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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This page provides information and resources for crowdfunding intermediaries that, pursuant to Title III of the JOBS Act, the SEC's Regulation Crowdfunding 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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Registration, Exams & CE · Registration section 1 · Registration · Broker Dealers · Capital Acquisition Brokers · Funding Portals · Individuals · Registration ...
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To become registered, securities professionals are required to pass qualification exams to demonstrate competence in their particular securities activities. The ...
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Registration, Exams and CE · Central Registration ... FINRA at finrafingerprints@finra.org. ... See the CRD Reports Quick Reference Guide for detailed navigational ...
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To become registered, securities professionals must pass qualifying exams administered by FINRA to demonstrate their competence in the particular securities ...
Missing: 2Fwww. 2Fregistration- 2Ffunding- 2Ffingerprints- quick- reference-
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Posted: Oct 11, 2019
Posted: Oct 11, 2019
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