Fingerprints
Effective Sept. 6, 2022, the SEC terminated temporary 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.
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.