Entitled users can view the status of fingerprint submissions in FINRA Gateway and CRD by selecting the Show Statuses button and accepting the special Terms and ...
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FBI result indicating no match after Name Check search due to excessive candidates. ILEG, FBI result indicating fingerprints submitted were determined to be ...
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The process for submitting fingerprints differs for broker-dealers and funding portals. Funding portals should review the EFP Quick Reference Guide for ...
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Can my firm submit all three sets of fingerprints at once? A2: No. Firms should submit only one set of fingerprints for an individual at a time and only send a ...
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A Funding Portal organization applying for FINRA membership must comply with SEA Rule 17f-2 and submit fingerprints for all persons who are or will be ...
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Q: Our firm has a non-registered associated person who is required to be fingerprinted (“NRF”), but our firm has been unable to submit fingerprint information ...
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FINRA is here to help keep investors and their investments safe. To ensure this protection, we enact rules and publish guidance for securities firms and ...
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