News & Updates

U5 

Bug Fix

• Ensured that the completeness check is triggered when an invalid combination of regulator/registration category is sent for the individual during U5 submission.

Individual Fingerprint

Enhancements

• Extended access to individual fingerprint datasets from 30 to 90 days following termination. Previously, firms could only access an individual's fingerprint details for 30 days after their termination date.
• Improved Individual Fingerprint dataset performance to provide new fingerprint card information within one minute once an individual is included in the Individual Delta. Previously, users experienced delays of up to 15 minutes when accessing new fingerprint card information

Composite Branch

Enhancements

• New Fields Added: Incorporated the following fields from retiring legacy branch datasets:

  • obj.branch.deficiencyStatusCode
  • obj.branch.identifyingInformation.isOperateUnderContract
  • obj.branch.identifyingInformation.supervisingBranches.branchCrdNumber

  To learn more about the legacy dataset retirement see here.

• Corrected description typos in the schema for deficiency type codes FINRAOSJSPRVQUALS, NOSPRVPIC, and FUNDS.

Composite Individual

Enhancement

• Added the firmAssociations.locations.nonRegisteredBranchIdentifier field to the Composite Individual dataset to ensure complete data migration from retiring Individual and Branch datasets. To learn more about the legacy dataset retirement see here.

Bug Fix

• Added the employmentInstanceNumber field under the firmAssociations section in the JSON schema to match the Composite Individual API response. This field was previously present in API responses but missing from the published schema

Branch Delta

Bug Fixes

• Enhanced Branch Delta dataset to properly handle branch transfers. Fixed query logic to include branches where individuals were relocated between branches. Previously, the dataset filtered out branches for this particular use case.
• Resolved an issue where branches with backdated closure dates (older than 30 days) were omitted from results. The dataset now correctly returns branches when the BR filing date (submission timestamp) falls within the last 30 days, regardless of the recorded closure date..

Composite Individual Seed

Bug Fix

• Fixed the issue where annualContinuingEducation.bdCeYearlyData.assignedCourses.completionDate was included as NULL instead of being omitted when no value existed.