Electronic Fingerprint Submission (EFS) Information
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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:
- Send individuals to an EFS vendor’s office location. The vendor will transmit fingerprints electronically on behalf of your firm to Sterling.
- 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].
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.