Whether you are a financial broker, a broker-dealer, a candidate hoping to join the world of finance, or a firm dealing with all the above, you’ve likely heard of the Financial Industry Regulatory Agency (FINRA). FINRA serves as a primary source of industry compliance and ethical standards and helps ensure that people in the industry are vetted, qualified, and licensed. FINRA’s process includes a fingerprint-based background check process, for which they partner with several vendors to provide fingerprinting services.
This year, SureID became one of those vendors!
Simply put, we believe in what FINRA is doing. This not-for-profit organization is authorized by Congress (though it’s not part of the government) to help protect U.S. investors by keeping the broker-dealer industry fair and honest. Through the writing and enforcing of rules that govern the activities of all registered broker-dealer firms and their registrants, FINRA ensures that the financial market is both honest and fair.
How Do We Help?
When a broker-dealer firm or funding portal wants to register new brokers or eligible employees, they must submit a fingerprint-based background check request to FINRA. This is where we come in.
We do three things:
- Help broker-dealers, FINRA firms, and firm candidates identify their needs and find the best SureID fingerprinting solution for them
- Collect and submit fingerprints electronically to FINRA, which decreases processing time and often returns results to you (via FINRA’s Central Registration Depository) within 24 hours.
- Ensure the candidate has the best fingerprinting experience possible by providing onsite assistance, website resources, and the best customer support team in the industry.
In short, we make the process as easy as possible and support the candidate every step of the way.
Have questions? Interested in the SureID solution? Reach out to us at 844-787-3431 or firstname.lastname@example.org, and we’ll get you the information you need.