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Fingerprints

Effective Sept. 6, 2022, the SEC terminates exemptive relief from fingerprinting requirements for, among others, members and their associated persons; termination of additional temporary extension of time for submission of fingerprint information for registered persons and persons seeking registration under FINRA Rules.

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What Do You Want to Do?

Submit Fingerprints

Submit fingerprints electronically through the EFS program or via hardcopy.

Check Fingerprint Status

FBI results are automatically uploaded into CRD for broker-dealer firms.

Resubmit Fingerprints

Fingerprint submissions the FBI determines as illegible or rejects must be resubmitted.

Fingerprint Fees

Firms are assessed fees for each fingerprint submission.

Electronic Fingerprint Submission (EFS) Information

Firms can install a vendor's fingerprinting equipment or send individuals to the vendor's office to submit fingerprints electronically.

Certified EFS Vendors

Find an EFS vendor that is certified to participate in the Electronic Fingerprint Submission (EFS) Program and is contracted with Sterling.

Frequently Asked Questions

FAQ for firms and investment advisers.