FINRA Fingerprinting Resource Page
Sterling is FINRA's Fingerprint Provider
FINRA selected Sterling to provide fingerprint channeling to the Department of Justice (FBI) on FINRA's behalf. FINRA will require broker-dealer firms and funding portals, or their designated vendors, to route all fingerprints — both hardcopy and electronic — to Sterling beginning December 6, 2021.
To prepare for the transition to the new fingerprint processing and submission service, complete a brief questionnaire that will provide information about your firm, including how you currently submit fingerprints to FINRA and plans for submitting fingerprints with the new service. FINRA and Sterling will use this information to take the steps necessary to plan for and support your organization's fingerprinting service option.
Firms electing to use Sterling fingerprint collection services or in-firm equipment to submit fingerprints and/or submit hard cards will also need to complete an account setup form. After completing the questionnaire, firms will be directed to an account setup form in DocuSign and also receive an email with instructions and a link to the account setup form. To complete the account setup form, you will need your firm’s contact information, a list of users who will submit fingerprints to Sterling, and your firm’s current encryption certificate (if applicable).
See FINRA's Fingerprint Process Change page to learn more about this transition.
Rates for firms that use Sterling as their electronic fingerprint service provider:
|Electronic fingerprint submission (Sterling locations)||$10.75|
|Optional Sterling equipment lease fee||$3,500|
- FINRA will continue to collect FBI and FINRA fingerprint fees through E-Bill; see FINRA's Fingerprint Fees page for more information.
- Firms that submit hardcopy cards, submit through another EFS vendor other than Sterling, or submit through existing in-firm equipment will not incur additional fees at this time (though other EFS vendors may charge equipment or collection fees).
Firms interested in fingerprinting directly through Sterling will have access to a variety of services and features:
- Convenient, nationwide retail locations in all 50 states and Washington DC
- State-of-the-art equipment with easy-to-use touch-screen interface (equipment leasing opportunity available)
- Real-time fingerprint quality assurance to avoid FBI rejection
- Optional hold and release functionality
Please contact us toll-free at 1-833-794-2009 if you are interested in learning more about other Sterling services or if you have any questions about the program.