Electronic Fingerprint Processing

Member firms have two ways to submit fingerprint cards to FINRA. A firm can submit hard copy fingerprint cards to FINRA, where FINRA will scan cards through the use of high-speed scanners and FBI certified hardware and software to electronically submit fingerprint transactions to the FBI. Alternatively, a firm can become certified by FINRA and replace hard copy fingerprint submissions to FINRA with the electronic submission of fingerprints (i.e., fingerprint images) under FINRA's Electronic Fingerprint Submission (EFS) Program. The EFP system allows for high-speed electronic transmission of fingerprint cards to the FBI and electronic receipt of FBI dispositions for automatic uploading into Web CRD. Member firms should receive the FBI results electronically via specified queues in Web CRD in three (3) business days or less.

 

Details regarding EFP can be viewed via the hyperlinks below.

 

• FINRA Security Frequently Asked Questions 
• Registration Statuses
• Fingerprint Statuses
• FBI Name Check (NMCK) for Illegible Fingerprints
• Criminal History Record Information (CHRI)
• CRD Reports/Queues
• Fingerprint Card Fees
• Electronic Fingerprint Processing Notice to Members 03-41

 

For questions regarding Electronic Fingerprint Processing, please contact the Gateway Call Center at (301) 869-6699.