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Fingerprints

 

FINRA Fingerprint Process Change

On Nov. 2, 2021, the SEC declared FINRA’s new fingerprint plan effective. The new plan describes changes to FINRA’s fingerprint process, which is effective as of Dec. 6, 2021. Under the new process, broker-dealers and funding portals must route fingerprints to Sterling, FINRA’s designated fingerprint provider. Sterling will process and submit 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.

Pay Fees

Firms are assessed fees for each fingerprint submission.

Certified EFS Vendors

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


Need Help?

Contact the Gateway Call Center:

Broker-dealer firms: (301) 869-6699

Funding portals: (301) 590-6500