Fingerprint Card Fees

FINRA processes fingerprint cards 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. Effective October 1, 2007, the Fingerprint Processing Fee will be reduced from $35.00 to $30.25. Below is additional information related to fingerprint processing fees:

 

• The FBI Fingerprint Fee of $17.25 is assessed to firms when the FBI returns a result (i.e., disposition). Note: The FBI does not charge its fee on the submission of a second set of fingerprints when it identifies both the first and the second sets of fingerprints as illegible for a particular individual.
  
  
• Pursuant to Section 4(b)(4) of Schedule A of the FINRA By-Laws, FINRA charges a fee to process fingerprints submitted by firms and post the results to Web CRD. The FINRA Fingerprint Processing Fee of $13.00 is assessed when FINRA processes:
  

 

• • A fingerprint card submitted by a firm and the received status is posted to Web CRD; and
    
  • A result (e.g., a copy of the Civil Applicant Response Sheet (CARS) and/or Criminal History Record Information(CHRI) processed through another SRO) submitted by a firm and the FBI result is posted to Web CRD.
    
    
• All fingerprint processing fees are available in the firm queues, reports, and accounting sections of Web CRD. The Account Activity Report and Firm Accounting Download include Billing Codes to assist firms in tracking Fingerprint Fees.