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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Fingerprint record reflects termination based on form filing or other process. XMPT, Individual is exempt from the fingerprinting requirement Section 17(f)(2) ...
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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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Rules & Guidance · FINRA Manual. EXPLORE THIS SECTION. FINRA Rulebook Search Tool™ (FIRST™). Available only for 40 FINRA Rules. Disclaimer: The FINRA Rulebook ...
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Q1: Which firm personnel are required to be fingerprinted? A1: Pursuant to Section 17(f)(2) of the Securities Exchange Act of 1934, (15 USC 78q(f)(2)), ...
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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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SEA Rule 17f-2 generally requires your firm to submit fingerprints for each person who is a partner, director, officer or employee of your firm, ...
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