FINRA Background Checks

FINRA Is Dedicated To Protecting Investors and SafeGuarding Market Integrity In A Manner That Facilitates Vibrant Capital Markets

Every investor in America relies on one thing: fair financial markets. To protect investors and ensure the market’s integrity, FINRA – the Financial Industry Regulartoy Authority – is a government-authorized not-for-profit organization that oversees U.S. broker-dealers. FIRNA does work every day to ensure that everyone can participate in the market with confidence.

  • Every investor receives the basic protections they deserve
  • Anyone who sells a securities product has been tested, qualified, and licensed
  • Every securities product advertisement use is truthful, and not misleading
  • Any securities product sold to an investor is suitable for that investor’s needs
  • Investors receive complete disclosure about the investment product before purchase
Electronic Fingerprint Submission (EFS) Information

EFS Instructions: Broker-dealer firms and funding portals are eligible to submit fingerprints electronically by following the steps below.

Step 1: Determine How Your Firm Will Submit Fingerprints

There are two options for electronic fingerprint submissions:

1. Send individuals to an EFS vendor’s office location. The vendor will transmit fingerprints electronically on behalf of your firm to Sterling.

OR

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.

Step 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.

Fast. Accurate. Peace of Mind.

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