Table of Contents
- Introduction
- What Is a FINRA Fingerprint?
- Who Must Provide FINRA Fingerprints?
- Why Fingerprints Matter in the Securities Industry
- FINRA Fingerprint Process & Timeline
- FINRA Livescan vs. Fingerprint Card
- How Houston Fingerprint Helps
- FAQs
- Final Thoughts & Call to Action
Introduction
For anyone entering or working in the financial services sector, FINRA fingerprinting is a crucial step in compliance. Required under SEC Rule 17f‑2, these fingerprints help ensure transparency, security, and integrity across broker-dealer firms. At Houston Fingerprint, we offer efficient and compliant FINRA fingerprint services—so you’re covered for everything necessary to get registered.
What Is a FINRA Fingerprint?
A FINRA fingerprint refers to the digital or ink-based fingerprints submitted to FINRA and the FBI for background checks. These are collected under SEC Section 17(f)(2) and FINRA Rule 17f‑2, which require certain individuals in this industry—partners, directors, officers, employees with access to securities or funds to be fingerprinted before registration.
These background checks ensure you’re compliant and eligible to work in regulated financial roles.
Who Must Provide FINRA Fingerprints?
According to SEC Rule 17f‑2, fingerprints are required for:
- Individuals applying for registration with FINRA
- Partners, directors, officers in broker-dealers
- Employees handling securities, money, or customer records
Supervisors of those roles FINRA+2Master Compliance+2Master Compliance+2
Certain types of employees—like outside directors or interns without securities access—may be exempt.
Why Fingerprints Matter in the Securities Industry
Fingerprints are vital because they:
- Ensure accurate criminal history checks at federal level fingerprintsandscreening.com
- Promote investor trust and regulatory compliance
- Help broker-dealers follow Know Your Customer and due diligence rules
Without these checks, unfit individuals could enter sensitive roles—putting clients and firms at serious risk.
FINRA Fingerprint Process & Timeline
There are two ways to submit FINRA fingerprints:
Livescan (Electronic): Captured digitally and transmitted to FINRA-approved vendor (e.g., Sterling), reaching FINRA & FBI quickly Master Compliance+5Wikipedia+5fefps.com+5Master ComplianceMaster Compliance+11FINRA+11sterlingidentity.zendesk.com+11.
Hard-Card (Ink-based): Used for individuals outside the U.S.—sent via mail to FINRA/Sterling via FBI channels sterlingidentity.zendesk.com.
Crunch time: fingerprints must be submitted within 30 days of filing your Form U4 or registration form—or your status is set to “Inactive Prints” FINRA+3Master Compliance+3FINRA+3. The FBI result typically arrives within 48 hours Master Compliance+7FINRA+7fefps.com+7.
FINRA Livescan vs. Fingerprint Card
| Method | Best For | Timeline |
| Livescan | Individuals in the U.S. | 1–2 business days |
| Hard-card | Those residing outside the U.S. | Up to 4 weeks depending on mailing FINRA |
Livescan is quicker and more reliable; hard-cards are required by law for non-U.S. residents.
How Houston Fingerprint Helps
At Houston Fingerprint, we simplify the process by providing:
- Certified Livescan services for FINRA/EFS compliance
- Proper formatting of fingerprint cards
- Faster scheduling to meet the 30‑day submission deadline
- Secure electronic or mailed transmission through Sterling
- Detailed tracking and confirmation, until your record shows “Approved Pending Results” or full status
Choose us for fast, professional fingerprint capture without the complexity.
FAQs
Q: How long does FINRA fingerprinting take?
A: Livescan results post in 1–2 business days; hard-card submissions may take up to 4 weeks, depending on mail and processing times.
Q: Can fingerprints submitted for another purpose be reused?
A: No—FINRA requires new fingerprints collected specifically for Rule 17f‑2 compliance FINRA.
Q: Can I walk in or do I need an appointment?
A: We accept both—walk-ins are welcome, but we recommend appointments for faster service.
Q: Do you serve those outside Houston?
A: Yes, for U.S. residents within Houston and hard-card clients worldwide.
Final Thoughts & Call to Action
In the world of financial compliance, timing matters. Submit your FINRA fingerprints quickly and correctly with Houston Fingerprint, and stay ahead in your registration process.
Schedule your appointment today or visit us for walk-ins.
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