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Electronic Fingerprint Submission (EFS) Information

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.

 

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EFS Instructions

Broker-dealer firms and funding portals are eligible to submit fingerprints electronically by following the steps below.

1. Determine how your firm will submit fingerprints

There are two options for electronic fingerprint submissions:

  1. Send individuals to an EFS vendor’s office location. The vendor will transmit fingerprints electronically on behalf of your firm to Sterling.

OR

  1. Purchase or lease fingerprinting equipment provided by Sterling or another EFS vendor. Your firm will fingerprint associated individuals on-site and directly submit fingerprints to Sterling.

Not all EFS vendors offer both submission options; please confirm service terms and conditions with the vendor.

2. Select a fingerprint vendor

Contract with an EFS vendor that can accommodate your submission preference. A list of EFS Vendors participating in FINRA’s new fingerprint process 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.

Vendors must complete an integration process with Sterling before they can transmit fingerprints. For additional information, contact Sterling  [email protected].


EFS Vendors

The vendors listed below are participating in FINRA’s new fingerprint process. FINRA will update this list as more information becomes available. Please contact vendors with any questions about their current or future arrangements with Sterling.