If an IA-only firm submits a fingerprint card to FINRA in error, what happens?
The fingerprint card is returned to the firm, and the firm should submit the fingerprint card directly to the state that requires the card. 3. How does a firm complete the Social Security Number (SS#) block of a fingerprint card for a foreign associate that does not have a SS#? Should the firm indicate that the person is “foreign” on the card? Should the firm indicate on a fingerprint card that a SS# has been requested but not yet issued? The SS# block on the fingerprint card is NOT mandatory. A firm should only provide a SS# on the card if the person has one. If there is no SS# (or the individual is in the process of applying for one), the firm should leave the SS# blank. A firm should NOT write “foreign” anywhere on the card. The “Citizenship” block indicates if the individual is a US citizen or not (providing the country designation where the person was born).
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- If an IA-only firm submits a fingerprint card to FINRA in error, what happens?
