Proposed Amendments to NFA Registration Rule 209. Alternative to the Fingerprint Filing Requirement in Certain Cases

  • Jason Mongiello
  • 1:59 am
  • NFA

NFA’s Board has amended NFA Registration Rule 209(d) to remove the requirement that the individual must have submitted the Form U4 to FINRA within the last 90 days, provided FINRA has either already approved the individual or that approval is pending.

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