Electronic Fingerprinting - Quick Reference Guide for Funding Portals

A Funding Portal organization applying for FINRA membership must comply with SEA Rule 17f-2 and submit fingerprints for all persons who are or will be associated with the Funding Portal member. 

As part of the FINRA membership application process, a Funding Portal applicant must initially submit all fingerprints in hard copy (i.e., fingerprint cards) for its associated persons until the applicant receives its Organization (Org) ID # from FINRA.  An Org ID # is assigned when FINRA processes the member applicant's New Funding Portal Organization Super Account Administrator (SAA) Entitlement Form to grant access to the FINRA Funding Portal Registration Depository (FPRD). Firms should apply the Org ID # to all initial fingerprint cards received with the member entitlement package.

Once the Funding Portal applicant is assigned its Org ID #, fingerprints may be submitted to FINRA electronically (e.g., through a commercial fingerprint vendor that submits the fingerprint data to FINRA) under FINRA’s Electronic Fingerprint Submission (EFS) Program or may continue to submit hard copy fingerprint cards.

FINRA processes fingerprint transactions and submits fingerprint information to the FBI electronically. Funding Portal organizations are able to view fingerprint statuses in FPRD.  Statuses include the received status to indicate FINRA received fingerprints for an associated individual and includes the FBI results of the Criminal History Record Information (CHRI) check.

Key Fingerprint Information

  • Fingerprint cards may be purchased from FINRA by contacting the Gateway Call Center at 301-590-6500.  The fee is $5.00 for a pack of 25 cards.
  • Individuals who are to be fingerprinted will need to take a FINRA fingerprint card to a police station, and for a fee, be fingerprinted.  For electronic fingerprint submissions, a list of vendors is available on the FINRA website.
  • Fingerprint cards should be mailed to:

    First Class Mail
    FINRA
    P. O. Box 9495
    Gaithersburg, MD 20898-9495

    Overnight/Courier Mail
    FINRA
    Document Services
    9509 Key West Avenue, 3rd Floor
    Rockville, MD 20850

    Note: When sending Overnight/Courier Mail, please include the following phone number: (301) 869-6699.
  • Fees: Firms are charged a FINRA fingerprint fee and the fee amount depends on whether the submission is electronic or hard copy. There is also an FBI fingerprint fee for first and third fingerprint  submissions for the same individual. The FBI does not charge a fee for second submissions for the same individual.
    • Firms are charged $25 (FBI and FINRA fee for electronic submissions) or $40 (FBI and FINRA fee for hard copy submissions) for the first submission of a fingerprint card. If the first submission is returned as illegible by the FBI, the fee to process the second submission is $30 for hard copy submissions or $15 for electronic submissions (FINRA’s processing fee). The processing fee for third submissions is $25 or $40 (FBI and FINRA fee).
  • Fingerprint statuses from the FBI are generally posted to FPRD within 24 business hours following FINRA submission to the FBI.
  • Entitled users can view the FBI response to fingerprint card submissions in FPRD. Users that have the required entitlement will have to Accept the Terms and Conditions to view the status received from the FBI.
  • Fingerprint statuses in FPRD are identified as a code.
  • A fingerprint status by the FBI as illegible (i.e. an ILEG code in FPRD) will require another fingerprint submission for the individual to be sent to FINRA within 30 days of the ILEG status. A third illegible status will result in a Name Check that FINRA facilitates with the FBI.
  • FINRA has a list of Frequently Asked Questions to help Funding Portal members submit fingerprint cards.
  • All fingerprint cards must be submitted with the individual’s Social Security number, if applicable. The card must include the individual's signature, the signature of the individual taking the prints, Sex, Date of Birth (DOB), Place of Birth, Height, Weight, Hair and Eye Color as well. To ensure accurate processing, confirm that all fields are complete with the correct identifying information.

Fingerprint Submission Process

  • Initial Submission: The FBI fingerprint fee is assessed when the FBI result is posted to FPRD. The individual’s fingerprint status will depend on the result received. If the result is illegible (ILEG) or rejected (REJT), FINRA will track the firm’s re-submission of that individual’s fingerprint card. If illegible, FINRA will notify the firm by email that a second fingerprint submission is required within 30 days of the last result.
  • Second Submission: When the first fingerprint card submitted to FINRA is determined to be illegible, the second fingerprint card submitted to FINRA will only be assessed FINRA’s Fingerprint Fee ($15 for electronic submissions or $30 for hard copy submissions). If the fingerprint card is illegible or rejected a second time, FINRA will notify the firm by email that a third fingerprint submission is required within 30 days of the last result.
  • Third Submission: When the third fingerprint card is submitted to FINRA, both the FINRA and the FBI fingerprint fees are assessed. If the result of the third submission is illegible, FINRA will update the    individual’s fingerprint status to Name Check Search for this individual (NMCK). The FBI will use the individual’s demographic information to check for any CHRI, and upon return of the FBI result, the fingerprint status will update to CLRX, RAPX, CMPX, or EXCX as applicable. If the result of the third submission is REJT, another fingerprint card must be submitted for the individual within 30 days. If RAPX the disposition report will be mailed to a person at the firm that is authorized to view Criminal History Record Information (CHRI).

Fingerprint Statuses

Status Code Description

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).

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

The first fingerprint record was submitted to FINRA and forwarded to the FBI for processing.

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.

XMPT

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

Questions on Fingerprints? 

Call the FINRA Gateway Call Center at 301-590-6500

8 AM through 8 PM, ET, Monday-Friday.