Who is required to be fingerprinted for FINRA?

Section 17(f)(2) of the Securities Exchange Act of 1934 requires firms to submit fingerprints for all partners, directors, officers and employees, unless they are exempt under those same provisions. Rule 17f-2 exempts employees from fingerprinting who do not:

• Sell securities,
• Regularly have access to the keeping, handling, or processing of securities, monies, or the original books and records relating to the securities or monies or,
• Have direct supervisory responsibility over those who sell securities or have access to securities, monies, or the original books and records.