The question of who must be fingerprinted at a FINRA dealer is one that often comes up in questions from clients. The answer can be found in SEC Rule 17f-2 – Fingerprinting of Securities Personnel. …
The question of who must be fingerprinted at a FINRA dealer is one that often comes up in questions from clients. The answer can be found in SEC Rule 17f-2 – Fingerprinting of Securities Personnel. …