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Table of Contents Introduction What Are FINRA Fingerprints? Why Does FINRA Require Fingerprints? Who Must Be Fingerprinted Under FINRA Rules? Legal Framework: SEC Rule 17f-2

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Table of Contents  Introduction What Are FINRA Fingerprints? Who Needs FINRA Fingerprints? Live Scan vs. Hard-Card Fingerprinting Key Regulatory Requirements & Timeline How Houston Fingerprint

Table of Contents  Introduction What Is a FINRA Fingerprint? Who Must Provide FINRA Fingerprints? Why Fingerprints Matter in the Securities Industry FINRA Fingerprint Process &

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