Check the Status of Fingerprints

Fingerprint information can be accessed in Web CRD®.

Fingerprint submission results are generally posted in Web CRD within 24 - 36 business hours after FINRA transmits them to the FBI.

Entitled users can view the status of fingerprint submissions in “View Individual.” Users who have the required entitlement should select the “Show Statuses” button and accept the special Terms and Conditions to view the FBI status.

Entitled users can access the dispositions of all fingerprints submitted by a firm electronically via the “Fingerprint Status Received from FBI” notice queue in Web CRD. Users who wish to view Criminal History Record Information (CHRI) must have “View CHRI Information” privileges.

See the View Individual and Firm Queues for Individuals Quick Reference Guides for more information.

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REGISTRATION STATUS CODES

There are registration statuses for individuals related to fingerprint tracking in Web CRD. These statuses assist both firms and regulators in more precisely identifying the individual's fingerprint processing status.

When a Form U4 filing is submitted, typically their initial status is “Approved Pending Prints” (APPRNT). On occasion, a registration may instead show “Deficient” for fingerprints related to the fingerprint option selected on the U4. For more information, please review the Registration Deficiency Tracking Program Quick Reference Guide

When FINRA receives the fingerprint submission from your firm and transmits it to the FBI, the individual’s registration status changes from “Approved Pending Prints” (or another appropriate status such as Deficient) to “Approved Pending Results.”

Once the FBI result of either “CLER” or “RAPP” is posted to Web CRD, the individual’s registration status is updated to “Approved” if the individual has no other deficiencies.

Code

Explanation

Approved Pending Prints (APPRNT)

This status will appear when a fingerprint submission is required by FINRA. This status is set when:

  1. The fingerprint barcode has been entered at the time of the U4 filing and the fingerprint submission has not yet been received by FINRA.
  2. The FBI Disposition for the 1st or 2nd fingerprint submission was classified as "ILEG" or “REJT” and new fingerprints are required.

Approved Pending Results (APRSLTS)

This status will appear when the fingerprint submission has been received and forwarded to the FBI for results.

Fingerprint Deficiency

This status will appear under certain U4 filing conditions related to a fingerprint deficiency. It does not apply to investment adviser representatives. If set, the firm has 90 days to submit a new set of fingerprints before the registration will purge.

Purge

This status will appear if a firm did not submit a new set of fingerprints within 90 days (provided there weren’t any other deficiencies) of the U4 filing. A U4 amendment re-requesting the registration will be required if the firm still wants to register the individual.

Inactive Prints (INACTIVE_PRINTS)

This status will appear if an additional required fingerprint submission was not received within 30 days of the set APPRNT status. Individuals will remain in this status for two years before the system will automatically terminate the registration and change the status to (T_NOU5).

MOST COMMON FINGERPRINT STATUS CODES

FBI results (dispositions) are automatically uploaded into Web CRD for broker-dealer firms and FPRD for funding portals. The most common fingerprint statuses are described below.

Code

Explanation

CLER

Indicates that no arrest record has been found for the fingerprint transaction submitted to the FBI.

RAPP

Indicates that the FBI has returned Criminal History Record Information (CHRI). The CHRI is available to entitled users. 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.

ILEG

Indicates that the FBI determined the fingerprints to be illegible. If three sets of fingerprints are submitted for an individual and returned from the FBI with an ILEG disposition, FINRA will request an FBI Name Check. There is no fee for Name Checks. Additionally, no more than 365 days can have passed between the second and third submission of fingerprints.

All Fingerprint Status Codes

Code

Explanation

CDPD*

Firm provided barcode on form filing, and FINRA is awaiting receipt of fingerprints for processing.

CLER

FBI result indicating No Data was identified for fingerprints submitted.

CLRX

FBI result indicating No Data was identified based on Name Check search.

COMP

FINRA staff has completed review of CHRI identified by the FBI in response to fingerprints submitted.

CMPX

FINRA staff has completed review of CHRI identified by the FBI following Name Check search.

EXCX

FBI result indicating no match after Name Check search due to excessive candidates.

ILEG

FBI result indicating fingerprints submitted were determined to be illegible (by the FBI).

LGCY*

Fingerprint status provided prior to August 1999 conversion to Web CRD.

NMCK

Individual is undergoing a Name Check search based on FBI determination that previous fingerprint submissions were illegible.

RAPP

FBI result indicating CHRI was identified for fingerprints submitted.

RAPX

FBI result indicating CHRI was identified based on a Name Check search.

RECC

Fingerprints received at FINRA and forwarded to the FBI for processing.

RECD*

FINRA received a fingerprint submission that is missing information required for processing.

RECP*

Fingerprints were processed through another Self-Regulatory Organization (SRO) and the FBI identified No Data.

RECR*

Fingerprints were processed through another SRO and CHRI was identified.

RECT

A third fingerprint record was submitted to the FBI because fingerprints previously submitted were illegible.

RECV

A second fingerprint record was submitted to the FBI because fingerprints previously submitted were illegible.

REJT

Fingerprints were rejected by the FBI because required information was missing.

TERM*

Fingerprint record reflects termination based on form filing or other process.

XMPT

Individual is exempt from fingerprinting requirement (SEA Rule 17f-2) based on illegible prints or other criteria in Rule 17f-2.

*Status is only used in Web CRD