An IA-only firm must submit fingerprints directly to those states that require fingerprints for an RA registration. Contact the applicable state to verify state ...
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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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Learn how the Financial Industry Regulatory Authority (FINRA) ensures a fair market with regulations, essential tools and resources for investors and pros.
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FBI result indicating fingerprints submitted were determined to be illegible (by the FBI). LGCY*, Fingerprint status provided prior to August 1999 conversion to ...
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Note: The fee for this type of fingerprint transaction is $30.00. 2The FBI does not charge its fee on a second fingerprint transaction when it identifies the ...
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FAQ Applicable to FINRA's Fingerprint Process. Q1: Which firm personnel are required to be fingerprinted? A1: Pursuant to Section 17(f)(2) of the Securities ...
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FINRA Gateway, the new compliance portal, is designed to streamline the FINRA compliance and reporting experience by providing a more flexible solution that ...
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