Series 28: Fingerprint Records

Taken from our Series 28 Online Guide

Fingerprint Records

Every member firm must submit to the U.S. Attorney General a processed fingerprint card for every registered person in its employ, unless the associated person:

  • Does not engage in or supervise either the sale of securities or the handling of securities or money or their related books and records
  • Does not engage in or supervise transfer agent functions
  • Only sells mutual fund shares

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