Resubmit Fingerprints

Under SEA Rule 17 f-2, firms may be required to resubmit fingerprints if the FBI determines that the prior submission(s) are illegible or classified as rejected. The process for resubmitting fingerprints differs for broker-dealers and funding portals.

Funding Portals


Funding portals should review the EFP Quick Reference Guide for Funding Portals for their fingerprint resubmission process.

Broker-Dealers


Web CRD systematically tracks the resubmission of fingerprints for those prints determined to be illegible (i.e., ILEG) or classified as rejected (i.e., REJT). FINRA will not return illegible/rejected fingerprints to firms.

When an illegible/rejected fingerprint status is posted to Web CRD, the registration status is automatically changed from "Approved Pending Results" back to "Approved Pending Prints" and the 30-day clock is reset. The firm must submit a new set of fingerprints for the individual within 30 days of the illegible/rejected status.

If the subsequent set of fingerprints are not received and processed within 30 days, the individual's registration status will change to "Inactive Prints." Individuals must suspend any business they are conducting until their registration returns to one of the “Approved” statuses. Individuals who remain “Inactive Prints” for two years will have their registration terminated and the status will change to “Terminated No U5” (T_NOU5).

If three timely fingerprint submissions are all deemed illegible by the FBI, FINRA will request an FBI Name Check; there is no fee for Name Checks. However, firms should be aware that if more than 365 days passed between the second and third fingerprint submissions, an additional fourth submission may be required.

The following table illustrates the timeline and subsequent registration status associated with illegible/rejected fingerprints. Additional information regarding the resubmission of fingerprints can be found in the Web CRD EFP Quick Reference Guide.

FP Submission Tracking

Fingerprint Disposition

Registration Status

Fingerprints received for processing

RECC, RECV, or RECT

APPROVED PENDING RESULTS

A prior submission is illegible/rejected and another submission is required within 30 days

ILEG or REJT

APPROVED PENDING PRINTS

A required resubmission of fingerprints is not received by FINRA within 30 days

ILEG or REJT

INACTIVE PRINTS

An individual has a status of “Inactive Prints” and allows two years to pass without resubmitting fingerprints

TERM

TERMINATED No U5

Third set of fingerprints is illegible and no more than 365 days passed between the second and third submission of fingerprints

NMCK
(while FBI searches by demographics)

APPROVED