How long do I have to submit the hard copy fingerprint card to FINRA after the filing is submitted electronically?
The fingerprint card MUST be received by FINRA within 30 days after a U4 filing is submitted to Web CRD. If the fingerprint card is not received within the 30-day time period, the individual’s FINRA registration status will be changed to “Inactive-prints”, and the individual will have to cease doing business until such time as the card is received and entered into the Web CRD system.
Related Questions
- After filing registration application online, do I have to submit a hard copy of the same to the concerned jurisdictional officer?
- How long do I have to submit the hard copy fingerprint card to FINRA after the filing is submitted electronically?
- Can I submit an order using my current name card in hard/soft copy instead of using the e-design feature?
