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BD- Fingerprint Card Notification Letter to FINRA Document Services
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BD- Fingerprint Card Notification Letter to FINRA Document Services
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BD- Fingerprint Card Notification Letter to FINRA Document ServicesThe Fingerprint Card Notification Letter to FINRA is a useful template when submitting hardcopy fingerprints to FINRA for processing. In accordance with SEC Rule 17f 2 (Fingerprinting of securities industry personnel), a broker dealer firm shall require that each of its partners, directors, officers and employees be fingerprinted and shall submit, or cause to be submitted, the fingerprints of such persons to the Attorney General of the United States
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The Fingerprint Card Notification Letter to FINRA is a useful template when submitting hardcopy fingerprints to FINRA for processing. In accordance with SEC Rule 17f-2 (Fingerprinting of securities industry personnel), a broker-dealer firm shall require that each of its partners, directors, officers and employees be fingerprinted and shall submit, or cause to be submitted, the fingerprints of such persons to the Attorney General of the United States or its designee for identification and appropriate processing. The Notification Letter includes the individual name, CRD number and fingerprint barcode reference number of the person fingerprinted.
Version/Update: V.2/July 30, 2018
Total Page Count: 1
Source/Author(s): Connexien
BD- Fingerprint Card Notification Letter to FINRA Document Services
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