Electronic Fingerprint Submission (EFS) Information

FINRA member broker-dealers and funding portals are eligible to submit fingerprints electronically through encrypted email via FINRA’s Electronic Fingerprint Submission (EFS) program.

Note: FINRA does not process fingerprints for Investment Adviser (IA) firms. IA firms should contact their regulator for fingerprinting assistance. 

Follow the steps outlined below to transmit fingerprints electronically to FINRA.

1. Determine how your firm will submit fingerprints

There are two options for electronic fingerprint submissions:

  1. Send individuals to a certified EFS vendor’s office location. The vendor will transmit fingerprints electronically on behalf of your firm to FINRA.
     

    OR

  2. Purchase and install fingerprinting equipment provided by a certified EFS vendor. Your firm will fingerprint associated individuals on-site and directly submit fingerprints to FINRA.

Not all EFS vendors offer both submission options; please confirm service terms and conditions with your vendor.

2. Select a fingerprint vendor

Contract a fingerprint vendor who can accommodate your submission preference. FINRA maintains a list of certified EFS vendors at the bottom of this page. If your firm selects a certified vendor that will submit fingerprints on your behalf from a vendor’s location, then you do not need to notify FINRA. If your firm purchases fingerprinting equipment to be used at your location, email the FINRA EFS Coordinator and provide the appropriate vendor information.

If you choose a vendor that is not yet certified to transmit fingerprints to FINRA, the vendor must contact an EFS Coordinator via email or by phone at (240) 386-4182. Vendors must complete the EFS certification process before they can transmit fingerprints to FINRA.

3. Obtain additional required items

FINRA requires your firm to obtain some additional materials in order to submit fingerprints electronically:

  1. Unique FINRA Barcodes: Every fingerprint submission requires a FINRA barcode in order to transmit to FINRA. Contact the FINRA Gateway Call Center at (301) 590-6500 to order a free supply of FINRA barcodes.
  2. A Secure Email Certificate: Firms using their own fingerprinting equipment need a Secure Email Certificate to submit fingerprints to FINRA. Visit the Entrust website to learn more and enroll.

4. Complete System Configuration Testing

If necessary, a FINRA EFS Coordinator will contact your vendor to schedule configuration testing. After successful test transmissions, your firm will be able to submit fingerprints electronically to FINRA.

Questions?

Please visit the FINRA EFS FAQ page for more information. See the Error Help Guide for a list of common error messages and helpful information on how to resolve them. Contact an EFS Coordinator at (240) 386-4182 for additional guidance about FINRA’s EFS Program.

Certified EFS Vendors

The following commercial vendors have successfully completed FINRA's Electronic Fingerprint Submission (EFS) certification testing from a technical standards perspective only. FINRA certified the vendors listed below to participate in EFS. This list is a resource only, and FINRA does not endorse or recommend any of the vendors on the list.