Electronic Fingerprint Processing
FINRA processes fingerprint transactions submitted by firms on behalf of their associated persons that are subject to the fingerprint requirements of Rule 17(f)(2) of the Securities and Exchange Act of 1934. Member firms have two ways to submit fingerprint information to FINRA. A firm may submit hard copy fingerprint cards to FINRA, which requires FINRA to process the card electronically using high-speed scanners and FBI certified hardware and software to electronically submit fingerprint transactions to the FBI. Alternatively, a firm may submit fingerprint information electronically to FINRA under FINRA's Electronic Fingerprint Submission (EFS) Program. The EFP Program allows for high-speed electronic transmissions of fingerprint data to the FB either through the firm contracting with a certified vendor, or by leasing/purchasing fingerprint scanners to submit their information directly to FINRA.
For the fastest turnaround of fingerprint results, FINRA recommends using the EFS Program to submit fingerprint information. The EFS Program offers the following advantages:
Details regarding the EFP Program and fingerprint processing may be viewed via the hyperlinks below.
For questions regarding FINRA's EFP Program, please contact the Gateway Call Center at (301) 869-6699.