Fingerprint Card Submissions for Investment Adviser Representative Only Applicants

Investment Adviser (IA) firms (either IA-only or joint Broker/Dealer-IA firms) that may be required to submit fingerprint cards for their IA Representative Only Applicants should submit these fingerprint cards directly to the requesting jurisdiction/state for processing, as stated on page 3 of the Form U4 instructions and on the Form U4 in the "Fingerprint Information" section for "Investment Adviser Representative Only Applicants."

Fingerprint cards for Investment Adviser Representative Only Applicants should NOT be submitted to FINRA. If an IA firm erroneously submits a fingerprint card to FINRA for an IA Representative Only Applicant, the card will be processed and the firm will be charged the FINRA Fingerprint Card Fee of $35.00*. Additionally, the results of the card may be posted** to Web CRD^®.

If you have questions regarding fingerprint requirements for an Investment Adviser Representative Only Applicant with your firm, please contact the appropriate jurisdiction/state. A state directory can be found on the NASAA Web site.

*PLEASE NOTE: FINRA will not refund the Fingerprint Card Fee for a processed card when an IA firm erroneously submits a fingerprint card to FINRA instead of to the appropriate jurisdiction/state.

**If the results of a fingerprint card for an IA Representative Only Applicant with your firm are posted to Web CRD, please call the IARD Hotline at (240) 386-4848 for assistance with removing the results information.

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