FINRA Fingerprint and Criminal Background Checks for SEC Rule 17f-2

San Diego Fingerprinting Service for FINRA Fingerprint SEC Rule 17f-2

FBI FD-258 Ink Fingerprinting and Background Checks in San Diego

The FBI requires applicants to be fingerprinted by an authorized fingerprint agent on the FD 258 “Hard Card” for the purpose of processing a criminal background history report. The criminal history background check is usually required by the SEC for financial firm employees with clients who reside outside of California. Alive Scan is an authorized fingerprint service provider in San Diego. Local San Diego police stations and sheriff offices often refer fingerprint applicants to us since California law enforcement no longer provide fingerprinting services to the public.


SEC & FINRA Fingerprint and Background Check Information

Important tips for the successful submission of fingerprint cards

  • Always complete the employer’s name, address, and org number on every fingerprint card submitted.
  • All fingerprint cards should contain a barcode. If using a barcode sticker, the sticker should be placed in “OCA” field on the card.
  • All fingerprints should be taken in black ink.
  • Before submitting the fingerprint card to FINRA, review the following data for accuracy:

– Social Security Number
– Date of Birth
– Place of Birth
– Sex, Height, Weight
– Hair & Eye color (using the three letter code)


Record Maintenance

Every broker-dealer is required to maintain processed fingerprint cards and other substitute records and information received from the FBI. All such records must be retained for a period of not less than three years after termination of an individual’s employment or relationship with the broker-dealer.


FINRA Fingerprint & Criminal Background Checks

Please see FINRA FBI Fingerprinting and Background Checks for more information.