Submit Customer Application Document

### Upload a document for a customer application. **Available to:** Authenticated users. When uploading on behalf of another user via the `userId` field, the caller must be an organization administrator. **Environments:** Production **Rate Limit:** 30 requests per hour with 30-second backoff for exceeding the limit Use this endpoint to upload a document for a customer application or compliance workflow. The `process` field determines which workflow the document belongs to, and the `documentType` field specifies the type of document being submitted. A successful request returns a `documentId`. Store this value for reference in subsequent API calls. **Uploading Documents Before a Subaccount Request** Organization administrators can use this endpoint to upload documents before submitting a subaccount request. Set `process` to `SubAccountRequest` and set `userId` to the CTA user ID of the trader the subaccount is for. Upload each document separately by calling this endpoint three times (once per document type). | Document | `documentType` | `createpartnersubaccountrequest` field | | ---------------------------- | -------------------------------- | -------------------------------------- | | Power of Attorney (POA) Form | `POAForm` | `pOAFormDocId` | | Government ID | `Id` | `governmentDocId` | | Proof of Address | `ResidentialAddressConfirmation` | `addressDocId` | After collecting all three `documentId` values, pass them to `createpartnersubaccountrequest` as `pOAFormDocId`, `governmentDocId`, and `addressDocId`. **`base64data` Format** Documents are submitted inline as base64 data URIs. The `base64data` field must be a data URI with a supported MIME type prefix. The maximum field length is 8,388,608 characters (approximately 6 MB). ``` data:<mime-type>;base64,<base64-encoded-content> ``` Supported MIME types: - `application/pdf` - `text/plain` - `image/<file type>` (for example, `image/png` or `image/jpeg`) **Process Types** | Value | Description | |-------|-------------| | `Identity` | Used during new account onboarding when users need to upload identity documents for Know Your Customer (KYC) verification. Documents are processed for automated identity verification. | | `NFA` | Used for uploading documents related to National Futures Association (NFA) registration and compliance requirements. | | `Bankruptcy` | Used when applicants need to provide bankruptcy discharge paperwork or related documentation. | | `Watchlist` | Used for uploading documentation related to watchlist and sanctions screening. | | `Compliance` | General compliance document uploads requested by the compliance team during application review. | | `AML_FPV` | Anti-Money Laundering (AML) and fraud prevention verification documents, including bank statements and source of funds documentation. | | `SubAccountRequest` | Used to pre-upload documents for subaccount requests. Returns `documentId` values that can be passed to `createpartnersubaccountrequest` via the `pOAFormDocId`, `governmentDocId`, and `addressDocId` fields. | **Document Types** This endpoint supports 86 document types. Use the `documentType` field to specify the type of document you are uploading. **Identity Documents** | Value | Description | |-------|-------------| | `DrivingLicense` | Driver's license | | `Passport` | Passport | | `Id` | Government-issued ID | | `Visa` | Visa document | | `SocialSecurityCard` | Social Security card | | `SSNMiskey` | Social Security Number correction or clarification | | `ConfirmFullName` | Full name confirmation | | `ApplicationAndIDNameMismatch` | Name mismatch clarification between application and ID | **Address Verification** | Value | Description | |-------|-------------| | `UtilityBill` | Utility bill | | `ResidentialAddressConfirmation` | Proof of residential address | | `CurrentBankStatement` | Current bank statement for address verification | | `AddressChangeVerification` | Address change verification | | `AddressVerificationFAFTA` | FAFTA address verification | | `POBox` | P.O. Box documentation | | `AddressClarificationDocVsApplication` | Address clarification (document vs. application) | | `AddressClarificationDocVsConfirmedAV` | Address clarification (document vs. confirmed address) | | `AddressVerificationLLC` | LLC address verification | | `AddressVerificationManagingMember` | Managing member address verification | **Income and Financial** | Value | Description | |-------|-------------| | `SourceOfIncome` | Source of income documentation | | `AnnualIncomeAmount` | Annual income documentation | | `NetWorthAmount` | Net worth documentation | | `LiquidNetWorthAmount` | Liquid net worth documentation | | `StudentIncome` | Student income documentation | | `RetirementIncome` | Retirement income documentation | | `HomemakerIncome` | Homemaker income documentation | | `UnemployedIncome` | Unemployment income documentation | | `OwnFunds` | Own funds documentation | | `ThirdPartyFunds` | Third-party funds documentation | | `ConfirmationOfDeposits` | Confirmation of deposits | | `SourceOfRiskCapital` | Source of risk capital documentation | | `InvestmentType` | Investment type documentation | | `CompanyFinancials` | Company financial documents | | `BankSupportingDocument` | Supporting bank documentation | | `FullTimeTrader` | Full-time trader documentation | **Trading and Authorization** | Value | Description | |-------|-------------| | `TradingAuthorityPOA` | Trading authority Power of Attorney (POA) | | `POAForm` | POA form (used for subaccount requests) | | `AdditionalRiskDisclosure` | Additional risk disclosure | | `UnderstandingOfFuturesTrading` | Understanding of futures trading | | `AccountReactivation` | Account reactivation documentation | | `YearsOfTradingExperience` | Trading experience documentation | | `Professional` | Professional trader documentation | | `ConfirmAccountInterest` | Account interest confirmation | | `ConfirmAffiliations` | Affiliations confirmation | | `AmendmentApprovingFuturesTrading` | Amendment approving futures trading | **Tax and Regulatory** | Value | Description | |-------|-------------| | `W8Clarification` | W-8 form clarification | | `W8Incomplete` | Incomplete W-8 form documentation | | `W9` | W-9 tax form | | `HedgeClarification` | Hedge account clarification | | `NFARegistrationConfirmation` | NFA registration confirmation | | `EIN` | Employer Identification Number (EIN) documentation | | `EmployeeAttestationLetter` | Employee attestation letter | | `NatureOfSelfEmployment` | Nature of self-employment documentation | | `EmploymentDetails` | Employment details documentation | | `NatureOfEntity` | Nature of entity documentation | | `ConfirmIRACustodian` | Individual Retirement Account (IRA) custodian confirmation | | `IRACustody` | IRA custody documentation | **Business and Corporate** | Value | Description | |-------|-------------| | `LetterOfAwareness` | Letter of awareness | | `OfferingCircular` | Offering circular | | `OperatingAgreement` | Operating agreement | | `ArticlesOfOrganization` | Articles of organization | | `StatementOfGoodStanding` | Statement of good standing | | `CertificateOfGoodStanding` | Certificate of good standing | | `CorporateBylaws` | Corporate bylaws | | `ManagingMemberId` | Managing member ID | | `ShareholderRegister` | Shareholder register | | `BeneficialOwnerCertification` | Beneficial owner certification | | `TrustDocuments` | Trust documents | | `PartnershipDocuments` | Partnership documents | | `EntityWebsite` | Entity website documentation | **Compliance and AML** | Value | Description | |-------|-------------| | `AMLBankStatement` | AML bank statement | | `AMLOwnFundsLetter` | AML own funds letter | | `BankruptcyDischargePaperwork` | Bankruptcy discharge paperwork | | `EVS` | EVS verification document | | `HighRiskApplicant` | High-risk applicant documentation | **Email and Identity Verification** | Value | Description | |-------|-------------| | `VerifyEmailOwnership` | Email ownership verification | | `VerifyEmailAnotherName` | Email verification for an account under a different name | | `VerifyUsernameAnotherName` | Username verification for an account under a different name | | `VerifyEmailUsernameFinancialWording` | Email or username verification (financial wording) | | `VerifyEmailUsernameEntityWording` | Email or username verification (entity wording) | **eSign Documents** | Value | Description | |-------|-------------| | `eSignW9` | Electronically signed W-9 | | `eSignBeneficialOwnerCertification` | Electronically signed beneficial owner certification | | `eSignEmployeeAttestationLetter` | Electronically signed employee attestation letter | | `eSignMarketDataAgreement` | Electronically signed market data agreement | **Other** | Value | Description | |-------|-------------| | `Other` | Other document type | | `OtherText` | Other document with text description | | `AchOther` | Automated Clearing House (ACH)-related document | **Common Failure Scenarios** - `filename` is fewer than five or more than 64 characters - `base64data` exceeds the maximum allowed size (~6 MB) - `userId` is provided but is not greater than zero - `customerApplicationId` is provided but is not greater than zero - Caller is not an organization administrator when `userId` belongs to another user - Invalid `process` value - Invalid `documentType` value - `base64data` is missing the data URI prefix or uses an unsupported MIME type **Next Steps** For the subaccount use case, after uploading all three documents, pass the returned `documentId` values to `createpartnersubaccountrequest` as `pOAFormDocId`, `governmentDocId`, and `addressDocId`. See `createpartnersubaccountrequest` for details.