Check the Status of Fingerprints
Fingerprint results are posted to an individual’s CRD record typically within 24-36 business hours after FBI receipt.
Entitled users can view the status of fingerprint submissions in FINRA Gateway and CRD by selecting the Show Statuses button and accepting the special Terms and Conditions to view the FBI results. Viewing Criminal History Record Information (CHRI) requires the additional “View CHRI Information” privilege.
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Registration Status Codes
FINRA uses several registration codes to assist both firms and regulators in tracking the individual's fingerprint status.
When a Form U4 filing is submitted, typically an individual's initial registration status is “Approved Pending Prints” (APPRNT). On occasion, a registration may instead show “Deficient” for fingerprints related to the fingerprint option selected on the Form U4. For more information, please review the Registration Deficiency Tracking Program Quick Reference Guide.
When a fingerprint submission is transmitted to the FBI for processing, the individual’s registration status changes from “Approved Pending Prints” (or another appropriate status such as Deficient) to “Approved Pending Results.”
Once the FBI result of either ‘CLER’ OR ‘RAPP’ is posted to CRD, the individual’s registration status is updated to “Approved” if the individual has no other deficiencies. However, firms may be required to submit additional fingerprints for an individual if the result is “ILEG” or “REJT.” See the Additional Fingerprint Submissions page for more information.
| Code | Explanation |
|---|---|
| Approved Pending Prints (APPRNT) | This status will appear when a fingerprint submission is required by FINRA. This status is set when:
|
| Approved Pending Results (APRSLTS) | This status will appear when fingerprints have been received and forwarded to the FBI for results. |
| Fingerprint Deficiency | This status will appear under certain Form U4 filing conditions related to a fingerprint deficiency. It does not apply to investment adviser representatives. If set, the firm has 90 days to submit a new set of fingerprints before the registration will purge. |
| Purge | This status will appear if a firm did not submit a new set of fingerprints within 90 days (provided there weren’t any other deficiencies) of the Form U4 filing. A Form U4 amendment re-requesting the registration will be required if the firm still wants to register the individual. |
| Inactive Prints (INACTIVE_PRINTS) | This status will appear if an individual was required to submit additional fingerprints within 30 days of an APPRNT status and the fingerprints were not received. Individuals remain in this status for two years before the system will automatically terminate the registration to (T_NOU5). |
Most Common Fingerprint Status Codes
FBI results (dispositions) are automatically uploaded to FINRA Registration Systems for broker-dealer firms and FPRD for funding portals. The most common fingerprint statuses are described below.
| Code | Explanation |
|---|---|
| CLER | Indicates that no arrest record has been found for the fingerprints submitted to the FBI. |
| RAPP | Indicates that the FBI has returned Criminal History Record Information (CHRI). The CHRI is available to entitled users. Once FINRA has completed its review of the CHRI details as part of FINRA's disclosure review, the fingerprint status is updated to show the status of Complete (COMP). |
| ILEG | Indicates that the FBI determined the fingerprints to be illegible. If three sets of fingerprints are submitted for an individual and returned from the FBI with an ILEG disposition, FINRA will request an FBI Name Check. A Name Check requires that no more than 365 days have passed between the second and third submission of fingerprints. There is no fee for Name Checks. |
All Fingerprint Status Codes
| Code | Explanation |
|---|---|
| CDPD* | Firm provided barcode on form filing and FINRA awaiting receipt of fingerprints for processing. |
| CLER | FBI result indicating No Data was identified for fingerprints submitted. |
| CLRX | FBI result indicating No Data was identified based on Name Check search. |
| COMP | FINRA staff has completed review of CHRI identified by the FBI in response to fingerprints submitted. |
| CMPX | FINRA staff has completed review of CHRI identified by the FBI following Name Check search. |
| EXCX | FBI result indicating no match after Name Check search due to excessive candidates. |
| ILEG | FBI result indicating fingerprints submitted were determined to be illegible (by the FBI). |
| LGCY* | Fingerprint status provided prior to August 1999 conversion to Web CRD. |
| NMCK | Individual is undergoing a Name Check search based on FBI determination that the individual has at least one set of fingerprints with a reason that is eligible for a Name Check to be requested. There is no fee for Name Checks. |
| RAPP | FBI result indicating CHRI was identified for fingerprints submitted. |
| RAPX | FBI result indicating CHRI was identified based on a Name Check search. |
| RECC | Fingerprints received and forwarded to the FBI for processing. |
| RECD* | A fingerprint submission that is missing information required for processing. |
| RECP* | Fingerprints were processed through another Self-Regulatory Organization (SRO) and the FBI identified No Data. |
| RECR* | Fingerprints were processed through another SRO and CHRI was identified. |
| RECT | A third fingerprint submission to the FBI because fingerprints previously submitted were illegible. |
| RECV | A second fingerprint submission to the FBI because fingerprints previously submitted were illegible. |
| REJT | Fingerprints were rejected by the FBI because required information was missing. |
| TERM* | Fingerprint record reflects termination based on form filing or other process. |
| XMPT | Individual is exempt from fingerprinting requirement Section 17(f)(2) of the Securities and Exchange Act 1934, (15 USC 78q(f)(2)), and Exchange Rule 17f-2 thereunder, as amended, based on illegible prints or other criteria in Exchange Rule 17f-2. |
*Status is only used in CRD