Electronic Fingerprint Submission (EFS)

Interested broker-dealer firms, funding portals and authorized vendors may become certified by FINRA to submit electronic fingerprints (i.e., fingerprint images). These electronic fingerprints are submitted through FINRA's Electronic Fingerprint Submission (EFS) Program. Note: The EFS program is not available to investment adviser firms.

The documents and reference material below will assist firms and vendors in understanding EFS and fulfilling prerequisite steps to submit electronic fingerprints.

If you are interested in becoming an EFS participant or if you have any questions regarding EFS, please contact an EFS Coordinator at (240) 386-4182 or send an email.