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Register a New Broker-Dealer Firm

FINRA Fingerprint Process Change

FINRA’s new fingerprint process for broker-dealer firms and funding portals became effective 7 a.m. ET on Dec. 6, 2021, consistent with the fingerprint plan filed with and declared effective by the SEC. Under the new process, broker-dealers and funding portals must route fingerprints to Sterling, FINRA’s designated fingerprint provider. Sterling processes and submits fingerprints to the Department of Justice (FBI) for broker-dealer firms and funding portals. Benefits of this process change include state-of-the-art technology, processing efficiencies and reduced pricing for firms.


To conduct securities transactions and business with the investing public in the United States, both firms and individuals must be registered with FINRA. Firms must apply and meet certain membership standards to become a FINRA-registered broker-dealer.

FINRA asks that would-be Applicants take time to review and understand all FINRA’s substantive and procedural requirements prior to applying. These can be found in the FINRA Rule 1000 Series and FINRA Rule 1014. Applicants should also read this section of FINRA.org and the applicable FINRA and SEC rules thoroughly.

Applying for FINRA membership is an extensive multistep process. If after reviewing the information in this section you need additional assistance, please contact FINRA’s Gateway Business Application Support (GBAS) group at (800) 321-6273. Working with GBAS can help answer your questions and make the application process smooth and efficient.


How to Apply


Learn how to submit a New Member Application, from reserving your firm’s name to filling out the required registration and membership forms. Form NMA and supporting documentation must satisfy the Standards of Admission.


After You Apply


FINRA must review and process substantially complete applications within 180 calendar days. Learn what to expect after you apply, including how to amend an application and what to expect from the membership interview.