News & Updates

Submission API

• Submission stuck in "Processing" resultStatus Error Message Improvement : Enhancement has been made so that if submissions are not processed due to FINRA System(s) outage, users will get following resultStatus and error in the GET Submission API call.

  • resultStatus = "FAILED"

  • errors": [ "Encountered an internal error while processing the submission, please resubmit later."]

Users are advised to try resubmitting an hour after the message is received. Resubmission may be tried up to three times with an hour interval in between. 

Composite Individual Dataset 

• Added a new field "annualContinuingEducation.bdCeYearlyData.assignedCourses.completionDate" that provides completion date at a CE course level.

• Updated individual.iaAffiliations.affiliateType to match with IndividualInformationReport.Indvls.Indvl.IAAffltns.IAAffltn.iaAffltnCtgry. Prior to this individual.iaAffiliations.affiliateType field showed "Investment Advisor" for all records.

• Fixed issue related to following exactDate fields not displaying in the API response. 

  • occurrences.disclosures.investigation.dispositionDetails.dispositionDateDetails.exactDate

  • occurrences.disclosures.investigation.disclosureEventDateDetails.exactDate

  • occurrences.disclosures.JudgmentLien.disclosureEventDateDetails.exactDate

  • regulatoryAction.sanctionMonetaryDetails.sanctionMonetaryCollectedDateDetail.exactDate

• Fixed firmAssociations.registrations.createDate mismatch issue with WebEFT Registration create date

• Composite Individual Schema Changes

  • Added Enums for bankruptcyActionTypeCode
  • Updated residentialSupervisoryLocationIndicator type to Boolean in Schema; in order to keep Schema and API response consistent.