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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Learn how the Financial Industry Regulatory Authority (FINRA) ensures a fair market with regulations, essential tools and resources for investors and pros.
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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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Sep 22, 2023 · The fingerprinting requirements for securities industry personnel are set forth in Section. 17(f)(2) of the Exchange Act, which provides, in ...
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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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Every investor in America relies on one thing: fair financial markets. To protect investors and ensure the market's integrity, FINRA FINANCIAL INDUSTRY ...
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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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