInfo | (group: EXPLANATION_INFO_10K) | 1*..1 | ||
| explanation | string | 1..1 | ||
| provideExplanation | STRING_10K_TYPE | 1..1 | minLength=1; maxLength=10000 | |
| chargeDetails | (group: CHARGE_DETAILS) | 1..1 | ||
| chargeDetail | (group: EVENT_DISC_DETAIL_TYPE) | 1..100 | ||
| charge | STRING_10K_TYPE | 1..1 | minLength=1; maxLength=10000 | |
| numberOfCounts | STRING_NUMERIC_3_TYPE | 1..1 | pattern=\d{1,10} | |
| felonyOrMisdemeanor | (group: FELONY_MISDEMEANOR_TYPE) | 1..1 | ||
| (choice) | 1..1 | exactly one of the following branches | ||
| felony | string | 1*..1 | ||
| misdemeanor | string | 1*..1 | ||
| plea | STRING_1K_TYPE | 1..1 | minLength=1; maxLength=1000 | |
| productType | STRING_1K_TYPE | 0..1 | minLength=1; maxLength=1000 | |
| investmentProductType | STRING_1K_TYPE | 0..1 | minLength=1; maxLength=1000 | |
| amendedReducedDate | DATE_TYPE | 0..1 | pattern=\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 | ||
| type | DISPOSITION_TYPES | 1..13 | one 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 | |
| appealType | APPEAL_TYPES | 0..4 | one of: Affirmed, Vacated & Returned For Further Action, Vacated / Final, Other | |
| explanation | STRING_3K_TYPE | 0..1 | minLength=1; maxLength=3000 | |
| date | DATE_TYPE | 1..1 | pattern=\d{1,2}-\d{1,2}-\d{4} | |
| sentencePenaltyType | STRING_3K_TYPE | 0..1 | minLength=1; maxLength=3000 | |
| incarcerationInfo | (group: INCARCERATION_INFORMATION) | 0..1 | ||
| duration | (group: SENTENCE_DURATION_TYPE) | 1..1 | ||
| days | STRING_NUMERIC_3_TYPE | 0..1 | pattern=\d{1,10} | |
| months | STRING_NUMERIC_3_TYPE | 0..1 | pattern=\d{1,10} | |
| years | STRING_NUMERIC_3_TYPE | 0..1 | pattern=\d{1,10} | |
| startDate | (group: DATE_SENTENCE_TYPE) | 1..1 | ||
| (choice) | 1..1 | exactly one of the following branches | ||
| date | DATE_TYPE | 1*..1 | pattern=\d{1,2}-\d{1,2}-\d{4} | |
| notDetermined | string | 1*..1 | ||
| endDate | (group: DATE_SENTENCE_TYPE) | 1..1 | ||
| (choice) | 1..1 | exactly one of the following branches | ||
| date | DATE_TYPE | 1*..1 | pattern=\d{1,2}-\d{1,2}-\d{4} | |
| notDetermined | string | 1*..1 | ||
| concurrentEndDate | DATE_TYPE | 0..1 | pattern=\d{1,2}-\d{1,2}-\d{4} | |
| explanation | STRING_3K_TYPE | 0..1 | minLength=1; maxLength=3000 | |
| monetaryPenalty | (group: MONETARY_PENALTY) | 0..1 | ||
| reducedAmount | DECIMAL_TYPE16_2 | 0..1 | totalDigits=16; fractionDigits=2; minInclusive=0; pattern=\d{0,14}\.\d\d | |
| totalFine | DECIMAL_TYPE16_2_NEGATIVE | 1..1 | totalDigits=18; fractionDigits=2; pattern=[\+\-]?\d{0,16}\.\d\d | |
| paidStatus | (group: MONETARY_PAYMENT_STATUS) | 1..1 | ||
| (choice) | 1..1 | exactly one of the following branches | ||
| paidInFullDate | DATE_TYPE | 1*..1 | pattern=\d{1,2}-\d{1,2}-\d{4} | |
| notPaidInfo | (group: MONETARY_NON_PAYMENT_INFORMATION) | 1*..1 | ||
| amountUNPAID | DECIMAL_TYPE16_2 | 1..1 | totalDigits=16; fractionDigits=2; minInclusive=0; pattern=\d{0,14}\.\d\d | |
| explanation | STRING_3K_TYPE | 1..1 | minLength=1; maxLength=3000 | |
| finalAmount | DECIMAL_TYPE16_2 | 1..1 | totalDigits=16; fractionDigits=2; minInclusive=0; pattern=\d{0,14}\.\d\d | |
| isFelonyCharge | YES_NO_TYPE | 1..1 | one of: Y, N | |
| eventStatusDate | (group: EXACT_OR_EXPLANATION_3K) | 0..1 | ||
| date | DATE_TYPE | 0..1 | pattern=\d{1,2}-\d{1,2}-\d{4} | |
| (choice) | 1..1 | exactly one of the following branches | ||
| exact | string | 1*..1 | ||
| explanationInfo | (group: EXPLANATION_INFO_3K) | 1*..1 | ||
| explanation | string | 1..1 | ||
| provideExplanation | STRING_3K_TYPE | 1..1 | minLength=1; maxLength=3000 | |
| courtInfo | (group: FORMAL_CHARGES_INFO) | 0..1 | ||
| courtType | (group: CRIMINAL_EVENT_COURT) | 1..1 | ||
| court | CRIMINAL_EVENT_COURT_TYPES | 1..1 | one of: Federal Court, Military Court, State Court, Foreign Country Court, International Court, Other | |
| other | STRING_1K_TYPE | 0..1 | minLength=1; maxLength=1000 | |
| chargesInfo | (group: FORMAL_CHARGES_DOCKET_INFO) | 1..1 | ||
| courtInfo | (group: CHARGES_WHERE_BROUGHT_IN) | 1..1 | ||
| name | STRING_256_TYPE | 0..1 | minLength=1; maxLength=256 | |
| docketOrCaseNo | STRING_256_TYPE | 1..1 | minLength=1; maxLength=256 | |
| address | (group: ADDRESS_TYPE) | 1..1 | ||
| street1 | STREET_TYPE | 1..1 | minLength=1; maxLength=40 | |
| street2 | STREET_TYPE | 0..1 | minLength=1; maxLength=40 | |
| city | STRING_30_TYPE | 1..1 | minLength=1; maxLength=30 | |
| stateOrCountry | STATE_COUNTRY_CODE | 1..1 | one of 331 codes (AL, AK, AZ, AR, CA, …; full list in the XSD) | |
| zipCode | ZIP_TYPE | 1..1 | minLength=1; maxLength=10; pattern=[0-9A-Za-z #\-]* | |
| docketCaseName | ENTITY_NAME_256_TYPE | 0..1 | minLength=1; maxLength=256; pattern=([\w\s!\\#$(),.:;=@\-{}|/&]+) | |
| dateAppealFiled | DATE_TYPE | 0..1 | pattern=\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..1 | exactly one of the following branches | ||
| add | string | 1*..1 | ||
| amend | string | 1*..1 | ||
| filingInfo | (group: FILED_DRP) | 0..1 | ||
| formADVBDFiling | (group: IARD_CRD_FILING) | 0..1 | ||
| filingName | STRING_256_TYPE | 1..1 | minLength=1; maxLength=256 | |
| crdNumber | CRD_NUMBER_TYPE | 1..1 | minLength=1; maxLength=9 | |
| disclosureNumber | STRING_256_TYPE | 1..1 | minLength=1; maxLength=256 | |
| maFiling | (group: MAI_COMMON_FILING) | 0..1 | ||
| filingName | STRING_256_TYPE | 1..1 | minLength=1; maxLength=256 | |
| registrationNumber | FILE_NUMBER_TYPE | 1..1 | pattern=\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} | |
| filingDate | DATE_TYPE | 1..1 | pattern=\d{1,2}-\d{1,2}-\d{4} | |
| accessionNumber | ACCESSION_NUMBER_TYPE | 1..1 | pattern=[*]{0}|[0-9]{1,10}\-[0-9]{1,2}\-[0-9]{1,6} | |
| maiFiling | (group: MAI_COMMON_FILING) | 0..1 | ||
| filingName | STRING_256_TYPE | 1..1 | minLength=1; maxLength=256 | |
| registrationNumber | FILE_NUMBER_TYPE | 1..1 | pattern=\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} | |
| filingDate | DATE_TYPE | 1..1 | pattern=\d{1,2}-\d{1,2}-\d{4} | |
| accessionNumber | ACCESSION_NUMBER_TYPE | 1..1 | pattern=[*]{0}|[0-9]{1,10}\-[0-9]{1,2}\-[0-9]{1,6} | |
| matFiling | (group: MAT_FILING) | 0..1 | ||
| filingName | STRING_256_TYPE | 1..1 | minLength=1; maxLength=256 | |
| registrationNumber | FILE_NUMBER_TYPE | 1..1 | pattern=\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} | |
| filingDate | DATE_TYPE | 1..1 | pattern=\d{1,2}-\d{1,2}-\d{4} | |
| summary | STRING_10K_TYPE | 0..1 | minLength=1; maxLength=10000 | |
| drpRemovalInfo | (group: APPLICANT_HEADER_INFORMATION) | 0..1 | ||
| isDrpRemovable | YES_NO_TYPE | 0..1 | one of: Y, N | |
| drpRemoveReason | (group: DRP_REMOVE_REASON) | 0..1 | ||
| (choice) | 1..1 | exactly one of the following branches | ||
| isRegistered | string | 1*..1 | ||
| isFiledError | (group: FILEDERROR_10K) | 1*..1 | ||
| explainTheCircumstances | STRING_10K_TYPE | 1..1 | minLength=1; maxLength=10000 | |
| status | (group: EVENT_STATUS_TYPE) | 0..1 | ||
| (choice) | 1..1 | exactly one of the following branches | ||
| pending | string | 1*..1 | ||
| onAppeal | string | 1*..1 | ||
| final | string | 1*..1 | ||
| regulatoryQuestions | REGULATORY_DISCLOSURE_QUESTIONS | 1..24 | one 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..1 | exactly one of the following branches | ||
| sec | string | 1*..1 | ||
| otherFederalAuthority | string | 1*..1 | ||
| state | string | 1*..1 | ||
| sro | string | 1*..1 | ||
| foreignFRA | string | 1*..1 | ||
| cftc | string | 1*..1 | ||
| federalBankingAgency | string | 1*..1 | ||
| nationalCUAdmin | string | 1*..1 | ||
| other | string | 1*..1 | ||
| other | STRING_256_TYPE | 0..1 | minLength=1; maxLength=256 | |
| name | STRING_256_TYPE | 0..1 | minLength=1; maxLength=256 | |
| sactionsSought | (group: SANCTIONS_TYPE) | 1..1 | ||
| saction | SANCTION_TYPE | 1..18 | 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) | |
| otherExplanation | STRING_3K_TYPE | 0..1 | minLength=1; maxLength=3000 | |
| dateInitiated | (group: EXACT_OR_EXPLANATION_1K) | 1..1 | ||
| date | DATE_TYPE | 0..1 | pattern=\d{1,2}-\d{1,2}-\d{4} | |
| (choice) | 1..1 | exactly one of the following branches | ||
| exact | string | 1*..1 | ||
| explanationInfo | (group: EXPLANATION_INFO_1K) | 1*..1 | ||
| explanation | string | 1..1 | ||
| provideExplanation | STRING_1K_TYPE | 1..1 | minLength=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 | ||
| name | STRING_256_TYPE | 0..1 | minLength=1; maxLength=256 | |
| docketOrCaseNo | STRING_256_TYPE | 1..1 | minLength=1; maxLength=256 | |
| address | (group: ADDRESS_TYPE) | 1..1 | ||
| street1 | STREET_TYPE | 1..1 | minLength=1; maxLength=40 | |
| street2 | STREET_TYPE | 0..1 | minLength=1; maxLength=40 | |
| city | STRING_30_TYPE | 1..1 | minLength=1; maxLength=30 | |
| stateOrCountry | STATE_COUNTRY_CODE | 1..1 | one of 331 codes (AL, AK, AZ, AR, CA, …; full list in the XSD) | |
| zipCode | ZIP_TYPE | 1..1 | minLength=1; maxLength=10; pattern=[0-9A-Za-z #\-]* | |
| docketCaseName | ENTITY_NAME_256_TYPE | 0..1 | minLength=1; maxLength=256; pattern=([\w\s!\\#$(),.:;=@\-{}|/&]+) | |
| matterInformation | (group: JUDICIAL_REG_CUST_COMMON_INFO) | 1..1 | ||
| employingFirmInfo | (group: EMPLOYING_FIRM_INFO) | 1..1 | ||
| name | STRING_256_TYPE | 1..1 | minLength=1; maxLength=256 | |
| registrationNumber | FILE_NUMBER_TYPE | 0..1 | pattern=\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} | |
| crdNumber | CRD_NUMBER_TYPE | 0..1 | minLength=1; maxLength=9 | |
| principalProductTypes | (group: PRINCIPAL_PRODUCT_TYPES) | 1..1 | ||
| product | PRINCIPAL_PRODUCT_TYPE | 1..35 | PRINCIPAL_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) | |
| productOther | STRING_1K_TYPE | 0..1 | minLength=1; maxLength=1000 | |
| otherProductTypes | STRING_1K_TYPE | 0..1 | minLength=1; maxLength=1000 | |
| allegationsDescription | STRING_10K_TYPE | 1..1 | minLength=1; maxLength=10000 | |
| pendingInformation | (group: PENDING_INFORMATION) | 0..1 | ||
| servedInformation | (group: EXACT_OR_EXPLANATION_1K) | 1..1 | ||
| date | DATE_TYPE | 0..1 | pattern=\d{1,2}-\d{1,2}-\d{4} | |
| (choice) | 1..1 | exactly one of the following branches | ||
| exact | string | 1*..1 | ||
| explanationInfo | (group: EXPLANATION_INFO_1K) | 1*..1 | ||
| explanation | string | 1..1 | ||
| provideExplanation | STRING_1K_TYPE | 1..1 | minLength=1; maxLength=1000 | |
| limitationsRestrictions | (group: LIMITATIONS_RESTRICTIONS_TYPE) | 1..1 | ||
| hasLimitationsOrRestrictions | YES_NO_TYPE | 1..1 | one of: Y, N | |
| details | STRING_1K_TYPE | 0..1 | minLength=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 | ||
| name | STRING_256_TYPE | 0..1 | minLength=1; maxLength=256 | |
| docketOrCaseNo | STRING_256_TYPE | 1..1 | minLength=1; maxLength=256 | |
| address | (group: ADDRESS_TYPE) | 1..1 | ||
| street1 | STREET_TYPE | 1..1 | minLength=1; maxLength=40 | |
| street2 | STREET_TYPE | 0..1 | minLength=1; maxLength=40 | |
| city | STRING_30_TYPE | 1..1 | minLength=1; maxLength=30 | |
| stateOrCountry | STATE_COUNTRY_CODE | 1..1 | one of 331 codes (AL, AK, AZ, AR, CA, …; full list in the XSD) | |
| zipCode | ZIP_TYPE | 1..1 | minLength=1; maxLength=10; pattern=[0-9A-Za-z #\-]* | |
| docketCaseName | ENTITY_NAME_256_TYPE | 0..1 | minLength=1; maxLength=256; pattern=([\w\s!\\#$(),.:;=@\-{}|/&]+) | |
| dateInformation | (group: EXACT_OR_EXPLANATION_1K) | 0..1 | ||
| date | DATE_TYPE | 0..1 | pattern=\d{1,2}-\d{1,2}-\d{4} | |
| (choice) | 1..1 | exactly one of the following branches | ||
| exact | string | 1*..1 | ||
| explanationInfo | (group: EXPLANATION_INFO_1K) | 1*..1 | ||
| explanation | string | 1..1 | ||
| provideExplanation | STRING_1K_TYPE | 1..1 | minLength=1; maxLength=1000 | |
| details | STRING_10K_TYPE | 0..1 | minLength=1; maxLength=10000 | |
| limitationsRestrictions | (group: LIMITATIONS_RESTRICTIONS_TYPE) | 0..1 | ||
| hasLimitationsOrRestrictions | YES_NO_TYPE | 1..1 | one of: Y, N | |
| details | STRING_1K_TYPE | 0..1 | minLength=1; maxLength=1000 | |
| resolutionDetail | (group: RESOLUTION_DETAIL) | 0..1 | ||
| sactionsOrdered | (group: SANCTIONS_TYPE) | 1..1 | ||
| saction | SANCTION_TYPE | 1..18 | 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) | |
| otherExplanation | STRING_3K_TYPE | 0..1 | minLength=1; maxLength=3000 | |
| amountOrdered | DECIMAL_TYPE16_2 | 0..1 | totalDigits=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..1 | exactly one of the following branches | ||
| permanent | string | 0..1 | ||
| durationTime | (group: SENTENCE_DURATION_TYPE) | 0..1 | ||
| days | STRING_NUMERIC_3_TYPE | 0..1 | pattern=\d{1,10} | |
| months | STRING_NUMERIC_3_TYPE | 0..1 | pattern=\d{1,10} | |
| years | STRING_NUMERIC_3_TYPE | 0..1 | pattern=\d{1,10} | |
| startDate | (group: EXACT_OR_EXPLANATION_3K) | 1..1 | ||
| date | DATE_TYPE | 0..1 | pattern=\d{1,2}-\d{1,2}-\d{4} | |
| (choice) | 1..1 | exactly one of the following branches | ||
| exact | string | 1*..1 | ||
| explanationInfo | (group: EXPLANATION_INFO_3K) | 1*..1 | ||
| explanation | string | 1..1 | ||
| provideExplanation | STRING_3K_TYPE | 1..1 | minLength=1; maxLength=3000 | |
| endDate | (group: EXACT_OR_EXPLANATION_3K) | 0..1 | ||
| date | DATE_TYPE | 0..1 | pattern=\d{1,2}-\d{1,2}-\d{4} | |
| (choice) | 1..1 | exactly one of the following branches | ||
| exact | string | 1*..1 | ||
| explanationInfo | (group: EXPLANATION_INFO_3K) | 1*..1 | ||
| explanation | string | 1..1 | ||
| provideExplanation | STRING_3K_TYPE | 1..1 | minLength=1; maxLength=3000 | |
| description | STRING_3K_TYPE | 0..1 | minLength=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..1 | exactly one of the following branches | ||
| permanent | string | 0..1 | ||
| durationTime | (group: SENTENCE_DURATION_TYPE) | 0..1 | ||
| days | STRING_NUMERIC_3_TYPE | 0..1 | pattern=\d{1,10} | |
| months | STRING_NUMERIC_3_TYPE | 0..1 | pattern=\d{1,10} | |
| years | STRING_NUMERIC_3_TYPE | 0..1 | pattern=\d{1,10} | |
| startDate | (group: EXACT_OR_EXPLANATION_3K) | 1..1 | ||
| date | DATE_TYPE | 0..1 | pattern=\d{1,2}-\d{1,2}-\d{4} | |
| (choice) | 1..1 | exactly one of the following branches | ||
| exact | string | 1*..1 | ||
| explanationInfo | (group: EXPLANATION_INFO_3K) | 1*..1 | ||
| explanation | string | 1..1 | ||
| provideExplanation | STRING_3K_TYPE | 1..1 | minLength=1; maxLength=3000 | |
| endDate | (group: EXACT_OR_EXPLANATION_3K) | 0..1 | ||
| date | DATE_TYPE | 0..1 | pattern=\d{1,2}-\d{1,2}-\d{4} | |
| (choice) | 1..1 | exactly one of the following branches | ||
| exact | string | 1*..1 | ||
| explanationInfo | (group: EXPLANATION_INFO_3K) | 1*..1 | ||
| explanation | string | 1..1 | ||
| provideExplanation | STRING_3K_TYPE | 1..1 | minLength=1; maxLength=3000 | |
| description | STRING_3K_TYPE | 0..1 | minLength=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..1 | exactly one of the following branches | ||
| permanent | string | 0..1 | ||
| durationTime | (group: SENTENCE_DURATION_TYPE) | 0..1 | ||
| days | STRING_NUMERIC_3_TYPE | 0..1 | pattern=\d{1,10} | |
| months | STRING_NUMERIC_3_TYPE | 0..1 | pattern=\d{1,10} | |
| years | STRING_NUMERIC_3_TYPE | 0..1 | pattern=\d{1,10} | |
| startDate | (group: EXACT_OR_EXPLANATION_3K) | 1..1 | ||
| date | DATE_TYPE | 0..1 | pattern=\d{1,2}-\d{1,2}-\d{4} | |
| (choice) | 1..1 | exactly one of the following branches | ||
| exact | string | 1*..1 | ||
| explanationInfo | (group: EXPLANATION_INFO_3K) | 1*..1 | ||
| explanation | string | 1..1 | ||
| provideExplanation | STRING_3K_TYPE | 1..1 | minLength=1; maxLength=3000 | |
| endDate | (group: EXACT_OR_EXPLANATION_3K) | 0..1 | ||
| date | DATE_TYPE | 0..1 | pattern=\d{1,2}-\d{1,2}-\d{4} | |
| (choice) | 1..1 | exactly one of the following branches | ||
| exact | string | 1*..1 | ||
| explanationInfo | (group: EXPLANATION_INFO_3K) | 1*..1 | ||
| explanation | string | 1..1 | ||
| provideExplanation | STRING_3K_TYPE | 1..1 | minLength=1; maxLength=3000 | |
| description | STRING_3K_TYPE | 0..1 | minLength=1; maxLength=3000 | |
| isReqaulificationRequired | YES_NO_TYPE | 0..1 | one of: Y, N | |
| requalificationDetails | (group: SANCTION_REQUALIFICATION_INFORMATION) | 0..1 | ||
| timeToReqaulifyRetrain | (group: REQUALIFY_DURATION_INFORMATION_TYPE) | 1..1 | ||
| (choice) | 1..1 | exactly one of the following branches | ||
| noTimePeriodSpecified | string | 1*..1 | ||
| durationTime | (group: SENTENCE_DURATION_TYPE) | 1*..1 | ||
| days | STRING_NUMERIC_3_TYPE | 0..1 | pattern=\d{1,10} | |
| months | STRING_NUMERIC_3_TYPE | 0..1 | pattern=\d{1,10} | |
| years | STRING_NUMERIC_3_TYPE | 0..1 | pattern=\d{1,10} | |
| typeRequired | STRING_1K_TYPE | 1..1 | minLength=1; maxLength=1000 | |
| conditionState | (group: CONDITION_STATE_10K) | 1..1 | ||
| (choice) | 1..1 | exactly one of the following branches | ||
| satisfied | (group: CONDITION_STATE_SATISFIED) | 1*..1 | ||
| satisfied | string | 1..1 | ||
| satisfiedDate | DATE_TYPE | 1..1 | pattern=\d{1,2}-\d{1,2}-\d{4} | |
| notSatisfied | (group: CONDITION_STATE_NOT_SATISFIED_1K) | 1*..1 | ||
| satisfied | string | 1..1 | ||
| explanation | STRING_1K_TYPE | 1..1 | minLength=1; maxLength=1000 | |
| monetarySanctions | (group: MONETARY_SANCTION) | 0..1 | ||
| totalAmountOrdered | DECIMAL_TYPE16_2 | 0..1 | totalDigits=16; fractionDigits=2; minInclusive=0; pattern=\d{0,14}\.\d\d | |
| amountOrdered | DECIMAL_TYPE16_2 | 0..1 | totalDigits=16; fractionDigits=2; minInclusive=0; pattern=\d{0,14}\.\d\d | |
| waivedPortion | DECIMAL_TYPE16_2 | 0..1 | totalDigits=16; fractionDigits=2; minInclusive=0; pattern=\d{0,14}\.\d\d | |
| finalAmount | DECIMAL_TYPE16_2_NEGATIVE | 0..1 | totalDigits=18; fractionDigits=2; pattern=[\+\-]?\d{0,16}\.\d\d | |
| paymentState | (group: AMOUNT_PAID_STATE) | 0..1 | ||
| (choice) | 1..1 | exactly one of the following branches | ||
| paidInFull | (group: AMOUNT_PAID_IN_FULL) | 1*..1 | ||
| amountPaidInFull | string | 1..1 | ||
| paidDate | DATE_TYPE | 1..1 | pattern=\d{1,2}-\d{1,2}-\d{4} | |
| notPaidInFull | (group: AMOUNT_NOT_PAID_IN_FULL_TYPE) | 1*..1 | ||
| amountNotPaidInFull | string | 1..1 | ||
| explanation | STRING_1K_TYPE | 1..1 | minLength=1; maxLength=1000 | |
| resolutionMatterInfo | (group: MATTER_RESOLVE_TYPE_CONTAINER) | 0..1 | ||
| type | MATTER_RESOLVED_TYPE | 1..12 | one 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 | |
| appealType | MATTER_APPEAL_TYPE | 0..5 | one of: Affirmed, Vacated Nunc Pro Tunc / ab initio, Vacated & Returned For Further Action, Vacated / Final, Other (requires explanation) | |
| explanation | STRING_10K_TYPE | 0..1 | minLength=1; maxLength=10000 | |
| isFinalOrder | YES_NO_TYPE | 0..1 | one of: Y, N | |
| resolutionDate | (group: EXACT_OR_EXPLANATION_1K) | 1..1 | ||
| date | DATE_TYPE | 0..1 | pattern=\d{1,2}-\d{1,2}-\d{4} | |
| (choice) | 1..1 | exactly one of the following branches | ||
| exact | string | 1*..1 | ||
| explanationInfo | (group: EXPLANATION_INFO_1K) | 1*..1 | ||
| explanation | string | 1..1 | ||
| provideExplanation | STRING_1K_TYPE | 1..1 | minLength=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..1 | exactly one of the following branches | ||
| add | string | 1*..1 | ||
| amend | string | 1*..1 | ||
| filingInfo | (group: FILED_DRP) | 0..1 | ||
| formADVBDFiling | (group: IARD_CRD_FILING) | 0..1 | ||
| filingName | STRING_256_TYPE | 1..1 | minLength=1; maxLength=256 | |
| crdNumber | CRD_NUMBER_TYPE | 1..1 | minLength=1; maxLength=9 | |
| disclosureNumber | STRING_256_TYPE | 1..1 | minLength=1; maxLength=256 | |
| maFiling | (group: MAI_COMMON_FILING) | 0..1 | ||
| filingName | STRING_256_TYPE | 1..1 | minLength=1; maxLength=256 | |
| registrationNumber | FILE_NUMBER_TYPE | 1..1 | pattern=\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} | |
| filingDate | DATE_TYPE | 1..1 | pattern=\d{1,2}-\d{1,2}-\d{4} | |
| accessionNumber | ACCESSION_NUMBER_TYPE | 1..1 | pattern=[*]{0}|[0-9]{1,10}\-[0-9]{1,2}\-[0-9]{1,6} | |
| maiFiling | (group: MAI_COMMON_FILING) | 0..1 | ||
| filingName | STRING_256_TYPE | 1..1 | minLength=1; maxLength=256 | |
| registrationNumber | FILE_NUMBER_TYPE | 1..1 | pattern=\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} | |
| filingDate | DATE_TYPE | 1..1 | pattern=\d{1,2}-\d{1,2}-\d{4} | |
| accessionNumber | ACCESSION_NUMBER_TYPE | 1..1 | pattern=[*]{0}|[0-9]{1,10}\-[0-9]{1,2}\-[0-9]{1,6} | |
| matFiling | (group: MAT_FILING) | 0..1 | ||
| filingName | STRING_256_TYPE | 1..1 | minLength=1; maxLength=256 | |
| registrationNumber | FILE_NUMBER_TYPE | 1..1 | pattern=\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} | |
| filingDate | DATE_TYPE | 1..1 | pattern=\d{1,2}-\d{1,2}-\d{4} | |
| summary | STRING_10K_TYPE | 0..1 | minLength=1; maxLength=10000 | |
| drpRemovalInfo | (group: APPLICANT_HEADER_INFORMATION) | 0..1 | ||
| isDrpRemovable | YES_NO_TYPE | 0..1 | one of: Y, N | |
| drpRemoveReason | (group: DRP_REMOVE_REASON) | 0..1 | ||
| (choice) | 1..1 | exactly one of the following branches | ||
| isRegistered | string | 1*..1 | ||
| isFiledError | (group: FILEDERROR_10K) | 1*..1 | ||
| explainTheCircumstances | STRING_10K_TYPE | 1..1 | minLength=1; maxLength=10000 | |
| status | (group: EVENT_STATUS_TYPE) | 0..1 | ||
| (choice) | 1..1 | exactly one of the following branches | ||
| pending | string | 1*..1 | ||
| onAppeal | string | 1*..1 | ||
| final | string | 1*..1 | ||
| investigationQuestions | INVESTIGATION_DISCLOSURE_QUESTIONS | 0..6 | one of: 6G(2), 6A, 6B, 6C, 6D, 6E | |
| drpData | (group: INVESTIGATION_DRP_DATA) | 0..1 | ||
| crimeInvestigationInfo | (group: CRIMINAL_EVENT_COURT) | 0..1 | ||
| court | CRIMINAL_EVENT_COURT_TYPES | 1..1 | one of: Federal Court, Military Court, State Court, Foreign Country Court, International Court, Other | |
| other | STRING_1K_TYPE | 0..1 | minLength=1; maxLength=1000 | |
| regulatoryInfo | (group: REGULATORY_ACTION_INITIATED_BY_TYPES) | 0..1 | ||
| initiator | (group: REGULATORY_ACTION_INITIATED_BY_TYPE) | 1..1 | ||
| (choice) | 1..1 | exactly one of the following branches | ||
| sec | string | 1*..1 | ||
| cftc | string | 1*..1 | ||
| otherFederalAuthority | string | 1*..1 | ||
| state | string | 1*..1 | ||
| sro | string | 1*..1 | ||
| foreignFRA | string | 1*..1 | ||
| otherForeignAuthority | string | 1*..1 | ||
| other | string | 1*..1 | ||
| other | STRING_256_TYPE | 0..1 | minLength=1; maxLength=256 | |
| authorityName | STRING_256_TYPE | 0..1 | minLength=1; maxLength=256 | |
| noticeDate | (group: EXACT_OR_EXPLANATION_1K) | 0..1 | ||
| date | DATE_TYPE | 0..1 | pattern=\d{1,2}-\d{1,2}-\d{4} | |
| (choice) | 1..1 | exactly one of the following branches | ||
| exact | string | 1*..1 | ||
| explanationInfo | (group: EXPLANATION_INFO_1K) | 1*..1 | ||
| explanation | string | 1..1 | ||
| provideExplanation | STRING_1K_TYPE | 1..1 | minLength=1; maxLength=1000 | |
| investigationNature | STRING_10K_TYPE | 0..1 | minLength=1; maxLength=10000 | |
| productType | (group: PRINCIPAL_PRODUCT_TYPES) | 1..1 | ||
| product | PRINCIPAL_PRODUCT_TYPE | 1..35 | PRINCIPAL_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) | |
| productOther | STRING_1K_TYPE | 0..1 | minLength=1; maxLength=1000 | |
| caseClosedDate | (group: EXACT_OR_EXPLANATION_3K) | 0..1 | ||
| date | DATE_TYPE | 0..1 | pattern=\d{1,2}-\d{1,2}-\d{4} | |
| (choice) | 1..1 | exactly one of the following branches | ||
| exact | string | 1*..1 | ||
| explanationInfo | (group: EXPLANATION_INFO_3K) | 1*..1 | ||
| explanation | string | 1..1 | ||
| provideExplanation | STRING_3K_TYPE | 1..1 | minLength=1; maxLength=3000 | |
| investigationResolvedInfo | (group: INVESTIGATION_RESOLVED) | 0..1 | ||
| resolvedTypes | INVESTIGATION_RESOLVED_TYPE | 1..1 | one of: Closed Without Further Action, Closed - Regulatory Action Initiated, Other (Explain) | |
| reason | STRING_10K_TYPE | 0..1 | minLength=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..1 | exactly one of the following branches | ||
| add | string | 1*..1 | ||
| amend | string | 1*..1 | ||
| filingInfo | (group: FILED_DRP) | 0..1 | ||
| formADVBDFiling | (group: IARD_CRD_FILING) | 0..1 | ||
| filingName | STRING_256_TYPE | 1..1 | minLength=1; maxLength=256 | |
| crdNumber | CRD_NUMBER_TYPE | 1..1 | minLength=1; maxLength=9 | |
| disclosureNumber | STRING_256_TYPE | 1..1 | minLength=1; maxLength=256 | |
| maFiling | (group: MAI_COMMON_FILING) | 0..1 | ||
| filingName | STRING_256_TYPE | 1..1 | minLength=1; maxLength=256 | |
| registrationNumber | FILE_NUMBER_TYPE | 1..1 | pattern=\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} | |
| filingDate | DATE_TYPE | 1..1 | pattern=\d{1,2}-\d{1,2}-\d{4} | |
| accessionNumber | ACCESSION_NUMBER_TYPE | 1..1 | pattern=[*]{0}|[0-9]{1,10}\-[0-9]{1,2}\-[0-9]{1,6} | |
| maiFiling | (group: MAI_COMMON_FILING) | 0..1 | ||
| filingName | STRING_256_TYPE | 1..1 | minLength=1; maxLength=256 | |
| registrationNumber | FILE_NUMBER_TYPE | 1..1 | pattern=\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} | |
| filingDate | DATE_TYPE | 1..1 | pattern=\d{1,2}-\d{1,2}-\d{4} | |
| accessionNumber | ACCESSION_NUMBER_TYPE | 1..1 | pattern=[*]{0}|[0-9]{1,10}\-[0-9]{1,2}\-[0-9]{1,6} | |
| matFiling | (group: MAT_FILING) | 0..1 | ||
| filingName | STRING_256_TYPE | 1..1 | minLength=1; maxLength=256 | |
| registrationNumber | FILE_NUMBER_TYPE | 1..1 | pattern=\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} | |
| filingDate | DATE_TYPE | 1..1 | pattern=\d{1,2}-\d{1,2}-\d{4} | |
| summary | STRING_10K_TYPE | 0..1 | minLength=1; maxLength=10000 | |
| drpRemovalInfo | (group: APPLICANT_HEADER_INFORMATION) | 0..1 | ||
| isDrpRemovable | YES_NO_TYPE | 0..1 | one of: Y, N | |
| drpRemoveReason | (group: DRP_REMOVE_REASON) | 0..1 | ||
| (choice) | 1..1 | exactly one of the following branches | ||
| isRegistered | string | 1*..1 | ||
| isFiledError | (group: FILEDERROR_10K) | 1*..1 | ||
| explainTheCircumstances | STRING_10K_TYPE | 1..1 | minLength=1; maxLength=10000 | |
| status | (group: EVENT_STATUS_TYPE) | 0..1 | ||
| (choice) | 1..1 | exactly one of the following branches | ||
| pending | string | 1*..1 | ||
| onAppeal | string | 1*..1 | ||
| final | string | 1*..1 | ||
| terminationQuestions | TERMINATION_DISCLOSURE_QUESTIONS | 1..3 | one of: 6J(1), 6J(2), 6J(3) | |
| drpData | (group: TERMINATION_DRP_DATA) | 0..1 | ||
| firmInfo | (group: EMPLOYING_FIRM_INFO) | 1..1 | ||
| name | STRING_256_TYPE | 1..1 | minLength=1; maxLength=256 | |
| registrationNumber | FILE_NUMBER_TYPE | 0..1 | pattern=\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} | |
| crdNumber | CRD_NUMBER_TYPE | 0..1 | minLength=1; maxLength=9 | |
| terminationType | TERMINATION_TYPE | 1..1 | one of: Discharged, Permited to Resign, Voluntary Resignation | |
| terminationDate | (group: EXACT_OR_EXPLANATION_3K) | 1..1 | ||
| date | DATE_TYPE | 0..1 | pattern=\d{1,2}-\d{1,2}-\d{4} | |
| (choice) | 1..1 | exactly one of the following branches | ||
| exact | string | 1*..1 | ||
| explanationInfo | (group: EXPLANATION_INFO_3K) | 1*..1 | ||
| explanation | string | 1..1 | ||
| provideExplanation | STRING_3K_TYPE | 1..1 | minLength=1; maxLength=3000 | |
| allegation | STRING_10K_TYPE | 1..1 | minLength=1; maxLength=10000 | |
| productType | (group: PRINCIPAL_PRODUCT_TYPES) | 1..1 | ||
| product | PRINCIPAL_PRODUCT_TYPE | 1..35 | PRINCIPAL_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) | |
| productOther | STRING_1K_TYPE | 0..1 | minLength=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..1 | exactly one of the following branches | ||
| add | string | 1*..1 | ||
| amend | string | 1*..1 | ||
| filingInfo | (group: FILED_DRP) | 0..1 | ||
| formADVBDFiling | (group: IARD_CRD_FILING) | 0..1 | ||
| filingName | STRING_256_TYPE | 1..1 | minLength=1; maxLength=256 | |
| crdNumber | CRD_NUMBER_TYPE | 1..1 | minLength=1; maxLength=9 | |
| disclosureNumber | STRING_256_TYPE | 1..1 | minLength=1; maxLength=256 | |
| maFiling | (group: MAI_COMMON_FILING) | 0..1 | ||
| filingName | STRING_256_TYPE | 1..1 | minLength=1; maxLength=256 | |
| registrationNumber | FILE_NUMBER_TYPE | 1..1 | pattern=\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} | |
| filingDate | DATE_TYPE | 1..1 | pattern=\d{1,2}-\d{1,2}-\d{4} | |
| accessionNumber | ACCESSION_NUMBER_TYPE | 1..1 | pattern=[*]{0}|[0-9]{1,10}\-[0-9]{1,2}\-[0-9]{1,6} | |
| maiFiling | (group: MAI_COMMON_FILING) | 0..1 | ||
| filingName | STRING_256_TYPE | 1..1 | minLength=1; maxLength=256 | |
| registrationNumber | FILE_NUMBER_TYPE | 1..1 | pattern=\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} | |
| filingDate | DATE_TYPE | 1..1 | pattern=\d{1,2}-\d{1,2}-\d{4} | |
| accessionNumber | ACCESSION_NUMBER_TYPE | 1..1 | pattern=[*]{0}|[0-9]{1,10}\-[0-9]{1,2}\-[0-9]{1,6} | |
| matFiling | (group: MAT_FILING) | 0..1 | ||
| filingName | STRING_256_TYPE | 1..1 | minLength=1; maxLength=256 | |
| registrationNumber | FILE_NUMBER_TYPE | 1..1 | pattern=\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} | |
| filingDate | DATE_TYPE | 1..1 | pattern=\d{1,2}-\d{1,2}-\d{4} | |
| summary | STRING_10K_TYPE | 0..1 | minLength=1; maxLength=10000 | |
| drpRemovalInfo | (group: APPLICANT_HEADER_INFORMATION) | 0..1 | ||
| isDrpRemovable | YES_NO_TYPE | 0..1 | one of: Y, N | |
| drpRemoveReason | (group: DRP_REMOVE_REASON) | 0..1 | ||
| (choice) | 1..1 | exactly one of the following branches | ||
| isRegistered | string | 1*..1 | ||
| isFiledError | (group: FILEDERROR_10K) | 1*..1 | ||
| explainTheCircumstances | STRING_10K_TYPE | 1..1 | minLength=1; maxLength=10000 | |
| status | (group: EVENT_STATUS_TYPE) | 0..1 | ||
| (choice) | 1..1 | exactly one of the following branches | ||
| pending | string | 1*..1 | ||
| onAppeal | string | 1*..1 | ||
| final | string | 1*..1 | ||
| judgementQuestions | JUDGEMENT_LIEN_DISCLOSURE_QUESTIONS | 1..1 | one of: 6M | |
| drpData | (group: JUDGEMENT_LIEN_DRP_DATA) | 0..1 | ||
| judgementOrLienAmout | DECIMAL_TYPE16_2 | 1..1 | totalDigits=16; fractionDigits=2; minInclusive=0; pattern=\d{0,14}\.\d\d | |
| judgementOrLienHolder | ENTITY_NAME_256_TYPE | 1..1 | minLength=1; maxLength=256; pattern=([\w\s!\\#$(),.:;=@\-{}|/&]+) | |
| judegmentOrLienType | LIEN_TYPE | 1..2 | one of: Civil, Tax | |
| dateFiled | (group: EXACT_OR_EXPLANATION_1K) | 1..1 | ||
| date | DATE_TYPE | 0..1 | pattern=\d{1,2}-\d{1,2}-\d{4} | |
| (choice) | 1..1 | exactly one of the following branches | ||
| exact | string | 1*..1 | ||
| explanationInfo | (group: EXPLANATION_INFO_1K) | 1*..1 | ||
| explanation | string | 1..1 | ||
| provideExplanation | STRING_1K_TYPE | 1..1 | minLength=1; maxLength=1000 | |
| courtInfo | (group: CRIMINAL_EVENT_COURT) | 1..1 | ||
| court | CRIMINAL_EVENT_COURT_TYPES | 1..1 | one of: Federal Court, Military Court, State Court, Foreign Country Court, International Court, Other | |
| other | STRING_1K_TYPE | 0..1 | minLength=1; maxLength=1000 | |
| courtDetail | (group: CHARGES_EXACT_COMMON) | 1..1 | ||
| detail | (group: FORMAL_CHARGES_DOCKET_INFO) | 1..1 | ||
| courtInfo | (group: CHARGES_WHERE_BROUGHT_IN) | 1..1 | ||
| name | STRING_256_TYPE | 0..1 | minLength=1; maxLength=256 | |
| docketOrCaseNo | STRING_256_TYPE | 1..1 | minLength=1; maxLength=256 | |
| address | (group: ADDRESS_TYPE) | 1..1 | ||
| street1 | STREET_TYPE | 1..1 | minLength=1; maxLength=40 | |
| street2 | STREET_TYPE | 0..1 | minLength=1; maxLength=40 | |
| city | STRING_30_TYPE | 1..1 | minLength=1; maxLength=30 | |
| stateOrCountry | STATE_COUNTRY_CODE | 1..1 | one of 331 codes (AL, AK, AZ, AR, CA, …; full list in the XSD) | |
| zipCode | ZIP_TYPE | 1..1 | minLength=1; maxLength=10; pattern=[0-9A-Za-z #\-]* | |
| docketCaseName | ENTITY_NAME_256_TYPE | 0..1 | minLength=1; maxLength=256; pattern=([\w\s!\\#$(),.:;=@\-{}|/&]+) | |
| date | (group: EXACT_OR_EXPLANATION_1K) | 0..1 | ||
| date | DATE_TYPE | 0..1 | pattern=\d{1,2}-\d{1,2}-\d{4} | |
| (choice) | 1..1 | exactly one of the following branches | ||
| exact | string | 1*..1 | ||
| explanationInfo | (group: EXPLANATION_INFO_1K) | 1*..1 | ||
| explanation | string | 1..1 | ||
| provideExplanation | STRING_1K_TYPE | 1..1 | minLength=1; maxLength=1000 | |
| matterResolved | LIEN_RESOLVED_OPTION_TYPE | 0..1 | LIEN_RESOLVED_TYPE (one of: Discharged, Released, Removed, Satisfied) or LIEN_RESOLVED_TYPE_EXTENDED (one of: Other) | |
| matterResolvedExplanation | STRING_3K_TYPE | 0..1 | minLength=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..1 | exactly one of the following branches | ||
| add | string | 1*..1 | ||
| amend | string | 1*..1 | ||
| filingInfo | (group: FILED_DRP) | 0..1 | ||
| formADVBDFiling | (group: IARD_CRD_FILING) | 0..1 | ||
| filingName | STRING_256_TYPE | 1..1 | minLength=1; maxLength=256 | |
| crdNumber | CRD_NUMBER_TYPE | 1..1 | minLength=1; maxLength=9 | |
| disclosureNumber | STRING_256_TYPE | 1..1 | minLength=1; maxLength=256 | |
| maFiling | (group: MAI_COMMON_FILING) | 0..1 | ||
| filingName | STRING_256_TYPE | 1..1 | minLength=1; maxLength=256 | |
| registrationNumber | FILE_NUMBER_TYPE | 1..1 | pattern=\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} | |
| filingDate | DATE_TYPE | 1..1 | pattern=\d{1,2}-\d{1,2}-\d{4} | |
| accessionNumber | ACCESSION_NUMBER_TYPE | 1..1 | pattern=[*]{0}|[0-9]{1,10}\-[0-9]{1,2}\-[0-9]{1,6} | |
| maiFiling | (group: MAI_COMMON_FILING) | 0..1 | ||
| filingName | STRING_256_TYPE | 1..1 | minLength=1; maxLength=256 | |
| registrationNumber | FILE_NUMBER_TYPE | 1..1 | pattern=\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} | |
| filingDate | DATE_TYPE | 1..1 | pattern=\d{1,2}-\d{1,2}-\d{4} | |
| accessionNumber | ACCESSION_NUMBER_TYPE | 1..1 | pattern=[*]{0}|[0-9]{1,10}\-[0-9]{1,2}\-[0-9]{1,6} | |
| matFiling | (group: MAT_FILING) | 0..1 | ||
| filingName | STRING_256_TYPE | 1..1 | minLength=1; maxLength=256 | |
| registrationNumber | FILE_NUMBER_TYPE | 1..1 | pattern=\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} | |
| filingDate | DATE_TYPE | 1..1 | pattern=\d{1,2}-\d{1,2}-\d{4} | |
| summary | STRING_10K_TYPE | 0..1 | minLength=1; maxLength=10000 | |
| drpRemovalInfo | (group: APPLICANT_HEADER_INFORMATION) | 0..1 | ||
| isDrpRemovable | YES_NO_TYPE | 0..1 | one of: Y, N | |
| drpRemoveReason | (group: DRP_REMOVE_REASON) | 0..1 | ||
| (choice) | 1..1 | exactly one of the following branches | ||
| isRegistered | string | 1*..1 | ||
| isFiledError | (group: FILEDERROR_10K) | 1*..1 | ||
| explainTheCircumstances | STRING_10K_TYPE | 1..1 | minLength=1; maxLength=10000 | |
| status | (group: EVENT_STATUS_TYPE) | 0..1 | ||
| (choice) | 1..1 | exactly one of the following branches | ||
| pending | string | 1*..1 | ||
| onAppeal | string | 1*..1 | ||
| final | string | 1*..1 | ||
| civilJudicialQuestions | CIVIL_JUDICIAL_DISCLOSURE_QUESTIONS | 1..4 | one 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 | ||
| initiator | CIVIL_JUDICIAL_ACTION_INITIATED_BY_TYPE | 1..10 | one of: SEC, Other Federal Authority, State, SRO, Foreign Financial Regulatory Authority, Commodities Exchange, Private Plantiff, CFTC, Municipal Advisory Firm, Other | |
| other | STRING_256_TYPE | 0..1 | minLength=1; maxLength=256 | |
| plantiffsInformation | (group: PLANTIFFS_INFORMATION_CONTAINER) | 0..1 | ||
| plantiffName | STRING_10K_TYPE | 0..1 | minLength=1; maxLength=10000 | |
| isPlantiffsIdentified | YES_NO_TYPE | 1..1 | one of: Y, N | |
| defendantInformation | (group: DEFENDANTS_INFORMATION_CONTAINER) | 1..1 | ||
| defendantName | STRING_10K_TYPE | 1..1 | minLength=1; maxLength=10000 | |
| isADefendant | YES_NO_TYPE | 1..1 | one of: Y, N | |
| involementInformation | STRING_3K_TYPE | 0..1 | minLength=1; maxLength=3000 | |
| sactionsReliefSought | (group: CIVIL_JUDICIAL_SANCTIONS_TYPES) | 1..1 | ||
| sanctionRelief | CIVIL_JUDICIAL_SANCTIONS | 1..21 | SANCTION_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) | |
| other | STRING_3K_TYPE | 0..1 | minLength=1; maxLength=3000 | |
| filingDateCourtAction | (group: EXACT_OR_EXPLANATION_1K) | 1..1 | ||
| date | DATE_TYPE | 0..1 | pattern=\d{1,2}-\d{1,2}-\d{4} | |
| (choice) | 1..1 | exactly one of the following branches | ||
| exact | string | 1*..1 | ||
| explanationInfo | (group: EXPLANATION_INFO_1K) | 1*..1 | ||
| explanation | string | 1..1 | ||
| provideExplanation | STRING_1K_TYPE | 1..1 | minLength=1; maxLength=1000 | |
| notificationServedInformation | (group: EXACT_OR_EXPLANATION_1K) | 1..1 | ||
| date | DATE_TYPE | 0..1 | pattern=\d{1,2}-\d{1,2}-\d{4} | |
| (choice) | 1..1 | exactly one of the following branches | ||
| exact | string | 1*..1 | ||
| explanationInfo | (group: EXPLANATION_INFO_1K) | 1*..1 | ||
| explanation | string | 1..1 | ||
| provideExplanation | STRING_1K_TYPE | 1..1 | minLength=1; maxLength=1000 | |
| courtInfo | (group: CRIMINAL_EVENT_COURT) | 1..1 | ||
| court | CRIMINAL_EVENT_COURT_TYPES | 1..1 | one of: Federal Court, Military Court, State Court, Foreign Country Court, International Court, Other | |
| other | STRING_1K_TYPE | 0..1 | minLength=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 | ||
| name | STRING_256_TYPE | 0..1 | minLength=1; maxLength=256 | |
| docketOrCaseNo | STRING_256_TYPE | 1..1 | minLength=1; maxLength=256 | |
| address | (group: ADDRESS_TYPE) | 1..1 | ||
| street1 | STREET_TYPE | 1..1 | minLength=1; maxLength=40 | |
| street2 | STREET_TYPE | 0..1 | minLength=1; maxLength=40 | |
| city | STRING_30_TYPE | 1..1 | minLength=1; maxLength=30 | |
| stateOrCountry | STATE_COUNTRY_CODE | 1..1 | one of 331 codes (AL, AK, AZ, AR, CA, …; full list in the XSD) | |
| zipCode | ZIP_TYPE | 1..1 | minLength=1; maxLength=10; pattern=[0-9A-Za-z #\-]* | |
| docketCaseName | ENTITY_NAME_256_TYPE | 0..1 | minLength=1; maxLength=256; pattern=([\w\s!\\#$(),.:;=@\-{}|/&]+) | |
| matterInformation | (group: JUDICIAL_REG_CUST_COMMON_INFO) | 1..1 | ||
| employingFirmInfo | (group: EMPLOYING_FIRM_INFO) | 1..1 | ||
| name | STRING_256_TYPE | 1..1 | minLength=1; maxLength=256 | |
| registrationNumber | FILE_NUMBER_TYPE | 0..1 | pattern=\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} | |
| crdNumber | CRD_NUMBER_TYPE | 0..1 | minLength=1; maxLength=9 | |
| principalProductTypes | (group: PRINCIPAL_PRODUCT_TYPES) | 1..1 | ||
| product | PRINCIPAL_PRODUCT_TYPE | 1..35 | PRINCIPAL_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) | |
| productOther | STRING_1K_TYPE | 0..1 | minLength=1; maxLength=1000 | |
| otherProductTypes | STRING_1K_TYPE | 0..1 | minLength=1; maxLength=1000 | |
| allegationsDescription | STRING_10K_TYPE | 1..1 | minLength=1; maxLength=10000 | |
| pendingInformation | (group: PENDING_INFORMATION_3K) | 0..1 | ||
| servedInformation | (group: EXACT_OR_EXPLANATION_1K) | 1..1 | ||
| date | DATE_TYPE | 0..1 | pattern=\d{1,2}-\d{1,2}-\d{4} | |
| (choice) | 1..1 | exactly one of the following branches | ||
| exact | string | 1*..1 | ||
| explanationInfo | (group: EXPLANATION_INFO_1K) | 1*..1 | ||
| explanation | string | 1..1 | ||
| provideExplanation | STRING_1K_TYPE | 1..1 | minLength=1; maxLength=1000 | |
| limitationsRestrictions | (group: LIMITATIONS_RESTRICTIONS_TYPE_3K) | 1..1 | ||
| hasLimitationsOrRestrictions | YES_NO_TYPE | 1..1 | one of: Y, N | |
| details | STRING_3K_TYPE | 0..1 | minLength=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 | ||
| name | STRING_256_TYPE | 0..1 | minLength=1; maxLength=256 | |
| docketOrCaseNo | STRING_256_TYPE | 1..1 | minLength=1; maxLength=256 | |
| address | (group: ADDRESS_TYPE) | 1..1 | ||
| street1 | STREET_TYPE | 1..1 | minLength=1; maxLength=40 | |
| street2 | STREET_TYPE | 0..1 | minLength=1; maxLength=40 | |
| city | STRING_30_TYPE | 1..1 | minLength=1; maxLength=30 | |
| stateOrCountry | STATE_COUNTRY_CODE | 1..1 | one of 331 codes (AL, AK, AZ, AR, CA, …; full list in the XSD) | |
| zipCode | ZIP_TYPE | 1..1 | minLength=1; maxLength=10; pattern=[0-9A-Za-z #\-]* | |
| docketCaseName | ENTITY_NAME_256_TYPE | 0..1 | minLength=1; maxLength=256; pattern=([\w\s!\\#$(),.:;=@\-{}|/&]+) | |
| dateInformation | (group: EXACT_OR_EXPLANATION_3K) | 0..1 | ||
| date | DATE_TYPE | 0..1 | pattern=\d{1,2}-\d{1,2}-\d{4} | |
| (choice) | 1..1 | exactly one of the following branches | ||
| exact | string | 1*..1 | ||
| explanationInfo | (group: EXPLANATION_INFO_3K) | 1*..1 | ||
| explanation | string | 1..1 | ||
| provideExplanation | STRING_3K_TYPE | 1..1 | minLength=1; maxLength=3000 | |
| details | STRING_10K_TYPE | 0..1 | minLength=1; maxLength=10000 | |
| limitationsRestrictions | (group: LIMITATIONS_RESTRICTIONS_TYPE) | 0..1 | ||
| hasLimitationsOrRestrictions | YES_NO_TYPE | 1..1 | one of: Y, N | |
| details | STRING_1K_TYPE | 0..1 | minLength=1; maxLength=1000 | |
| resolutionDetail | (group: RESOLUTION_DETAIL_10K) | 0..1 | ||
| sactionsOrdered | (group: SANCTIONS_TYPE_10K) | 1..1 | ||
| saction | SANCTION_TYPE | 1..20 | SANCTION_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) | |
| otherExplanation | STRING_10K_TYPE | 0..1 | minLength=1; maxLength=10000 | |
| amountOrdered | DECIMAL_TYPE16_2 | 0..1 | totalDigits=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..1 | exactly one of the following branches | ||
| permanent | string | 0..1 | ||
| durationTime | (group: SENTENCE_DURATION_TYPE) | 0..1 | ||
| days | STRING_NUMERIC_3_TYPE | 0..1 | pattern=\d{1,10} | |
| months | STRING_NUMERIC_3_TYPE | 0..1 | pattern=\d{1,10} | |
| years | STRING_NUMERIC_3_TYPE | 0..1 | pattern=\d{1,10} | |
| startDate | (group: EXACT_OR_EXPLANATION_3K) | 1..1 | ||
| date | DATE_TYPE | 0..1 | pattern=\d{1,2}-\d{1,2}-\d{4} | |
| (choice) | 1..1 | exactly one of the following branches | ||
| exact | string | 1*..1 | ||
| explanationInfo | (group: EXPLANATION_INFO_3K) | 1*..1 | ||
| explanation | string | 1..1 | ||
| provideExplanation | STRING_3K_TYPE | 1..1 | minLength=1; maxLength=3000 | |
| endDate | (group: EXACT_OR_EXPLANATION_3K) | 0..1 | ||
| date | DATE_TYPE | 0..1 | pattern=\d{1,2}-\d{1,2}-\d{4} | |
| (choice) | 1..1 | exactly one of the following branches | ||
| exact | string | 1*..1 | ||
| explanationInfo | (group: EXPLANATION_INFO_3K) | 1*..1 | ||
| explanation | string | 1..1 | ||
| provideExplanation | STRING_3K_TYPE | 1..1 | minLength=1; maxLength=3000 | |
| description | STRING_3K_TYPE | 0..1 | minLength=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..1 | exactly one of the following branches | ||
| permanent | string | 0..1 | ||
| durationTime | (group: SENTENCE_DURATION_TYPE) | 0..1 | ||
| days | STRING_NUMERIC_3_TYPE | 0..1 | pattern=\d{1,10} | |
| months | STRING_NUMERIC_3_TYPE | 0..1 | pattern=\d{1,10} | |
| years | STRING_NUMERIC_3_TYPE | 0..1 | pattern=\d{1,10} | |
| startDate | (group: EXACT_OR_EXPLANATION_3K) | 1..1 | ||
| date | DATE_TYPE | 0..1 | pattern=\d{1,2}-\d{1,2}-\d{4} | |
| (choice) | 1..1 | exactly one of the following branches | ||
| exact | string | 1*..1 | ||
| explanationInfo | (group: EXPLANATION_INFO_3K) | 1*..1 | ||
| explanation | string | 1..1 | ||
| provideExplanation | STRING_3K_TYPE | 1..1 | minLength=1; maxLength=3000 | |
| endDate | (group: EXACT_OR_EXPLANATION_3K) | 0..1 | ||
| date | DATE_TYPE | 0..1 | pattern=\d{1,2}-\d{1,2}-\d{4} | |
| (choice) | 1..1 | exactly one of the following branches | ||
| exact | string | 1*..1 | ||
| explanationInfo | (group: EXPLANATION_INFO_3K) | 1*..1 | ||
| explanation | string | 1..1 | ||
| provideExplanation | STRING_3K_TYPE | 1..1 | minLength=1; maxLength=3000 | |
| description | STRING_3K_TYPE | 0..1 | minLength=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..1 | exactly one of the following branches | ||
| permanent | string | 0..1 | ||
| durationTime | (group: SENTENCE_DURATION_TYPE) | 0..1 | ||
| days | STRING_NUMERIC_3_TYPE | 0..1 | pattern=\d{1,10} | |
| months | STRING_NUMERIC_3_TYPE | 0..1 | pattern=\d{1,10} | |
| years | STRING_NUMERIC_3_TYPE | 0..1 | pattern=\d{1,10} | |
| startDate | (group: EXACT_OR_EXPLANATION_3K) | 1..1 | ||
| date | DATE_TYPE | 0..1 | pattern=\d{1,2}-\d{1,2}-\d{4} | |
| (choice) | 1..1 | exactly one of the following branches | ||
| exact | string | 1*..1 | ||
| explanationInfo | (group: EXPLANATION_INFO_3K) | 1*..1 | ||
| explanation | string | 1..1 | ||
| provideExplanation | STRING_3K_TYPE | 1..1 | minLength=1; maxLength=3000 | |
| endDate | (group: EXACT_OR_EXPLANATION_3K) | 0..1 | ||
| date | DATE_TYPE | 0..1 | pattern=\d{1,2}-\d{1,2}-\d{4} | |
| (choice) | 1..1 | exactly one of the following branches | ||
| exact | string | 1*..1 | ||
| explanationInfo | (group: EXPLANATION_INFO_3K) | 1*..1 | ||
| explanation | string | 1..1 | ||
| provideExplanation | STRING_3K_TYPE | 1..1 | minLength=1; maxLength=3000 | |
| description | STRING_3K_TYPE | 0..1 | minLength=1; maxLength=3000 | |
| isReqaulificationRequired | YES_NO_TYPE | 0..1 | one of: Y, N | |
| requalificationDetails | (group: SANCTION_REQUALIFICATION_INFORMATION) | 0..1 | ||
| timeToReqaulifyRetrain | (group: REQUALIFY_DURATION_INFORMATION_TYPE) | 1..1 | ||
| (choice) | 1..1 | exactly one of the following branches | ||
| noTimePeriodSpecified | string | 1*..1 | ||
| durationTime | (group: SENTENCE_DURATION_TYPE) | 1*..1 | ||
| days | STRING_NUMERIC_3_TYPE | 0..1 | pattern=\d{1,10} | |
| months | STRING_NUMERIC_3_TYPE | 0..1 | pattern=\d{1,10} | |
| years | STRING_NUMERIC_3_TYPE | 0..1 | pattern=\d{1,10} | |
| typeRequired | STRING_1K_TYPE | 1..1 | minLength=1; maxLength=1000 | |
| conditionState | (group: CONDITION_STATE_10K) | 1..1 | ||
| (choice) | 1..1 | exactly one of the following branches | ||
| satisfied | (group: CONDITION_STATE_SATISFIED) | 1*..1 | ||
| satisfied | string | 1..1 | ||
| satisfiedDate | DATE_TYPE | 1..1 | pattern=\d{1,2}-\d{1,2}-\d{4} | |
| notSatisfied | (group: CONDITION_STATE_NOT_SATISFIED_1K) | 1*..1 | ||
| satisfied | string | 1..1 | ||
| explanation | STRING_1K_TYPE | 1..1 | minLength=1; maxLength=1000 | |
| monetarySanctions | (group: MONETARY_SANCTION) | 0..1 | ||
| totalAmountOrdered | DECIMAL_TYPE16_2 | 0..1 | totalDigits=16; fractionDigits=2; minInclusive=0; pattern=\d{0,14}\.\d\d | |
| amountOrdered | DECIMAL_TYPE16_2 | 0..1 | totalDigits=16; fractionDigits=2; minInclusive=0; pattern=\d{0,14}\.\d\d | |
| waivedPortion | DECIMAL_TYPE16_2 | 0..1 | totalDigits=16; fractionDigits=2; minInclusive=0; pattern=\d{0,14}\.\d\d | |
| finalAmount | DECIMAL_TYPE16_2_NEGATIVE | 0..1 | totalDigits=18; fractionDigits=2; pattern=[\+\-]?\d{0,16}\.\d\d | |
| paymentState | (group: AMOUNT_PAID_STATE) | 0..1 | ||
| (choice) | 1..1 | exactly one of the following branches | ||
| paidInFull | (group: AMOUNT_PAID_IN_FULL) | 1*..1 | ||
| amountPaidInFull | string | 1..1 | ||
| paidDate | DATE_TYPE | 1..1 | pattern=\d{1,2}-\d{1,2}-\d{4} | |
| notPaidInFull | (group: AMOUNT_NOT_PAID_IN_FULL_TYPE) | 1*..1 | ||
| amountNotPaidInFull | string | 1..1 | ||
| explanation | STRING_1K_TYPE | 1..1 | minLength=1; maxLength=1000 | |
| resolutionInfo | (group: JUDICIAL_RESOLUTION_INFO) | 0..1 | ||
| resolutionTypes | CIVIL_JUDICIAL_TYPE | 1..12 | one of: Consent, Decision, Decision And Order of Offer Settlement, Judgement Rendered, Stipulation and Consent, Opinion, Settled, Withdrawn, Dismissed, Order, Appealed, Other | |
| otherDescription | STRING_1K_TYPE | 0..1 | minLength=1; maxLength=1000 | |
| appealType | APPEAL_EXTENDED_TYPES | 0..5 | APPEAL_TYPES (one of: Affirmed, Vacated & Returned For Further Action, Vacated / Final, Other) or APPEAL_EXTENDED_TYPE (one of: Vacated Nunc Pro Tunc / ab initio) | |
| appealOther | STRING_1K_TYPE | 0..1 | minLength=1; maxLength=1000 | |
| explanantion | STRING_10K_TYPE | 0..1 | minLength=1; maxLength=10000 | |
| isFinalOrder | YES_NO_TYPE | 0..1 | one of: Y, N | |
| resolutionDate | (group: EXACT_OR_EXPLANATION_1K) | 0..1 | ||
| date | DATE_TYPE | 0..1 | pattern=\d{1,2}-\d{1,2}-\d{4} | |
| (choice) | 1..1 | exactly one of the following branches | ||
| exact | string | 1*..1 | ||
| explanationInfo | (group: EXPLANATION_INFO_1K) | 1*..1 | ||
| explanation | string | 1..1 | ||
| provideExplanation | STRING_1K_TYPE | 1..1 | minLength=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..1 | exactly one of the following branches | ||
| add | string | 1*..1 | ||
| amend | string | 1*..1 | ||
| filingInfo | (group: FILED_DRP) | 0..1 | ||
| formADVBDFiling | (group: IARD_CRD_FILING) | 0..1 | ||
| filingName | STRING_256_TYPE | 1..1 | minLength=1; maxLength=256 | |
| crdNumber | CRD_NUMBER_TYPE | 1..1 | minLength=1; maxLength=9 | |
| disclosureNumber | STRING_256_TYPE | 1..1 | minLength=1; maxLength=256 | |
| maFiling | (group: MAI_COMMON_FILING) | 0..1 | ||
| filingName | STRING_256_TYPE | 1..1 | minLength=1; maxLength=256 | |
| registrationNumber | FILE_NUMBER_TYPE | 1..1 | pattern=\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} | |
| filingDate | DATE_TYPE | 1..1 | pattern=\d{1,2}-\d{1,2}-\d{4} | |
| accessionNumber | ACCESSION_NUMBER_TYPE | 1..1 | pattern=[*]{0}|[0-9]{1,10}\-[0-9]{1,2}\-[0-9]{1,6} | |
| maiFiling | (group: MAI_COMMON_FILING) | 0..1 | ||
| filingName | STRING_256_TYPE | 1..1 | minLength=1; maxLength=256 | |
| registrationNumber | FILE_NUMBER_TYPE | 1..1 | pattern=\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} | |
| filingDate | DATE_TYPE | 1..1 | pattern=\d{1,2}-\d{1,2}-\d{4} | |
| accessionNumber | ACCESSION_NUMBER_TYPE | 1..1 | pattern=[*]{0}|[0-9]{1,10}\-[0-9]{1,2}\-[0-9]{1,6} | |
| matFiling | (group: MAT_FILING) | 0..1 | ||
| filingName | STRING_256_TYPE | 1..1 | minLength=1; maxLength=256 | |
| registrationNumber | FILE_NUMBER_TYPE | 1..1 | pattern=\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} | |
| filingDate | DATE_TYPE | 1..1 | pattern=\d{1,2}-\d{1,2}-\d{4} | |
| summary | STRING_10K_TYPE | 0..1 | minLength=1; maxLength=10000 | |
| drpRemovalInfo | (group: APPLICANT_HEADER_INFORMATION) | 0..1 | ||
| isDrpRemovable | YES_NO_TYPE | 0..1 | one of: Y, N | |
| drpRemoveReason | (group: DRP_REMOVE_REASON) | 0..1 | ||
| (choice) | 1..1 | exactly one of the following branches | ||
| isRegistered | string | 1*..1 | ||
| isFiledError | (group: FILEDERROR_10K) | 1*..1 | ||
| explainTheCircumstances | STRING_10K_TYPE | 1..1 | minLength=1; maxLength=10000 | |
| status | (group: EVENT_STATUS_TYPE) | 0..1 | ||
| (choice) | 1..1 | exactly one of the following branches | ||
| pending | string | 1*..1 | ||
| onAppeal | string | 1*..1 | ||
| final | string | 1*..1 | ||
| customerComplaintQuestions | CUSTOMER_COMPLAINT_DISCLOSURE_QUESTIONS | 1..5 | one 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..1 | exactly one of the following branches | ||
| isNotNamedAsParty | YES_NO_TYPE | 1*..1 | one of: Y, N | |
| isNamedAsParty | (group: NAMED_PARTY) | 1*..1 | ||
| isInvolveArbitration | YES_NO_TYPE | 0..1 | one of: Y, N | |
| isInvolveLitigation | YES_NO_TYPE | 0..1 | one of: Y, N | |
| customerName | STRING_3K_TYPE | 1..1 | minLength=1; maxLength=3000 | |
| customerResidence | STATE_COUNTRY_CODE | 1..1 | one of 331 codes (AL, AK, AZ, AR, CA, …; full list in the XSD) | |
| customerOtherResidence | STRING_3K_TYPE | 0..1 | minLength=1; maxLength=3000 | |
| matterInformation | (group: JUDICIAL_REG_CUST_COMMON_INFO) | 1..1 | ||
| employingFirmInfo | (group: EMPLOYING_FIRM_INFO) | 1..1 | ||
| name | STRING_256_TYPE | 1..1 | minLength=1; maxLength=256 | |
| registrationNumber | FILE_NUMBER_TYPE | 0..1 | pattern=\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} | |
| crdNumber | CRD_NUMBER_TYPE | 0..1 | minLength=1; maxLength=9 | |
| principalProductTypes | (group: PRINCIPAL_PRODUCT_TYPES) | 1..1 | ||
| product | PRINCIPAL_PRODUCT_TYPE | 1..35 | PRINCIPAL_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) | |
| productOther | STRING_1K_TYPE | 0..1 | minLength=1; maxLength=1000 | |
| otherProductTypes | STRING_1K_TYPE | 0..1 | minLength=1; maxLength=1000 | |
| allegationsDescription | STRING_10K_TYPE | 1..1 | minLength=1; maxLength=10000 | |
| damageInfo | (group: DAMAGE_EXACT_OR_EXPLANATION) | 0..1 | ||
| damageAmount | DECIMAL_TYPE16_2 | 1..1 | totalDigits=16; fractionDigits=2; minInclusive=0; pattern=\d{0,14}\.\d\d | |
| (choice) | 1..1 | exactly one of the following branches | ||
| exact | string | 1*..1 | ||
| explanationInfo | (group: EXPLANATION_INFO_1K) | 1*..1 | ||
| explanation | string | 1..1 | ||
| provideExplanation | STRING_1K_TYPE | 1..1 | minLength=1; maxLength=1000 | |
| isOralComplaint | YES_NO_TYPE | 0..1 | one of: Y, N | |
| isWrittenComplaint | YES_NO_TYPE | 0..1 | one 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 | ||
| name | STRING_256_TYPE | 0..1 | minLength=1; maxLength=256 | |
| docketOrCaseNo | STRING_256_TYPE | 1..1 | minLength=1; maxLength=256 | |
| address | (group: ADDRESS_TYPE) | 1..1 | ||
| street1 | STREET_TYPE | 1..1 | minLength=1; maxLength=40 | |
| street2 | STREET_TYPE | 0..1 | minLength=1; maxLength=40 | |
| city | STRING_30_TYPE | 1..1 | minLength=1; maxLength=30 | |
| stateOrCountry | STATE_COUNTRY_CODE | 1..1 | one of 331 codes (AL, AK, AZ, AR, CA, …; full list in the XSD) | |
| zipCode | ZIP_TYPE | 1..1 | minLength=1; maxLength=10; pattern=[0-9A-Za-z #\-]* | |
| docketCaseName | ENTITY_NAME_256_TYPE | 0..1 | minLength=1; maxLength=256; pattern=([\w\s!\\#$(),.:;=@\-{}|/&]+) | |
| date | (group: EXACT_OR_EXPLANATION_1K) | 0..1 | ||
| date | DATE_TYPE | 0..1 | pattern=\d{1,2}-\d{1,2}-\d{4} | |
| (choice) | 1..1 | exactly one of the following branches | ||
| exact | string | 1*..1 | ||
| explanationInfo | (group: EXPLANATION_INFO_1K) | 1*..1 | ||
| explanation | string | 1..1 | ||
| provideExplanation | STRING_1K_TYPE | 1..1 | minLength=1; maxLength=1000 | |
| filingDateArbitration | DATE_TYPE | 0..1 | pattern=\d{1,2}-\d{1,2}-\d{4} | |
| finalStatus | ARBITRATION_TYPE | 0..8 | one 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 | ||
| date | DATE_TYPE | 0..1 | pattern=\d{1,2}-\d{1,2}-\d{4} | |
| (choice) | 1..1 | exactly one of the following branches | ||
| exact | string | 1*..1 | ||
| explanationInfo | (group: EXPLANATION_INFO_3K) | 1*..1 | ||
| explanation | string | 1..1 | ||
| provideExplanation | STRING_3K_TYPE | 1..1 | minLength=1; maxLength=3000 | |
| monetaryJudgmentAmount | DECIMAL_TYPE16_2 | 0..1 | totalDigits=16; fractionDigits=2; minInclusive=0; pattern=\d{0,14}\.\d\d | |
| judgementInfo | (group: JUDGEMENT_INFO_1K) | 0..1 | ||
| totalAmount | DECIMAL_TYPE16_2 | 0..1 | totalDigits=16; fractionDigits=2; minInclusive=0; pattern=\d{0,14}\.\d\d | |
| contributionAmount | DECIMAL_TYPE16_2 | 0..1 | totalDigits=16; fractionDigits=2; minInclusive=0; pattern=\d{0,14}\.\d\d | |
| amountInfo | (group: MONETARY_PENALTY_1K) | 0..1 | ||
| reducedAmount | DECIMAL_TYPE16_2 | 0..1 | totalDigits=16; fractionDigits=2; minInclusive=0; pattern=\d{0,14}\.\d\d | |
| totalFine | DECIMAL_TYPE16_2_NEGATIVE | 1..1 | totalDigits=18; fractionDigits=2; pattern=[\+\-]?\d{0,16}\.\d\d | |
| paidStatus | (group: MONETARY_PAYMENT_STATUS_1K) | 1..1 | ||
| (choice) | 1..1 | exactly one of the following branches | ||
| paidInFullDate | DATE_TYPE | 1*..1 | pattern=\d{1,2}-\d{1,2}-\d{4} | |
| explanation | STRING_1K_TYPE | 1*..1 | minLength=1; maxLength=1000 | |
| claimFiledWith | STRING_1K_TYPE | 0..1 | minLength=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 | ||
| name | STRING_256_TYPE | 0..1 | minLength=1; maxLength=256 | |
| docketOrCaseNo | STRING_256_TYPE | 1..1 | minLength=1; maxLength=256 | |
| address | (group: ADDRESS_TYPE) | 1..1 | ||
| street1 | STREET_TYPE | 1..1 | minLength=1; maxLength=40 | |
| street2 | STREET_TYPE | 0..1 | minLength=1; maxLength=40 | |
| city | STRING_30_TYPE | 1..1 | minLength=1; maxLength=30 | |
| stateOrCountry | STATE_COUNTRY_CODE | 1..1 | one of 331 codes (AL, AK, AZ, AR, CA, …; full list in the XSD) | |
| zipCode | ZIP_TYPE | 1..1 | minLength=1; maxLength=10; pattern=[0-9A-Za-z #\-]* | |
| docketCaseName | ENTITY_NAME_256_TYPE | 0..1 | minLength=1; maxLength=256; pattern=([\w\s!\\#$(),.:;=@\-{}|/&]+) | |
| date | (group: EXACT_OR_EXPLANATION_1K) | 0..1 | ||
| date | DATE_TYPE | 0..1 | pattern=\d{1,2}-\d{1,2}-\d{4} | |
| (choice) | 1..1 | exactly one of the following branches | ||
| exact | string | 1*..1 | ||
| explanationInfo | (group: EXPLANATION_INFO_1K) | 1*..1 | ||
| explanation | string | 1..1 | ||
| provideExplanation | STRING_1K_TYPE | 1..1 | minLength=1; maxLength=1000 | |
| dispositionType | (group: DISPOSITION_TYPE_OTHER) | 0..1 | ||
| dispositionTypes | DISPOSITION_EXTENDED_TYPES | 0..10 | DISPOSITION_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 | ||
| other | STRING_1K_TYPE | 0..1 | minLength=1; maxLength=1000 | |
| dispositionDate | (group: EXACT_OR_EXPLANATION_1K) | 0..1 | ||
| date | DATE_TYPE | 0..1 | pattern=\d{1,2}-\d{1,2}-\d{4} | |
| (choice) | 1..1 | exactly one of the following branches | ||
| exact | string | 1*..1 | ||
| explanationInfo | (group: EXPLANATION_INFO_1K) | 1*..1 | ||
| explanation | string | 1..1 | ||
| provideExplanation | STRING_1K_TYPE | 1..1 | minLength=1; maxLength=1000 | |
| dispositionInfo | (group: CUSTOMER_COMPLAINT_PENDING_INFORMATION) | 0..1 | ||
| compensationDetail | (group: JUDGEMENT_INFO_1K) | 0..1 | ||
| totalAmount | DECIMAL_TYPE16_2 | 0..1 | totalDigits=16; fractionDigits=2; minInclusive=0; pattern=\d{0,14}\.\d\d | |
| contributionAmount | DECIMAL_TYPE16_2 | 0..1 | totalDigits=16; fractionDigits=2; minInclusive=0; pattern=\d{0,14}\.\d\d | |
| amountInfo | (group: MONETARY_PENALTY_1K) | 0..1 | ||
| reducedAmount | DECIMAL_TYPE16_2 | 0..1 | totalDigits=16; fractionDigits=2; minInclusive=0; pattern=\d{0,14}\.\d\d | |
| totalFine | DECIMAL_TYPE16_2_NEGATIVE | 1..1 | totalDigits=18; fractionDigits=2; pattern=[\+\-]?\d{0,16}\.\d\d | |
| paidStatus | (group: MONETARY_PAYMENT_STATUS_1K) | 1..1 | ||
| (choice) | 1..1 | exactly one of the following branches | ||
| paidInFullDate | DATE_TYPE | 1*..1 | pattern=\d{1,2}-\d{1,2}-\d{4} | |
| explanation | STRING_1K_TYPE | 1*..1 | minLength=1; maxLength=1000 | |
| courtInfo | (group: CRIMINAL_EVENT_COURT) | 0..1 | ||
| court | CRIMINAL_EVENT_COURT_TYPES | 1..1 | one of: Federal Court, Military Court, State Court, Foreign Country Court, International Court, Other | |
| other | STRING_1K_TYPE | 0..1 | minLength=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 | ||
| name | STRING_256_TYPE | 0..1 | minLength=1; maxLength=256 | |
| docketOrCaseNo | STRING_256_TYPE | 1..1 | minLength=1; maxLength=256 | |
| address | (group: ADDRESS_TYPE) | 1..1 | ||
| street1 | STREET_TYPE | 1..1 | minLength=1; maxLength=40 | |
| street2 | STREET_TYPE | 0..1 | minLength=1; maxLength=40 | |
| city | STRING_30_TYPE | 1..1 | minLength=1; maxLength=30 | |
| stateOrCountry | STATE_COUNTRY_CODE | 1..1 | one of 331 codes (AL, AK, AZ, AR, CA, …; full list in the XSD) | |
| zipCode | ZIP_TYPE | 1..1 | minLength=1; maxLength=10; pattern=[0-9A-Za-z #\-]* | |
| docketCaseName | ENTITY_NAME_256_TYPE | 0..1 | minLength=1; maxLength=256; pattern=([\w\s!\\#$(),.:;=@\-{}|/&]+) | |
| date | (group: EXACT_OR_EXPLANATION_1K) | 0..1 | ||
| date | DATE_TYPE | 0..1 | pattern=\d{1,2}-\d{1,2}-\d{4} | |
| (choice) | 1..1 | exactly one of the following branches | ||
| exact | string | 1*..1 | ||
| explanationInfo | (group: EXPLANATION_INFO_1K) | 1*..1 | ||
| explanation | string | 1..1 | ||
| provideExplanation | STRING_1K_TYPE | 1..1 | minLength=1; maxLength=1000 | |
| resolutionType | (group: RESOLUTION_TYPE_OTHER) | 0..1 | ||
| dispositionTypes | RESOLUTION_EXTENDED_TYPES | 0..10 | DISPOSITION_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 | ||
| other | STRING_3K_TYPE | 0..1 | minLength=1; maxLength=3000 | |
| dispositionDate | (group: EXACT_OR_EXPLANATION_3K) | 0..1 | ||
| date | DATE_TYPE | 0..1 | pattern=\d{1,2}-\d{1,2}-\d{4} | |
| (choice) | 1..1 | exactly one of the following branches | ||
| exact | string | 1*..1 | ||
| explanationInfo | (group: EXPLANATION_INFO_3K) | 1*..1 | ||
| explanation | string | 1..1 | ||
| provideExplanation | STRING_3K_TYPE | 1..1 | minLength=1; maxLength=3000 | |
| resolutionInfo | (group: CUSTOMER_COMPLAINT_PENDING_INFORMATION) | 0..1 | ||
| compensationDetail | (group: JUDGEMENT_INFO_1K) | 0..1 | ||
| totalAmount | DECIMAL_TYPE16_2 | 0..1 | totalDigits=16; fractionDigits=2; minInclusive=0; pattern=\d{0,14}\.\d\d | |
| contributionAmount | DECIMAL_TYPE16_2 | 0..1 | totalDigits=16; fractionDigits=2; minInclusive=0; pattern=\d{0,14}\.\d\d | |
| amountInfo | (group: MONETARY_PENALTY_1K) | 0..1 | ||
| reducedAmount | DECIMAL_TYPE16_2 | 0..1 | totalDigits=16; fractionDigits=2; minInclusive=0; pattern=\d{0,14}\.\d\d | |
| totalFine | DECIMAL_TYPE16_2_NEGATIVE | 1..1 | totalDigits=18; fractionDigits=2; pattern=[\+\-]?\d{0,16}\.\d\d | |
| paidStatus | (group: MONETARY_PAYMENT_STATUS_1K) | 1..1 | ||
| (choice) | 1..1 | exactly one of the following branches | ||
| paidInFullDate | DATE_TYPE | 1*..1 | pattern=\d{1,2}-\d{1,2}-\d{4} | |
| explanation | STRING_1K_TYPE | 1*..1 | minLength=1; maxLength=1000 | |
| courtInfo | (group: CRIMINAL_EVENT_COURT) | 0..1 | ||
| court | CRIMINAL_EVENT_COURT_TYPES | 1..1 | one of: Federal Court, Military Court, State Court, Foreign Country Court, International Court, Other | |
| other | STRING_1K_TYPE | 0..1 | minLength=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 | ||
| name | STRING_256_TYPE | 0..1 | minLength=1; maxLength=256 | |
| docketOrCaseNo | STRING_256_TYPE | 1..1 | minLength=1; maxLength=256 | |
| address | (group: ADDRESS_TYPE) | 1..1 | ||
| street1 | STREET_TYPE | 1..1 | minLength=1; maxLength=40 | |
| street2 | STREET_TYPE | 0..1 | minLength=1; maxLength=40 | |
| city | STRING_30_TYPE | 1..1 | minLength=1; maxLength=30 | |
| stateOrCountry | STATE_COUNTRY_CODE | 1..1 | one of 331 codes (AL, AK, AZ, AR, CA, …; full list in the XSD) | |
| zipCode | ZIP_TYPE | 1..1 | minLength=1; maxLength=10; pattern=[0-9A-Za-z #\-]* | |
| docketCaseName | ENTITY_NAME_256_TYPE | 0..1 | minLength=1; maxLength=256; pattern=([\w\s!\\#$(),.:;=@\-{}|/&]+) | |
| date | (group: EXACT_OR_EXPLANATION_1K) | 0..1 | ||
| date | DATE_TYPE | 0..1 | pattern=\d{1,2}-\d{1,2}-\d{4} | |
| (choice) | 1..1 | exactly one of the following branches | ||
| exact | string | 1*..1 | ||
| explanationInfo | (group: EXPLANATION_INFO_1K) | 1*..1 | ||
| explanation | string | 1..1 | ||
| provideExplanation | STRING_1K_TYPE | 1..1 | minLength=1; maxLength=1000 | |
| appealDetail | STRING_10K_TYPE | 0..1 | minLength=1; maxLength=10000 | |
| documents | (group: EDGAR_DOCUMENT_TYPE) | 0..500 | Document 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. | |
| conformedName | DOCUMENT_NAME_TYPE | 1..1 | minLength=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]))) | |
| conformedDocumentType | SUB_DOCUMENT_TYPE | 1..1 | SUBMISSION_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)) | |
| relatedFormType | RELATED_FORM_TYPE | 0..1 | one of: 10-D, 10-D/A, ABS-EE, ABS-EE/A | |
| description | DOCUMENT_DESCRIPTION_TYPE | 0..1 | maxLength=255; minLength=1; pattern=[A-Za-z0-9!#-$%():;'@\*\+\-/=\?\^_~{|},. \\\s<>&"\[\]]{1,255} | |
| contents | DOCUMENT_MIME_BLOCK_TYPE | 1..1 | minLength=1 |
| Field (path) | Type | Occurs | Allowed values | SEC's description |
|---|---|---|---|---|
| edgarSubmission | (group) | 1..1 | ||
| schemaVersion | SCHEMA_VERSION_TYPE | 0..1 | length=5 | |
| headerData | (group: HEADER_DATA) | 1..1 | ||
| submissionType | SUBMISSION_TYPE | 1..1 | one of: MA-W | |
| filerInfo | (group: HEADER_DATA) | 1..1 | ||
| liveTestFlag | LIVE_TEST_TYPE | 0..1 | one of: LIVE, TEST | |
| filer | (group: FILER_TYPE) | 1..1 | ||
| filerId | CIK_TYPE | 1..1 | pattern=\d{1,10} | |
| filerCcc | CCC_TYPE | 1..1 | length=8 | |
| filerFileNumber | FILE_NUMBER_TYPE | 0..1 | pattern=\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 | ||
| name | NAME_TYPE | 0..1 | minLength=1; maxLength=30; pattern=[A-Za-z0-9!#-$%():;'@\*\+\-/=\?\^_~{|},. \\\s<>&"\[\]]{1,30} | |
| phoneNumber | PHONE_TYPE | 0..1 | minLength=1; maxLength=20; pattern=[a-zA-Z0-9\-]{1,20} | |
| contactEmail | INTERNET_ADDRESS_TYPE | 1..1 | maxLength=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 | ||
| internetNotificationAddress | INTERNET_ADDRESS_TYPE | 1..n | maxLength=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 | ||
| fullLegalName | ENTITY_NAME_TYPE | 1..1 | minLength=1; maxLength=150; pattern=([A-Za-z0-9\s!\\#$(),.:;=@'\-{}|/&]+) | |
| fileNumber | FILE_NUMBER_TYPE | 1..1 | pattern=\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 | ||
| firstName | STRING_50_TYPE | 1..1 | minLength=1; maxLength=50 | |
| middleName | STRING_30_TYPE | 1..1 | minLength=1; maxLength=30 | |
| lastName | STRING_50_TYPE | 1..1 | minLength=1; maxLength=50 | |
| name | STRING_256_TYPE | 0..1 | minLength=1; maxLength=256 | |
| addressInfo | (group: ADDRESS_TYPE) | 1..1 | ||
| residentialAddressFlag | YES_NO_TYPE | 0..1 | one of: Y, N | |
| address | (group: ADDRESS_TYPE) | 1..1 | ||
| street1 | STREET_TYPE | 1..1 | minLength=1; maxLength=40 | |
| street2 | STREET_TYPE | 0..1 | minLength=1; maxLength=40 | |
| city | STRING_30_TYPE | 1..1 | minLength=1; maxLength=30 | |
| stateOrCountry | STATE_COUNTRY_CODE | 1..1 | one of 331 codes (AL, AK, AZ, AR, CA, …; full list in the XSD) | |
| zipCode | ZIP_TYPE | 1..1 | minLength=1; maxLength=10; pattern=[0-9A-Za-z #\-]* | |
| phoneNumber | PHONE_TYPE | 1..1 | minLength=1; maxLength=20; pattern=[a-zA-Z0-9\-]{1,20} | |
| title | STRING_60_TYPE | 0..1 | minLength=1; maxLength=60 | |
| INTERNET_ADDRESS_TYPE | 1..1 | maxLength=80; minLength=4; pattern=([a-zA-Z0-9_\-\.]+)@((\[[0-9]{1,3}\.[0-9]{1,3}\.[0-9]{1,3}\.)|(([a-zA-Z0-9\-]+\.)+))([a-zA-Z]{2,7}|[0-9]{1,3})(\]?) | ||
| amountOwedForPreppaidServices | DECIMAL_TYPE16_2 | 0..1 | totalDigits=16; fractionDigits=2; minInclusive=0; pattern=\d{0,14}\.\d\d | |
| amountOwedFromBorrowedFunds | DECIMAL_TYPE16_2 | 0..1 | totalDigits=16; fractionDigits=2; minInclusive=0; pattern=\d{0,14}\.\d\d | |
| isAdvisoryContract | YES_NO_TYPE | 1..1 | one 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 | ||
| firstName | STRING_50_TYPE | 1..1 | minLength=1; maxLength=50 | |
| middleName | STRING_30_TYPE | 1..1 | minLength=1; maxLength=30 | |
| lastName | STRING_50_TYPE | 1..1 | minLength=1; maxLength=50 | |
| name | STRING_256_TYPE | 0..1 | minLength=1; maxLength=256 | |
| addressInfo | (group: ADDRESS_TYPE) | 1..1 | ||
| residentialAddressFlag | YES_NO_TYPE | 0..1 | one of: Y, N | |
| address | (group: ADDRESS_TYPE) | 1..1 | ||
| street1 | STREET_TYPE | 1..1 | minLength=1; maxLength=40 | |
| street2 | STREET_TYPE | 0..1 | minLength=1; maxLength=40 | |
| city | STRING_30_TYPE | 1..1 | minLength=1; maxLength=30 | |
| stateOrCountry | STATE_COUNTRY_CODE | 1..1 | one of 331 codes (AL, AK, AZ, AR, CA, …; full list in the XSD) | |
| zipCode | ZIP_TYPE | 1..1 | minLength=1; maxLength=10; pattern=[0-9A-Za-z #\-]* | |
| phoneNumber | PHONE_TYPE | 1..1 | minLength=1; maxLength=20; pattern=[a-zA-Z0-9\-]{1,20} | |
| isUnsatisfiedJudgementsOrLiens | YES_NO_TYPE | 1..1 | one of: Y, N | |
| isReceivedAnyPrepaidFee | YES_NO_TYPE | 1..1 | one of: Y, N | |
| isBorrowedNotRepaid | YES_NO_TYPE | 1..1 | one 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 | ||
| firstName | STRING_50_TYPE | 1..1 | minLength=1; maxLength=50 | |
| middleName | STRING_30_TYPE | 1..1 | minLength=1; maxLength=30 | |
| lastName | STRING_50_TYPE | 1..1 | minLength=1; maxLength=50 | |
| name | STRING_256_TYPE | 0..1 | minLength=1; maxLength=256 | |
| addressInfo | (group: ADDRESS_TYPE) | 1..1 | ||
| residentialAddressFlag | YES_NO_TYPE | 0..1 | one of: Y, N | |
| address | (group: ADDRESS_TYPE) | 1..1 | ||
| street1 | STREET_TYPE | 1..1 | minLength=1; maxLength=40 | |
| street2 | STREET_TYPE | 0..1 | minLength=1; maxLength=40 | |
| city | STRING_30_TYPE | 1..1 | minLength=1; maxLength=30 | |
| stateOrCountry | STATE_COUNTRY_CODE | 1..1 | one of 331 codes (AL, AK, AZ, AR, CA, …; full list in the XSD) | |
| zipCode | ZIP_TYPE | 1..1 | minLength=1; maxLength=10; pattern=[0-9A-Za-z #\-]* | |
| phoneNumber | PHONE_TYPE | 1..1 | minLength=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 | ||
| firstName | STRING_50_TYPE | 1..1 | minLength=1; maxLength=50 | |
| middleName | STRING_30_TYPE | 1..1 | minLength=1; maxLength=30 | |
| lastName | STRING_50_TYPE | 1..1 | minLength=1; maxLength=50 | |
| name | STRING_256_TYPE | 0..1 | minLength=1; maxLength=256 | |
| addressInfo | (group: ADDRESS_TYPE) | 1..1 | ||
| residentialAddressFlag | YES_NO_TYPE | 0..1 | one of: Y, N | |
| address | (group: ADDRESS_TYPE) | 1..1 | ||
| street1 | STREET_TYPE | 1..1 | minLength=1; maxLength=40 | |
| street2 | STREET_TYPE | 0..1 | minLength=1; maxLength=40 | |
| city | STRING_30_TYPE | 1..1 | minLength=1; maxLength=30 | |
| stateOrCountry | STATE_COUNTRY_CODE | 1..1 | one of 331 codes (AL, AK, AZ, AR, CA, …; full list in the XSD) | |
| zipCode | ZIP_TYPE | 1..1 | minLength=1; maxLength=10; pattern=[0-9A-Za-z #\-]* | |
| phoneNumber | PHONE_TYPE | 1..1 | minLength=1; maxLength=20; pattern=[a-zA-Z0-9\-]{1,20} | |
| description | STRING_255_TYPE | 1..1 | maxLength=255 | |
| execution | (group: EXECUTION_BLOCK) | 1..1 | ||
| (choice) | 1..1 | exactly one of the following branches | ||
| naturalPersonMuncipal | (group: SIGNATURE_TYPE_3) | 1*..1 | ||
| signature | STRING_150_TYPE | 1..1 | minLength=1; maxLength=150 | |
| signerName | STRING_150_TYPE | 1..1 | minLength=1; maxLength=150 | |
| title | STRING_150_TYPE | 1..1 | minLength=1; maxLength=150 | |
| date | DATE_TYPE | 1..1 | pattern=\d{1,2}-\d{1,2}-\d{4} | |
| soleProprietor | (group: SIGNATURE_TYPE_3) | 1*..1 | ||
| signature | STRING_150_TYPE | 1..1 | minLength=1; maxLength=150 | |
| signerName | STRING_150_TYPE | 1..1 | minLength=1; maxLength=150 | |
| title | STRING_150_TYPE | 1..1 | minLength=1; maxLength=150 | |
| date | DATE_TYPE | 1..1 | pattern=\d{1,2}-\d{1,2}-\d{4} | |
| muncipalAdvisoryFirm | (group: SIGNATURE_TYPE_3) | 1*..1 | ||
| signature | STRING_150_TYPE | 1..1 | minLength=1; maxLength=150 | |
| signerName | STRING_150_TYPE | 1..1 | minLength=1; maxLength=150 | |
| title | STRING_150_TYPE | 1..1 | minLength=1; maxLength=150 | |
| date | DATE_TYPE | 1..1 | pattern=\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 | ||
| cash | DECIMAL_TYPE16_2 | 1..1 | totalDigits=16; fractionDigits=2; minInclusive=0; pattern=\d{0,14}\.\d\d | |
| securitiesAtMarket | DECIMAL_TYPE16_2 | 1..1 | totalDigits=16; fractionDigits=2; minInclusive=0; pattern=\d{0,14}\.\d\d | |
| nonMarketableSecurities | DECIMAL_TYPE16_2 | 1..1 | totalDigits=16; fractionDigits=2; minInclusive=0; pattern=\d{0,14}\.\d\d | |
| otherCurrentAssets | DECIMAL_TYPE16_2 | 1..1 | totalDigits=16; fractionDigits=2; minInclusive=0; pattern=\d{0,14}\.\d\d | |
| totalCurrentAssets | DECIMAL_TYPE16_2_NON_NEGATIVE | 1..1 | totalDigits=18; fractionDigits=2; minInclusive=0; pattern=\d{0,16}\.\d\d | |
| totalFixedAsset | DECIMAL_TYPE16_2 | 1..1 | totalDigits=16; fractionDigits=2; minInclusive=0; pattern=\d{0,14}\.\d\d | |
| totalAsset | DECIMAL_TYPE16_2_NON_NEGATIVE | 1..1 | totalDigits=18; fractionDigits=2; minInclusive=0; pattern=\d{0,16}\.\d\d | |
| liabiltyAndSharholdersEquityInfo | (group: LIABILITIES_SHAREHOLDER_EQUITIES) | 1..1 | ||
| currentLiabilties | (group: CURRENT_LIABILITES) | 1..1 | ||
| prepaidAdvisoryFees | DECIMAL_TYPE16_2 | 1..1 | totalDigits=16; fractionDigits=2; minInclusive=0; pattern=\d{0,14}\.\d\d | |
| shortTermLoansFromClients | DECIMAL_TYPE16_2 | 1..1 | totalDigits=16; fractionDigits=2; minInclusive=0; pattern=\d{0,14}\.\d\d | |
| otherShortTermLoans | DECIMAL_TYPE16_2 | 1..1 | totalDigits=16; fractionDigits=2; minInclusive=0; pattern=\d{0,14}\.\d\d | |
| otherCurrentLiabilities | DECIMAL_TYPE16_2 | 1..1 | totalDigits=16; fractionDigits=2; minInclusive=0; pattern=\d{0,14}\.\d\d | |
| totalCurrentLiabilities | DECIMAL_TYPE16_2_NON_NEGATIVE | 1..1 | totalDigits=18; fractionDigits=2; minInclusive=0; pattern=\d{0,16}\.\d\d | |
| fixedLiabilities | (group: FIXED_LIABILITIES) | 1..1 | ||
| longTermDebtOwed | DECIMAL_TYPE16_2 | 1..1 | totalDigits=16; fractionDigits=2; minInclusive=0; pattern=\d{0,14}\.\d\d | |
| otherLongTermDebt | DECIMAL_TYPE16_2 | 1..1 | totalDigits=16; fractionDigits=2; minInclusive=0; pattern=\d{0,14}\.\d\d | |
| otherLongTermLiabilities | DECIMAL_TYPE16_2 | 1..1 | totalDigits=16; fractionDigits=2; minInclusive=0; pattern=\d{0,14}\.\d\d | |
| totalFixedLiabilities | DECIMAL_TYPE16_2_NON_NEGATIVE | 1..1 | totalDigits=18; fractionDigits=2; minInclusive=0; pattern=\d{0,16}\.\d\d | |
| totalShareholdersEquity | DECIMAL_TYPE16_2_NEGATIVE | 1..1 | totalDigits=18; fractionDigits=2; pattern=[\+\-]?\d{0,16}\.\d\d | |
| totalLiabiltiesAndShareholdersEquity | DECIMAL_TYPE16_2_NEGATIVE | 1..1 | totalDigits=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.
Questions about this form's data, or need something it does not cover? Email [email protected].