SEC Rule 17f-2 – Global Relay Intelligence & Practice

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

Latest News

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.

Latest News More on SEA 1934 Rule 17f-2

Enforcement

FINRA disciplinary action update 2024/47

December 11, 2024

Disciplinary decisions issued November 30 – December 6, 2024.

Thomas Hyrkiel2 min read
Enforcement

FINRA disciplinary action update 2024/36

September 26, 2024

Disciplinary decisions issued September 14 – 20, 2024.

Thomas Hyrkiel5 min read
Enforcement

FINRA disciplinary action update 2024/33

September 12, 2024

Disciplinary decisions issued August 17 – 23, 2024.

Thomas Hyrkiel2 min read
Enforcement

FINRA settles with Barclays Capital over fingerprinting, screening issues

August 27, 2024

FINRA alleges the firm did not fingerprint and properly screen non-registered associated persons based in foreign locations as required by its rules.

Julie DiMauro3 min read

Further Reading

FINRA SEC Rule 17f-2 FAQs