BD- Fingerprint Card Notification Letter to FINRA Document Services

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