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Submission API Error Responses and Workarounds

U4

  1. E-Signature related error

    1. Error Response
      1. Collected Data Schema validation error,#/signatures/amendedFirmSignatoryRepresentations : ['Signature Date of Appropriate Signatory' is a required field.|Firm Signature of Appropriate Signatory' is required.]
    2. Reason
      1. This error occurs when the e-signature is turned on for the firm and the submission is being made via API
    3. Workaround
      1.  Set "esignApplicable": false in metadata for the submission.


     

  2. Unaffiliated firm error

    1. Error Response
      1.  Collected Data Schema validation error,  "#/dualRegistration : [The Registration With Unaffiliated Firms section must be provided for the selected filing type.]
    2. Reason
      1. Error occurs when unaffiliated firm data is missing from initial U4 submission and U4 amendment is submitted
    3. Workaround
      1. Add following code under operation
        1.  {
              "op": "add",
              "path": "/dualRegistration",
              "value": {                                                                   
                  "unaffiliatedRegistration": 
                        {
                         "bdAffiliatedFlag": false,
                         "iaAffiliatedFlag": false
                         }
                        }
             }


     

  3. Updating multiple values at once for a particular array object
    1. Error Response
      1. "Invalid Id values {nonIndustryEmploymentsInstanceNumber=8662036, id=null} at path $.individualNonIndustryEmployments[*]"
    2. Reason
      1. Error occurs when UUID field "id" is available for the object but is not provided in the value section. Even if the instanceNumber is provided in the path, id must be provided in value when available. "id" is not needed when only a single field is being updated for an arrary object.
    3. Workaround
      1. Add UUID "id" within value section as example below
        1.  
          "op": "replace",
                "path": "/individualNonIndustryEmployments/[nonIndustryEmploymentsInstanceNumber:9992036]",
                "value": {
                  "address": {
                    "cityName": "Rockville",
                    "stateCode": "MD",
                    "countryCode": "USA"
                  },
                  "employerFirmName": "ABC Technology",
                  "employmentEndDate": "2019-04",
                  "employmentStartDate": "2018-04",
                  "positionDescription": "MANAGER",
                  "investmentRelatedIndicator": true,
                  "nonIndustryEmploymentsInstanceNumber": 9992036,
                  "id": "98877631-0d4f-4774-b3fb-f32cefbcb999"
                }