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Registration Datasets

The datasets shown in the table below are available as part of the Registration API.

The API platform utilizes the concept of datasets to deliver a variety of data via the GET Data and POST Data endpoints. All datasets are associated with a dataset group and have a dataset name. Therefore the GET Data and POST data endpoints utilize the following structure:

/data/group/{group name}/name/{dataset name}

Utilize the /metadata/group/{group name}/name/{dataset name} endpoint to retrieve details of the fields for each dataset.

 

IMPORTANT:

  1. Only the test datasets are available using your API Developer Center credentials obtained via the REQUEST TEST ACCESS menu option. The production datasets will only be available once you have gone through the production provisioning process, for those datasets requiring production provisioning (as shown in the table below).
  2. The test datasets contain mock or fictional data that is representative of the type of data that will be found in production.

 

API dataset group name dataset name test dataset name status production provisioning required
Registration          
           
NEW registration preRegistrationIndividual1 preRegistrationIndividualMock available

yes (Firm Credential Required)

           
  firm        
    registeredIndividualFingerPrint registeredIndividualFingerPrintMock available yes
    registeredIndividualBranchOfficeLocations registeredIndividualBranchOfficeLocationsMock available yes
    registeredIndividualDisclosureFilings registeredIndividualDisclosureFilingsMock available yes
    registeredIndividualRegistrationStatusHistory registeredIndividualRegistrationStatusHistoryMock available yes
    registeredIndividual registeredIndividualMock available yes
    registeredIndividualContinuingEducation registeredIndividualContinuingEducationMock available yes
    registeredIndividualDeficiencies registeredIndividualDeficienciesMock available yes
    registeredIndividualDisclosures registeredIndividualDisclosuresMock available yes
    registeredIndividualEmployments registeredIndividualEmploymentsMock available yes
    registeredIndividualExams registeredIndividualExamsMock available yes
    registeredIndividualProfessionalDesignations registeredIndividualProfessionalDesignationsMock available yes
    registeredIndividualRegistrations registeredIndividualRegistrationsMock available yes
    registeredIndividualResidentialLocations registeredIndividualResidentialLocationsMock available yes
           
    inactiveIndividual inactiveIndividualMock available yes
    inactiveIndividualBranchOfficeLocations inactiveIndividualBranchOfficeLocationsMock available yes
    inactiveIndividualEmployments inactiveIndividualEmploymentsMock available yes
    inactiveIndividualRegistrations inactiveIndividualRegistrationsMock available yes
    inactiveIndividualRegistrationStatusHistory inactiveIndividualRegistrationStatusHistoryMock available yes
           
    branchOfficeRegistrations branchOfficeRegistrationsMock available yes
    branchOffice branchOfficeMock available yes
    branchOfficeDetails branchOfficeDetailsMock available yes
    branchOfficeLocations branchOfficeLocationsMock available yes
    branchOfficeFinancialActivities branchOfficeFinancialActivitiesMock available yes
    branchOfficeAssociatedIndividuals branchOfficeAssociatedIndividualsMock available yes
           
    firmDisclosures firmDisclosuresMock available yes
    firmProfile firmProfileMock available yes
    firmRegistrations firmRegistrationsMock available yes
    firmRegistrationStatusHistory firmRegistrationStatusHistoryMock available yes

Dataset Details

1. preRegistrationIndividual

Production Access to the Pre-Registration Search API requires a new Firm API Credential to be provisioned. Existing production credentials tied to a WebEFT subscription must be upgraded to the new Firm API Credential to access the pre-registration search API.

The preRegistrationIndividual dataset provides an Individual Pre-Registration Search capability. This dataset will return 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 avaiable via the FINRA Gateway Profiles application.

To utlize the preRegistrationIndividual dataset you must utilize a POST request and provide one of the following combinations as compare filters in the request body:

  1. SSN + Date of Birth of individual to serach for
  2. Date of Birth + FIrst Name
  3. Date of Birth+ Last Name

SSN should be formated as: "###-##-####"  example: 123-45-6789

DOB should be formated as " MM-DD" example: 05-25

NOTES:

  • SSN must be provided if the registered individual has an SSN. You can only use the DOB + FirstName/LastName input option when an individual does not have an SSN (e.g. internaltional individual). No data will be provided for requests without an SSN when the user has an SSN as part of their registration records.
  • DOB does not include the year.
  • Request using DOB  + Name may receive multiple records in response.
  • The purpose of this dataset is to support the pre-registration process for firms. It is not to be used for downloading bulk data or for other pre-hire purposes. Each request is logged and audited by the API Platform. FINRA reserves the right to throttle or disable any API connection that appears to be making excessive requests that do not fit normal usage patterns for pre-registratino searches.

Example Payloads:

1.

{

    "compareFilters": [

        {

            "fieldName": "dateOfBirth",

            "fieldValue": "05-25",

            "compareType": "EQUAL"

        },

        {

            "fieldName": "ssn",

            "fieldValue": "123-45-6789",

            "compareType": "EQUAL"

        }

    ]

}

2.

{

    "compareFilters": [

        {

            "fieldName": "dateOfBirth",

            "fieldValue": "05-25",

            "compareType": "EQUAL"

        },

        {

            "fieldName": "firstName",

            "fieldValue": "john",

            "compareType": "EQUAL"

        }

    ]

}

3.

{

    "compareFilters": [

        {

            "fieldName": "dateOfBirth",

            "fieldValue": "05-25",

            "compareType": "EQUAL"

        },

        {

            "fieldName": "lastname",

            "fieldValue": "smith",

            "compareType": "EQUAL"

        }

    ]

}