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Finra

Financial advising
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Our mission is to provide a forum for investors, brokerage firms, registered investment professionals, and others who interact with FINRA to … See more

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Which firm personnel are required to be fingerprinted?
A:
A1: Pursuant to Section 17(f)(2) of the Securities Exchange Act of 1934, (15 USC 78q(f)(2)), and Exchange Rule...
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