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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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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FBI result indicating No Data was identified for fingerprints submitted. CLRX, FBI result indicating No Data was identified based on Name Check search. COMP ...
Missing: opi= 89978449 %2Fsearch% 3Fq% 3Dq% 253Dhttps% 2Fwww. 2Frules- 2Frulebooks% 2Findustry% 26sca_esv% 3D564deb1775a058e5% 26sca_upv% 3D1% 26tbm% 3Dshop% 26source% 3Dlnms% 26ved% 3D1t% 3A200713% 26ictx% 3D111
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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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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 ...
Missing: opi= 89978449 %2Fsearch% 3Fq% 3Dq% 253Dhttps% 2Fwww. 2Frules- 2Frulebooks% 2Findustry% 26sca_esv% 3D564deb1775a058e5% 26sca_upv% 3D1% 26tbm% 3Dshop% 26source% 3Dlnms% 26ved% 3D1t% 3A200713% 26ictx% 3D111
Disclaimer: The FINRA Rulebook Search Tool™ (FIRST™) is for informational purposes only and does not provide regulatory or compliance advice.
Missing: opi= 89978449 %2Fsearch% 3Fq% 3Dq% 253Dhttps% 2Fwww. 2Frules- 2Frulebooks% 2Findustry% 26sca_esv% 3D564deb1775a058e5% 26sca_upv% 3D1% 26tbm% 3Dshop% 26source% 3Dlnms% 26ved% 3D1t% 3A200713% 26ictx% 3D111
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