With Electronic Fingerprint Processing, FBI results (dispositions) are automatically uploaded into Web CRD®. The most common fingerprint statuses are described below. A status of CLER indicates that no arrest record has been found for the fingerprint transaction submitted to the FBI. A status of RAPP indicates that the FBI has returned Criminal History Record Information (CHRI). The CHRI is available on Web CRD 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. If a FINRA Disclosure Review Analyst is requesting additional action in response to the individual's CHRI details, an outstanding disclosure letter is sent to the firm's Outstanding Disclosure Letters Notice Queue. A status of ILEG indicates that the fingerprints were illegible. If three cards are submitted and returned from the FBI with an ILEG disposition, FINRA will perform a Name Check.
Web CRD also 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). 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).
|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|
Additional information regarding fingerprint statuses can be found in the EFP Quick Reference Guide.