Submitting Fingerprints to FINRA
As a broker-dealer compliance company, we are often consulted about the process of submitting fingerprints for FINRA approval.
Who Needs to Be Fingerprinted?
Section 17f-2 of the Securities Exchange Act (SEA) of 1934 states that that “every member of a national securities exchange, broker, dealer, registered transfer agent, registered clearing agency, registered securities information processor, national securities exchange, and Read More…