New Fingerprint Statuses
New RAP Fingerprint Status – COMP
With Electronic Fingerprint Processing, FBI results (dispositions) automatically uploaded into Web CRD. For individuals with Criminal History Record Information (CHRI) as determined by the FBI, the status of RAPP will automatically populate in Web CRD. Once FINRA has completed its review of the CHRI details that is done as a part of FINRA’s disclosure review, the fingerprint status is updated to show the status of COMP (Complete). The status of COMP indicates FINRA has completed its review of the CHRI details. If a FINRA Disclosure Review Analyst is requesting additional action in response to the individual’s CHRI details, an outstanding disclosure letter is sent to the firm’s Outstanding Disclosure Letters Notice Queue.
New Card Receive Status – RECR
With Electronic Fingerprint Processing, the status of RECR appears in Web CRD as a new fingerprint status when, consistent with the requirements of Rule 17f-2 of the Securities Exchange Act of 1934, a firm provides fingerprint processing results originally processed through an SRO other than FINRA. The RECR status applies to fingerprint submissions with Criminal History Record Information (CHRI). The "RECP" status continues to be used if the person had no arrest information as determined by the FBI. A $13.00 Fingerprint Fee* is assessed when FINRA posts an RECR or RECP to an individual’s record. The fee covers FINRA’s cost of posting the information to Web CRD.
New Fingerprint Tracking for Illegible/Rejected Cards
With Electronic Fingerprint Processing, Web CRD systematically tracks the re-submission of fingerprint cards for those cards determined to be illegible (i.e., ILEG) or classified as rejected (i.e., REJT). When an illegible/reject fingerprint status is posted to Web CRD, the registration status is automatically changed from "Approved Pending Results" back to "Approved Pending Prints" and the 30-day clock is reset. The firm must submit a new fingerprint card for the individual within 30 days of the illegible/reject status. Illegible and reject cards are not returned to firms. If the second fingerprint card is not received within 30 days, the individual’s registration status will change to "Inactive Prints." After 2 years and 30 days, if FINRA has not received a second card, the registration status will change to "Terminated No U5" (T-NOU5).
| FP Card Tracking | Registration Status |
| Illegible card identified | APPROVED PENDING PRINTS |
| After 30 days - No second card received | INACTIVE PRINTS |
| After 2 years and 30 days - No second card received | TERMINATED No U5 |
