Question

Fingerprint cards are required by the Securities and Exchange Commission (SEC) to be filed with?

1) the U.S. Attorney General
2) Financial Industry Regulatory Authority (FINRA)
3) any self-regulatory organization (SRO) approved by the SEC
4) the SEC

Answer 1

Fingerprint cards are required to be filed with any self-regulatory organization (SRO) approved by the SEC, such as FINRA.

Step-by-step explanation:

Fingerprint cards are required by the Securities and Exchange Commission (SEC) to be filed with any self-regulatory organization (SRO) approved by the SEC. The SEC is the regulatory body that oversees the investment industry, and it requires firms and individuals to submit fingerprint cards as part of their registration process. The SROs approved by the SEC, such as the Financial Industry Regulatory Authority (FINRA), play a role in collecting and maintaining these fingerprint cards.

Fingerprint cards are required by the Securities and Exchange Commission (SEC) to be filed with:

3) any self-regulatory organization (SRO) approved by the SEC