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Do IA-only firms submit fingerprint cards to FINRA for processing?

April 26, 2017cards fingerprint FINRA firms ia-only submit

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Do IA-only firms submit fingerprint cards to FINRA for processing?

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No. IA-only firms submit fingerprint cards directly to the states. Not every state requires fingerprint cards for an RA registration. A firm should contact the relevant state to verify state fingerprint card requirements.