Code of Federal Regulations Title17 Commodity and Securities Exchanges

PART 240 - GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934

  240.17f - 2    Fingerprinting of securities industry personnel.

(d) Record maintenance - (1) Maintenance of processed fingerprint cards and
other related information. Every member of a national securities exchange,
broker, dealer, registered transfer agent and registered clearing agency shall
maintain the processed fingerprint card or any substitute record when such card
is not returned after processing, together with any information received from
the Attorney General or its designee, for every person required to be
fingerprinted under section 17(f)(2) of the Securities Exchange Act of 1934 and for
persons who have complied with this section pursuant to paragraph (b) or (c) of
this section. Every substitute record shall state the name of the person whose
fingerprint card was submitted to the Attorney General of the United States,
the name of the member of a national securities exchange, broker, dealer,
registered transfer agent or registered clearing agency that submitted the
fingerprint card, the name of the person or organization that rolled the fingerprints,
the date on which the fingerprints were rolled, and the date the fingerprint
card was submitted to the Attorney General of the United States. The processed
fingerprint card and every other substitute record containing the information
required by this paragraph, together with any information received from the
Attorney General of the United States, shall be kept in an easily accessible
place at the organization's principal office and shall be made available upon
request to the Commission, the appropriate regulatory agency (if not the
Commission) or other designated examining authority. The organization's principal
office must provide to the regional, branch or satellite office actually
employing the person written evidence that the person's fingerprints have been
processed by the FBI, and must provide to that office a copy of any criminal history
record information received from the FBI. All fingerprint cards, records and
information required to be maintained under this paragraph shall be retained
for a period of not less than three years after termination of that person's
employment or relationship with the organization.

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