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NFA Coronavirus Update—Expiration of Temporary Relief from Fingerprinting Requirements

October 7th | 2020



Earlier this year, the CFTC's Staff Letter No. 20-20 provided for temporary relief from fingerprinting requirements that would expire September 30, 2020 or earlier in the event the NFA notified the public that it has resumed processing fingerprints. Firms should be aware that the relief was not extended beyond September 30.


Therefore, beginning on October 1, 2020, all applicants for AP registration and all natural persons being listed as a principal of an applicant or registrant must submit the applicant's or natural person principal's fingerprints on an applicant fingerprint card, which are available at facilities offering fingerprinting services.


Thus, anyone who relied on the temporary relief should plan on submitting the required fingerprints to NFA by November 2, 2020. If a firm or person finds this deadline cannot be made due to extenuating circumstances, they should contact NFA's Information Center (1-800-621-3570 ).

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