News & Updates

The FINRA API team has developed the preRegistrationIndividualv2 dataset after hearing from many firms about the need to get disclosure information on potential candidates and new hires.  This dataset returns the registration records of the individual regardless if the individual is associated with the requesting firm or not. This dataset provides the same pre-registration search functionality available via the FINRA Gateway Profiles application. The differences between the preRegistrationIndividual and preRegistrationIndividualv2 datasets are as follows:

1. v2 includes all of the individual's disclosure information that was missing in preRegistrationIndividual.
2. The new dataset (v2) is in U4 format, so it can be used to prepopulate U4 for submission  (when U4 submission capability becomes available).
3. Some of the field names have also been updated in v2, refer to preRegistrationIndividualv2 metadata to get field description.
4. FName and LName parameters are not available in v2.
5. DOB +  Individual CRD parameter has been added in v2.
6. v2 requires you to retrieve all the fields in the dataset, it doesn't support retrieving only a subset of fields.
7. v2 supports asynchronous calls only.

The preRegistrationIndividual will sunset in January 2024. We encourage everyone to migrate to preRegistrationIndividualv2  by the end of year 2023