FBI results (dispositions) are automatically uploaded into Web CRD® for broker-dealer firms, and FPRD for funding portals. The most common fingerprint statuses are described below.
- CLER: Indicates that no arrest record has been found for the fingerprint transaction submitted to the FBI.
- RAPP: Indicates that the FBI has returned Criminal History Record Information (CHRI). The CHRI is available to entitled users. Once FINRA has completed its review of the CHRI details that is done as a part of FINRA's disclosure review, the fingerprint status is updated to show the status of COMP (Complete). The status of COMP indicates FINRA has completed its review of the CHRI details.
- ILEG: Indicates that the FBI determined the fingerprints to be illegible. If three sets of fingerprints are submitted for an individual and returned from the FBI with an ILEG disposition, FINRA will request an FBI Name Check. There is no fee for Name Checks.
View the complete list of fingerprint statuses.
Note: Firms are responsible for printing and keeping a copy of any Criminal History Record Information to satisfy their record keeping requirements.
Broker-Dealers Only: Web CRD systematically tracks the re-submission of fingerprint cards for those cards determined to be illegible (i.e., ILEG) or classified as rejected (i.e., REJT). Under SEC Rule 17 f-2 when an illegible/reject 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 fingerprint card for the individual within 30 days of the illegible/reject status. Illegible and reject cards are not returned to firms. If the second fingerprint card is not received within 30 days, the individual's registration status will change to "Inactive Prints." After two (2) years and 30 days, if FINRA has not received a second card, the registration status will change to "Terminated No U5" (T-NOU5).
Additional information regarding fingerprint statuses can be found in the Web CRD EFP Quick Reference Guide.
|FP Card Tracking||Registration Status|
|Illegible card identified||APPROVED PENDING PRINTS|
|After 30 days – No second card received||INACTIVE PRINTS|
|After 2 years and 30 days – No second card received||TERMINATED No U5|
Funding Portals: Funding portals are required under SEC Rule 17 f-2 to submit a new set of fingerprints for an individual when the FBI results are ILEG (illegible), unless three sets of fingerprints have been already submitted. Funding portals will receive an email notification when FBI results are received with instructions for entitled users to check FPRD. If the result is illegible, the email will include instructions that require a new set of fingerprints be submitted for the individual within 30 days of the notification. Fingerprint fees apply for each new set of fingerprints submitted to FINRA.
Following a third ILEG result, FINRA will request an FBI Name Check for the individual at no additional cost.
Additional information regarding fingerprint statuses can be found in the Web CRD Quick Reference Guide on Electronic Fingerprint Processing (EFP).