If FINRA is Starting an Inquiry into Your Conduct, an Experienced Lawyer Can Help. Defending...
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 Data was identified for fingerprints submitted. CLRX, FBI result indicating No Data was identified based on Name Check search. COMP ...
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Disclaimer: The FINRA Rulebook Search Tool™ (FIRST™) is for informational purposes only and does not provide regulatory or compliance advice.
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We offer guidance to firms in the form of podcasts, webinars, FAQs, reports, and more. Use the toggle below to find guidance by topic, type or date.
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FINRA publishes Notices to provide firms with timely information on a variety of issues. To obtain a Notice published prior to 1995, please contact FINRA ...
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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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Per FBI requirements, fingerprints of individuals collected outside the U.S. or its territories must be captured on a hardcopy fingerprint card and mailed to ...
Jun 1, 2021 · Rules and procedures applicable to members seeking to hire or retain a person who becomes "subject to disqualification," and for members ...
The FINRA Manual keeps investment professionals up to date on all our official regulations. It outlines FINRA's unique rules and guidelines, as well as our ...
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A: Members must supervise registered representatives' live meetings with customers via video or audio conferencing platforms in a manner reasonably designed to ...