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CFTC Proposes Rules Providing an Alternative to Fingerprinting for Foreign Natural Persons
8 January 2016
View Client Update
The CFTC has proposed rules to provide an alternative for foreign natural persons who are required to provide fingerprint cards in applications for CFTC registration.
The proposed rules would allow the registered firm of such foreign natural persons to complete a criminal history background check in lieu of submitting fingerprint cards.
The proposed rules would expand the current exemptive relief provided by two CFTC no-action letters, and if adopted, would supersede the no-action letters.
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