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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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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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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... FINRA neutrals can view case information and submit documents through this Dispute Resolution Portal. LOG IN · Need Help? | Check Systems Status · Log In to ...
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