CRD Electronic Fingerprint Processing Reports/Queues

In order to help firms manage fingerprint requirements for registered individuals, Fingerprint and Accounting Reports are available on Web CRD, as are the Firm Notice Queues.  Included in these reports and queues are the "Approved Individual Registrations Queue," the "Individual Snapshot Report" and the "Individual Roster," which help track an individual's fingerprint status during the processing cycle.  Also, firms receive their fingerprint dispositions, including CHRI, electronically in their "Fingerprint Status Received from FBI Notice Queue."
 
The "Account Activity Report" and the "Firm Accounting Download" are also available on Web CRD.  These reports reflect FINRA's assessment of fees for firms when firms provide FINRA with a copy of a Civil Applicant Response Sheet or CHRI (or comparable documentation) from a fingerprint card that was processed by a self-regulatory organization (SRO) other than FINRA so that the FBI results may be posted to Web CRD.  FINRA will record the results in Web CRD as either RECP (processed with no CHRI) or as RECR (processed with CHRI). For additional information, see the Web CRD Quick Reference Guides.

Last Updated: 11/27/2013