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Frequently Asked Questions
  Who is required to be fingerprinted and what records must my firm maintain?
Identification Number 1610

Pursuant to Exchange Act Rule 17f-2, every member of a national securities exchange shall require its partners, directors, officers and employees to be fingerprinted. All fingerprints shall be submitted to the Attorney General of the United States or its designee (i.e., the Federal Bureau of Investigations). Broker dealers must retain evidence that the fingerprints have been taken and submitted for each individual. Securities Exchange Act Rule 17f-2 allows for certain exemptions from fingerprinting but those exemptions are limited.

Publication Date*: 8/22/2019 Mailto Link Identification Number: 1610
material_search_footer*The Publication Date reflects the date of first inclusion in the Reference Library, which was launched on July 31, 2012, or a subsequent update to the material. Material may have been previously available on a different Nasdaq web site.
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