FINRA has taken disciplinary actions against the following firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of theMunicipal Securities Rulemaking Board (MSRB).
In-Person Registration Systems Foundation (Fee $300 per person): includes a single day of in-person training for firms on FINRA Gateway and related systems.
NASD® has taken disciplinary actions against the following firms and individuals for violations of NASD rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
The process for submitting fingerprints differs for broker-dealers and funding portals. Funding portals should review the EFP Quick Reference Guide for Funding Portals for their fingerprint submission process.Organizations that collect or receive information in connection with fingerprinting personnel, including Criminal History Record Information (CHRI), are responsible for
The OATS Reporting Technical Specifications document covers the requirements and procedures for clock synchronization; system access requirements for supplying OATS files to FINRA
FINRA has taken disciplinary actions against the following firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of theMunicipal Securities Rulemaking Board (MSRB).
NASD® has taken disciplinary actions against the following firms and individuals for violations of NASD rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
With Electronic Fingerprint Processing, FBI results (dispositions) are automatically uploaded into Web CRD®. The most common fingerprint statuses are described below.A status of CLER
This OATS Report is being issued to update guidance on the OATS reporting requirements for the use of the Account Type Code value of "X"- Error Account previously published on August 4, 2008.
