SEC Provides Temporary Exemptive Relief from Fingerprinting Requirements for, Among Others, Members and All of Their Associated Persons; FINRA Provides Additional Temporary Extension of Time for Submission of Fingerprint Information for Registered Persons
What Do You Want to Do?
Submit fingerprints electronically through the EFS program or via hardcopy.
FBI results are automatically uploaded into CRD for broker-dealer firms.
Fingerprint submissions the FBI determines as illegible or rejects must be resubmitted.
Firms are assessed fees for each fingerprint submission.
Firms can install a vendor's fingerprinting equipment or send individuals to the vendor's office to submit fingerprints electronically.
Find an EFS vendor that is certified to participate in the Electronic Fingerprint Submission (EFS) Program and is contracted with Sterling.
FAQ for firms and investment advisers.