Fingerprint results are posted to an individual’s CRD record typically within 24-36 business hours after FBI receipt.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 Conditions to view the FBI results. Viewing Criminal History Record Information (CHRI) requires the additional “View CHRI
Under Section 17(f)(2) of the Securities Exchange Act of 1934, (15 USC 78q(f)(2)), and Exchange Rule 17 f-2 thereunder, as amended, firms may be required to submit additional fingerprints if fingerprints are determined to be that the prior submission(s) are illegible or classified as rejected. The process for submitting additional fingerprints differs for broker-dealers and funding
Firms must submit fingerprints for individuals specified in Rule 17f-2 of the Securities and Exchange Act of 1934. Firms can submit fingerprint information electronically or by using hardcopy fingerprint cards.
Effective May 28, 2024, in accordance with the industry-led shortened settlement cycle from two business days (T+2) to one business day (T+1), FINRA will implement its changes for equity trade reporting. Please see DTCC notice for details of the financial industry coordination for this project and FINRA’s initial Technical Notice for this initiative which includes updates to its
Gerri Walsh is Senior Vice President of Investor Education at the Financial Industry Regulatory Authority (FINRA). In this capacity, she is responsible for the development and operations of FINRA’s investor education program. She is also President of the FINRA Investor Education Foundation, where she manages the Foundation’s strategic initiatives to educate and protect investors and to benchmark
(a) Dissemination Upon ReceiptFINRA will disseminate information on all transactions in TRACE-Eligible Securities, including transactions effected pursuant to Securities Act Rule 144A, immediately upon receipt of the transaction report, except as provided in paragraphs (b) through (d) of this Rule.(b) Periodic DisseminationFINRA will disseminate aggregated information on certain transactions in
