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This guide assists you in tracking your FINRA fingerprint submission after your appointment. It walks you through visiting our FINRA webpage, accessing your transaction history by logging in with your email, and looking for a Transaction Control Number (TCN) which confirms a successful submission.
What is the definition of an affiliate in FINRA?
Affiliated Means under common ownership or control. Affiliated Firm. Means a broker-dealer under common ownership or control with the filing firm.
What is a NRF filing?
Fingerprint cards are maintained by the CRD system for non-registered individuals through Non-Registered Fingerprint (NRF) filings. Firms can terminate a relationship with an NRF at any time through CRD.
What does NRF stand for in FINRA?
5) Terminate an NRF Association (pg. 5) Bulk Termination for NRF Individuals (pg. 6) Amend NRF Termination Dates (pg. 8) Fingerprint cards are maintained by Web CRD for non-registered individuals through Non-Registered Fingerprint (NRF) filings.
Is FINRA a registered national securities association?
1 FINRA is currently the only registered national securities association. 2 See Securities Exchange Act Release No.
A Form NRF (Non-Registered Fingerprint) is used when a nonregistered person has access to or handles books and records, to ensure compliance and mitigate financial fraud risks.
What is NRF filing with FINRA?
An Initial NRF filing is used to associate a non-registered individual with your firm. The Initial NRF filing consists of the following sections: General Infor- mation, Personal Information, and Other Names.
nrf finra
17 CFR 240.17f-2 - Fingerprinting of securities industry
Every member of a national securities exchange, broker, dealer, registered transfer agent and registered clearing agency may claim one or more of the exemptions
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