Help Guide for EFS Error Messages

Firms and vendors should utilize this document to understand electronic fingerprint submission error notifications. To research the error referenced in the email you received, look for the language in the Errors column below. The table includes a Description that will assist you in resolving the issue with the Field identified in the error message. Emails may contain more than one error and these errors will be listed in sequence. You will need to retrieve the fingerprints by TCN (first 10 digits after FINRA are the barcode), correct the appropriate field, and resubmit to FINRA.

To illustrate this, please use this text as a sample error: Field 2.093: SIZE 0 < MIN SIZE 1

Illustration: The first part of this message shows the field where the problem occurred (2.093) and the part after the colon indicates the error (Size 0 < MIN SIZE 1). In this example, the data contained in field 2.093 does not equal the minimum value of 1 number.

Errors

Description

MANDATORY MISSING

The data required for this field was not included.

INV ITEM

Invalid code selected from the allowed values. Refer to links below to obtain information regarding the allowed values.

INV CHAR

An unsupported character was included; spaces and punctuation (periods, commas, colons, etc.) are not allowed in some fields.

SIZE # < MIN SIZE #

The data provided did not meet the minimum size expected.

SIZE # > MAX SIZE #

The data provided exceeded the maximum size expected.

VALUE # < MIN VALUE #

This error indicates that there is a problem with the fingerprint images.

OCC # > MAX OCCURRENCE #

The number of digits or characters entered exceeds the maximum allowed.

DTTM TOO SMALL

The year included is less than 1901.

DTTM TOO BIG

A future date is not an allowed value.

INV DAY

The day included in the date field is invalid.

INV HOUR

The month included in the date field is invalid.

VALUE ' ' NOT A PURE NUM

The required data is numeric (0-9) and non-numeric characters were received.

UNDEFINED

The field was included in your submission but is not supported.

INVALID RECORD TYPE #

Fingerprint impressions submitted are not supported.

SSN or CRD number is required for applicant with POB in USA

A Social Security Number or CRD Number was not included for a person born within the USA.

For resources on code values (POB, Citizenship, Eye/Hair color, etc.) and more information on fingerprint card requirements, reference FINRA EFS Certification Procedures, FBI NCIC Guidelines, and NCIC Code Manual.

If you have questions, please contact the EFS Coordinator at (240) 386-4182.