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.
- Terms and Conditions – Participation in EFS is conditioned upon the acceptance, without modification, of all FINRA EFP Terms and Conditions.
- Broker-Dealer Participant Agreement – Firms who wish to participate in EFS and submit electronic fingerprint transmissions must complete this Agreement.
- Authorized Broker-Dealer Agent Agreement – Vendors who are authorized by a firm to submit electronic fingerprints on behalf of the firm must complete this Agreement.
- Electronic Fingerprint Submission FINRA Certification Procedures – This document provides guidelines for properly configuring an electronic fingerprint system for submission to FINRA.
- Certified EFS Vendors – List of vendors certified by FINRA staff.
- FINRA EFS Frequently Asked Questions – FAQs pertaining to EFS for participating firms and vendors.
- FINRA Security Frequently Asked Questions – FAQs pertaining to security practices and procedures used by FINRA staff.
- Error Help Guide – List of common error messages and helpful information on how to resolve them.
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.