1.1.1.2.3. Fingerprint Cards
As part of the registration process, the following individuals must be fingerprinted:
• Partners, directors, and officers of a member firm
• Employees of a member firm who sell securities
• Employees of a member firm who handle or process securities, monies or the books and records related to the processing of securities or monies
• Employees of a member firm who directly supervise those who handle or process securities, monies or the books and records related to the processing of securities or monies
Fingerprint cards are filed with FINRA through a company called Sterling, which accepts both physical and electronic fingerprint cards. Sterling will send the fingerprint cards to both FINRA and the FBI.
In addition to fingerprints, fingerprint cards must contain the individual’s name, date of birth, place of birth, sex, race, height, weight, hair color and eye color. Fingerprint cards must be signed by the person being fingerprinted and by the official taking the fingerprints.
Fingerprints must be received within 30 days after a Form U4 is filed in FINRA Gateway. If fingerprints are not received within the 30-day time period, the individual’s FINRA registration status will be changed to “In