Electronic Fingerprint Submission (EFS)
Interested member firms and service providers who have been authorized by the firm may become certified by FINRA to replace hard copy fingerprint submissions with the electronic submission of fingerprints (i.e., fingerprint images) to FINRA via the Internet under FINRA's Electronic Fingerprint Submission (EFS) Program. FINRA has worked closely with the FBI, its electronic fingerprint vendor, and member firms to establish the guidelines of the EFS Program.
If you are interested in becoming an EFS participant or if you have any questions regarding EFS, please contact the Gateway Call Center at (301) 869-6699.
- Terms and Conditions - Participation in EFS is conditioned upon the acceptance, without modification, of all EFP and FINRA Terms and Conditions.
- Broker-Dealer Participant Agreement - Firms who wish to participate in EFS and submit electronic fingerprint transmissions to FINRA's Electronic Fingerprint (EFP) system must complete this Agreement.
- Authorized Broker-Dealer Agent Agreement - Service Providers, who have been authorized by the firm, to submit electronic fingerprint transmissions to FINRA's Electronic Fingerprint (EFP) system on behalf of the firm must complete this Agreement.
- Electronic Fingerprint Submission FINRA Certification Procedures - This document provides guidelines for configuring an electronic fingerprint system (a standard livescan or card scan fingerprinting system) for use by a firm or authorized agent of the firm to submit electronic fingerprints to the FINRA EFP System.
- Certified EFS Vendors
- FINRA Security Frequently Asked Questions