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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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 ...
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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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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's rules and guidance strive to protect investors and ensure the integrity of today's rapidly evolving market. Rules & Guidance.
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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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