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All Fingerprint Statuses

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.

Code Explanation

CDPD*

Firm provided barcode on form filing and awaiting receipt of fingerprints for processing.

CLER

FBI result indicating No Data was identified for fingerprints submitted.

CLRX

FBI result indicating No Data was identified based on Name Check search.

COMP

FINRA staff has completed review of CHRI identified by the FBI in response to fingerprints submitted.

CMPX

FINRA staff has completed review of CHRI identified by the FBI following Name Check search.

EXCX

FBI result indicating no match after Name Check search due to excessive candidates.

ILEG

FBI result indicating fingerprints submitted were determined to be illegible (by the FBI).

LGCY*

Fingerprint status provided prior to August 1999 conversion to Web CRD.

NMCK

Individual is undergoing a Name Check search based on FBI determination that previous fingerprint submissions were illegible.

RAPP

FBI result indicating CHRI was identified for fingerprints submitted.

RAPX

FBI result indicating CHRI was identified based on a Name Check search.

RECC

Fingerprints received and forwarded to the FBI for processing.

RECD*

A fingerprint submission that is missing information required for processing.

RECP*

Fingerprints were processed through another Self-Regulatory Organization (SRO) and the FBI identified No Data.

RECR*

Fingerprints were processed through another SRO and CHRI was identified.

RECT

A third fingerprint submission to the FBI because fingerprints previously submitted were illegible.

RECV

A second fingerprint submission to the FBI because fingerprints previously submitted were illegible.

RECX*

Fingerprints were received and processed by FINRA.

REJT

Fingerprints were rejected by the FBI because required information was missing.

TERM*

Fingerprint record reflects termination based on form filing or other process.

XMPT

Individual is exempt from fingerprinting requirement (SEA Rule 17f-2) based on illegible prints or other criteria in Rule 17f-2.

* Status is only used in CRD