The process for submitting fingerprints differs for broker-dealers and funding portals. Funding portals should review the EFP Quick Reference Guide for ...
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Fingerprint results are posted to an individual's CRD record typically within 24-36 business hours after FBI receipt.Entitled users can view the status of ...
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A vibrant market is at its best when it works for everyone. Join the Industry or Take an Exam Register Have Questions or Concerns? Contact Us Look up FINRA ...
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FINRA Gateway, the new compliance portal, is designed to streamline the FINRA compliance and reporting experience by providing a more flexible solution that ...
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FBI result indicating fingerprints submitted were determined to be illegible (by the FBI). LGCY*, Fingerprint status provided prior to August 1999 conversion to ...
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BrokerCheck is a trusted tool that shows you employment history, certifications, licenses, and any violations for brokers and investment advisors.
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The 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 posts the result; or, ...
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