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SEC Rule 17f-2

Requires fingerprinting of securities industry personnel to prevent fraud and ensure the integrity of the securities industry.

Rule Overview

Jurisdiction: United States

Regulator: SEC

Topic: Controls and Procedures

Overview
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Further Reading

Mandates that broker-dealers, national securities exchanges, and registered transfer agents fingerprint their partners, directors, officers, and employees to verify their identities and check for any criminal history through the FBI.

The rule requires that fingerprint cards be submitted to the FBI for processing and that the results be maintained on file for at least three years.

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More on SEA 1934 Rule 17f-2
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Further Reading

FINRA SEC Rule 17f-2 FAQs Go to https://www.finra.org/registration-exams-ce/classic-crd/fingerprints/faq