Electronic Fingerprint Submission (EFS) Information

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EFS Instructions

Broker-dealer firms and funding portals can submit fingerprints electronically to Sterling Identity (Sterling), FINRA’s designated fingerprint provider, by following the steps below.

1. Determine how your firm will submit fingerprints

There are two options for electronic fingerprinting:

  1. Send individuals to a participating EFS vendor’s location. The vendor will transmit fingerprints electronically on behalf of your firm to Sterling. Firms that use this option must contact the EFS vendor to use the vendor’s services and locations.
     
    OR
     
  2. Purchase or lease electronic fingerprinting equipment provided by Sterling or another fingerprint equipment provider (e.g., Fulcrum Biometrics, LLC). Your firm will fingerprint associated individuals on-site and submit fingerprints directly to Sterling.

FINRA does not endorse any EFS vendor and EFS vendors offer different options and location availability. Please confirm service terms and conditions directly with the EFS vendor. 

2. Select an EFS vendor

Contact an EFS vendor that can accommodate your submission preference.  A list of EFS vendors actively submitting fingerprints to the FINRA Fingerprint Program are listed at the bottom of this page. These EFS vendors work with Sterling to process fingerprints on FINRA’s behalf. If your firm selects a certified vendor that will submit fingerprints from a vendor’s location, then you do not need to notify FINRA or Sterling.

EFS vendors not listed below must complete an integration process with Sterling before they can submit fingerprints. For additional information, contact Sterling at [email protected].

EFS Vendors

The certified EFS vendors listed below have entered into an agreement with Sterling under which they agree to collect fingerprints solely for the purpose of satisfying an organization’s obligation under Section 17(f)(2) of the Securities Exchange Act of 1934, (15 USC 78q(f)(2)), and Exchange Rule 17f-2 thereunder, as amended, for the FINRA Fingerprint Program (Program). The EFS vendors listed below currently submit fingerprints to FINRA. The vendors must comply with the requirements of the Program and requirements and standards of the FBI, including the FBI Criminal Justice Information Services Security Policy (Policy).

FINRA will update this list as new vendors participate. Please contact EFS vendors directly with any questions about their services and location availability.