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Fingerprint Fees

FINRA Fingerprint Process Change

FINRA is adjusting the previously-announced timeline for its new fingerprint process for broker-dealer firms and funding portals. The transition will not occur before November, and there are no changes to the fingerprint process at this time. Broker-dealers and funding portals should review the FINRA Fingerprint Process Change page for task instructions, deadlines and other information.

 

For each fingerprint transaction submitted to FINRA, there are two types of fingerprint fees that firms may be assessed: a FINRA fingerprint fee and an FBI fingerprint fee. The fees can vary depending on the method of submission (hard copy vs. electronic) and if it is a resubmission. The table below shows the current fees for each type of submission. State sales tax is assessed for certain FINRA-provided products or services; please review the E-Bill state sales tax information for details. 

Broker-dealer and funding portal firms can view assessed fingerprint fees through E-Bill.

Current Fees

Fingerprint Fees

Electronic

 

Hardcopy

 

FINRA Fee1

Assessed when FINRA posts results to CRD (broker-dealers) or FPRD (funding portals)

$15.00

$30.00

FBI Fee2

Assessed when the FBI returns results (dispositions) to FINRA

$11.25

$11.25

Total Fee

$26.25

$41.25

1The FINRA fingerprint processing fee is assessed pursuant to Section 4(b)(4) of Schedule A of the FINRA By-Laws and is charged when:

  • FINRA processes a fingerprint transaction and posts the result; or,
  • FINRA posts a result from a fingerprint transaction that was processed through another self-regulatory organization. Note: The fee for this type of fingerprint transaction is $30.00.

2The FBI does not charge its fee on a second fingerprint transaction when it identifies the first set of fingerprints as illegible for the same individual.