Fingerprint results are posted to an individual's CRD record typically within 24-36 business hours after FBI receipt.Entitled users can view the status of ...
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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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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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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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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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Oct 2, 2023 · On October 2, 2023, FINRA will launch the new Fingerprint Program for Transfer Agents and Clearing Agencies (TA/CAs) as the SEC declared ...
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