Fingerprint Card
Every officer or employee of a member firm who sells, handles, or processes securities, or who supervises those who do, must be fingerprinted as part of the registration process. Fingerprint cards may be filed electronically or by hard copy obtained through the Gateway Call Center. They must accompany every Form U4.
Example Question: Which of the following is exempt from the fingerprinting requirement outlined in the Securities Exchange Act of 1934?
- A. A member of the Merrill Lynch Board of Directors
- B. An administrative assistant i