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Fingerprints

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.

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

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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.