Table of Contents

•  Introduction
• What Are FINRA Fingerprints?
• Who Needs FINRA Fingerprints?
• Live Scan vs. Hard-Card Fingerprinting
• Key Regulatory Requirements & Timeline
• How Houston Fingerprint Helps You
• FAQs
• Final Thoughts & Call to Action

Introduction

If you’re entering the securities industry, obtaining FINRA fingerprints is a crucial compliance step. These fingerprints support criminal background checks mandated by SEC Rule 17f‑2 and FINRA. At Houston Fingerprint, we provide fast, secure, and compliant fingerprinting services in Houston to help you meet FINRA’s requirements with ease.

What Are FINRA Fingerprints?

FINRA requires fingerprints of certain employees to verify criminal backgrounds at both the FINRA and FBI levels. These are not the same as standard background checks—they use official records under Section 17(f)(2) of the Securities Exchange Act bigreport.com+4Precise

Fingerprinting+4texasfingerprintingllc.com+4Texas Fingerprint & Notary+6mitchatkinsfinrabrokerdealerconsulting.com+6texasfingerprintingllc.com+6bayoucityfingerprinting.com+1fingerprintzone.com+1printscan.com+7offers.fadv.com+7Texas Fingerprint & Notary+7texasfingerprintingllc.com+4Legal Information Institute+4mitchatkinsfinrabrokerdealerconsulting.com+4.

Who Needs FINRA Fingerprints?

According to SEC Rule 17f‑2, fingerprints are required for:

• Individuals applying for FINRA registration via Form U4

• Firm partners, directors, officers, and employees working with securities, customer funds, or records

• Supervisors of the above roles

Some roles—like interns without securities access—may be exempt Legal Information Institute+9Master Compliance+9Lexology+9.

Live Scan vs. Hard-Card Fingerprinting

• Live Scan (Electronic):
  • Ideal for those within the U.S., processed via FINRA-approved vendors like Sterling

  • Results typically in 1–2 business days bayoucityfingerprinting.com+4FINRA+4Texas Fingerprint & Notary+4

• Hard-Card (Ink-based):
  • Required for individuals outside U.S. territories

Captured using FINRA-approved fingerprint cards, mailed to Sterling and the FBI Texas Fingerprint & Notary+5offers.fadv.com+5bayoucityfingerprinting.com+5Precise Fingerprinting+15FINRA+15FINRA+15

Key Regulatory Requirements & Timeline

• Firms must submit fingerprints within 30 days of filing Form U4, or the applicant’s status becomes “Inactive Prints” Regulatory Compliance Watch+8FINRA+8Master Compliance+8.

• Electronic submissions must be purged after 28–30 days per FINRA rules infobytes.orrick.com+7FINRA+7Precise Fingerprinting+7.

If prints are illegible, firms must resubmit up to three times before FINRA escalates the issue bigreport.com+8Master Compliance+8FINRA+8.

How Houston Fingerprint Helps You

At Houston Fingerprint, we ensure full compliance with FINRA guidelines:

• Live scan capture using certified EFS vendors for faster turnaround

• Ink hard-card capture on official FINRA fingerprint cards for non-U.S. individuals

• Fast scheduling to meet the 30-day submission window

• Secure submission to Sterling and the FBI, with tracking

• Resubmissions handled promptly if prints are rejected

• Archiving for repeat clients and firms needing multiple prints applicantservices.com+11Precise Fingerprinting+11FINRA+11offers.fadv.com+3FINRA+3FINRA+3FINRA+5FINRA+5infobytes.orrick.com+5

Our certified team ensures you meet FINRA and SEC regulations hassle‑free.

FAQs

Q: How fast are FINRA fingerprint results?
A: Live scan results arrive in 1–2 business days. Hard-card results may take longer, due to mailing and FBI processing.

Q: What if prints are rejected?
A: We’ll notify you immediately and handle unlimited free resubmissions as allowed.

Q: Do I need an appointment?
A: Walk-ins are welcome! Appointments recommended for faster service.

Q: Can you fingerprint teams or bulk submissions?
A: Yes—we offer mobile and group services for broker-dealers in Houston texasfingerprintingllc.combayoucityfingerprinting.com.

Final Thoughts & Call to Action

Stay ahead in the securities industry. Get your FINRA fingerprints completed fast, accurately, and in compliance with SEC and FINRA rules. Visit Houston Fingerprint or call today to schedule your live scan or hard-card session.

Book your appointment now and ensure smooth registration with FINRA!