D.C. Mun. Regs. tit. 26, r. 26-B129

Current through Register 71, No. 45, November 7, 2024

Rule 26-B129 - FINGERPRINT REQUIREMENT

129.1

Each applicant applying for an initial license, or who is going from inactive to active status as an agent, broker-dealer, investment adviser, or investment adviser representative, shall obtain a criminal background check and shall be subject to the Fingerprint-Based Background Check Authorization Act of 2012, effective June 20, 2012 (D.C. Law 19-143, D.C. Official Code § 31-631et seq.).

129.2

All fingerprinting shall be clearly legible and shall be recorded on the forms as authorized and currently in use by the Federal Bureau of Investigation.

D.C. Mun. Regs. tit. 26, r. 26-B129

Final Rulemaking published at 60 DCR 16653 (December 6, 2013)

Authority: Sections 101 through 104 of the DISB Fingerprint-Based Background Check Authorization Act of 2012, effective June 20, 2012 (D.C. Law 19-143; DC Official Code §§ 31 -631634 (2012 Repl.)); Section 203 of the Securities Act of 2000, effective October 26, 2000 (D.C. Law 13-203, D.C. Official Code § 31-5602.03(e) (2012 Repl.)); and Title I of the District of Columbia Administrative Procedure Act, effective October 1, 1968 (82 Stat. 1204; D.C. Official Code § 2-501, et seq.(2012 Repl.)).