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Electronic Fingerprint Submission (EFS) Information

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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 a participating EFS vendor’s office location. The vendor will transmit fingerprints electronically on behalf of your firm to Sterling.
  2. 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 EFS vendor.

2. Select an EFS vendor

Contract with an EFS vendor that can accommodate your submission preference. A list of EFS Vendors participating in 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.

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

EFS Vendors

The certified vendors listed below have entered into an agreement with Sterling Identity (Sterling), FINRA’s designated fingerprint provider, 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 certified vendors must comply with the requirements of the Program and requirements and standards of the FBI.

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