Liverpool Manchester Step 4: Once you have selected a date and time for your appointment, enter Applicant Details on the next screen shown below.
FINRA will respond to the request. Please note that the above email address was established solely to receive extension requests in the circumstances described above. A funding portal will be able to submit fingerprints electronically once its Org ID is assigned.
Fingerprints must be submitted on fingerprint cards that meet FBI requirements. Fingerprint fees apply and must be paid with fingerprint submissions. My firm would like to submit fingerprints electronically. What do I have to do? Who at my funding portal needs to be fingerprinted?
What is the Firm CRD number? Fingerprint cards have a section called Firm CRD number. My firm is a broker-dealer with the intent to be designated as a funding portal.
Does the firm need to submit additional fingerprints for our associated individuals? If fingerprints have already been submitted to FINRA for individuals associated with the broker dealer to comply with SEA 17f-2, no additional fingerprint submissions are required.
IA-only firms submit fingerprints directly to the states. Not every state requires fingerprints for an RA registration and an IA-only firm should contact the relevant state to verify state fingerprint requirements.
The fingerprint card will not be returned to the firm. The firm will need to re-print the individual and submit the fingerprint card directly to the state with the fingerprint requirement.
What happens if I switch or contract additional vendors? What is a Secure Email Certificate and how does it work? Secure Email Certificates allow you to digitally sign and encrypt emails. Certificate encryption requires that both the firm or vendor and FINRA use their certificate's public key to achieve a secure two-way communication.
In doing so, this allows you to transmit fingerprint data in an encrypted fashion. The certificate needs to include the email address that will transmit fingerprint cards to FINRA and not a personal email address.
You must send your firm's public certificate to an EFS Coordinator to provide for secure communication. How do I renew or purchase a new Certificate? What happens if the email that is being used to transmit fingerprints changes?
Any change to your email address requires the purchase of a new certificate. After purchasing the new certificate, email EFS Coordinator to coordinate the next steps.
My firm includes a disclaimer on all outgoing emails. It takes business days for FINRA to install certificates; however, we ask that certificates be emailed to EFS Coordinator at least one week prior to the current certificate expiration date. FINRA only requires your certificates public key; never send your firm's private key.
Can a single certificate be used in both the testing and production environments? Can my firm's certificate email address be in mixed case?
No, the certificate email address must be in all lower-case.To address an envelope, print the return address neatly in the upper left-hand corner of the envelope. Begin by writing the sender's name and/or the company's name on the first line of the address.
Add the sender's street address (include Ave., St.
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