FINRA processes fingerprints firms submit on behalf of their associated persons, who are required to be fingerprinted pursuant to Section 17f-2 of the Securities Exchange Act of 1934. The fingerprint requirements for funding portals differ slightly from broker-dealers; the information provided on this page and related links pertain to broker-dealers. Funding portals should review the Fingerprint Processing for Funding Portals page for their complete information.
Firms can submit fingerprint information to FINRA in two ways: electronically through FINRA's Electronic Fingerprint Submission (EFS) Program or by using hard copy fingerprint cards. FINRA’s Electronic Fingerprint Processing (EFP) enables FINRA to electronically exchange fingerprint information with the FBI, which includes transmitting fingerprints to the FBI and receiving results for upload to Web CRD.