Rule 17f-2(a): Fingerprinting Requirements for Securities Professionals

OMB 3235-0034

OMB 3235-0034

Rule 17f-2(a) requires that all securities personnel be fingerprinted. This requirement serves to: (1) identify security risk personnel; (2) allow employers to make fully informed employment decisions; and (3) deter possible wrongdoers from seeking employment in the securities industry. Partners, directors, officers, and employees of exchanges, broker-dealers, transfer agents, and clearing agencies are included.

The latest form for Rule 17f-2(a): Fingerprinting Requirements for Securities Professionals expires 2022-04-30 and can be found here.

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