BD- Fingerprint Card Notification Letter to FINRA Document Services Resources or issuers of securities to

or issuers of securities to terminate the registration of an individual in the appropriate jurisdictions and/or self-regulatory organizations ("SROs")

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investment adviser firms must safeguard its customer information and ensure confidentiality

2/October 3

The OBA Disclosure Statement allows for registered advisory representatives and/or access persons to disclose and report all applicable outside business activities to the advisory firm for review and ongoing monitoring of actual and/or perceived conflicts of interest in compliance with applicable requirements

BD- Fingerprint Card Notification Letter to FINRA Document Services Resources or issuers of securities toThe Fingerprint Card Notification Letter to FINRA is a useful template when submitting hardcopy fingerprints to FINRA for processing. In accordance with SEC Rule 17f 2 (Fingerprinting of securities industry personnel), a broker dealer firm shall require that each of its partners, directors, officers and employees be fingerprinted and shall submit, or cause to be submitted, the fingerprints of such persons to the Attorney General of the United States