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TechBizLines.com Forum  >IT Community  >  Networking & Broadband  > FINRA CRD - CRD Form Filling for Individuals/AFP/FCrds/EFS
  Posted by riya_chakrabarty on : 2/23/2019 5:31:00 PM
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1
In reply to:"  "jasmin_patel  for his/her post on 2/23/2019 8:02:00 PM
smita_sahoo
2/23/2019 8:02:00 PM

No, the certificate email address must be in all lower-case.
 
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In reply to:"  "amit_sen  for his/her post on 2/23/2019 8:01:00 PM
jasmin_patel
2/23/2019 8:02:00 PM

No, the certificate email address must be in all lower-case.
 
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In reply to:"  "riya_chakrabarty  for his/her post on 2/23/2019 7:52:00 PM
amit_sen
2/23/2019 8:01:00 PM

Can my firm's certificate email address be in mixed case?



 
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In reply to:"  "V_Joseph  for his/her post on 2/23/2019 7:51:00 PM
riya_chakrabarty
2/23/2019 7:52:00 PM

Yes, FINRA will use your firm's certificate for both testing and production.



 
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In reply to:"  "priyam_das  for his/her post on 2/23/2019 7:49:00 PM
V_Joseph
2/23/2019 7:51:00 PM

Can a single certificate be used in both the testing and production environments?



 
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In reply to:"  "V_Joseph  for his/her post on 2/23/2019 7:15:00 PM
priyabrat_samal
2/23/2019 7:51:00 PM

Yes, FINRA will use your firm's certificate for both testing and production.



 
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In reply to:"  "rinku_banerjee  for his/her post on 2/23/2019 7:48:00 PM
priyam_das
2/23/2019 7:49:00 PM

It takes 2-3 business days for FINRA to install certificates; however, we ask that certificates be emailed to EFS Coordinator at least one week prior to the current certificate expiration date. Note: FINRA only requires your certificates public key; never send your firm's private key.



 
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In reply to:"  "V_Joseph  for his/her post on 2/23/2019 7:15:00 PM
rinku_banerjee
2/23/2019 7:48:00 PM

How long does it take for FINRA to install new/renewed certificates?



 
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In reply to:"  "raghav_agarwal  for his/her post on 2/23/2019 7:24:00 PM
rupali_saha
2/23/2019 7:41:00 PM

Yes, you must remove the disclaimer from the emails that transmit fingerprints to FINRA. If a disclaimer is included in the email, FINRA will be unable to process the fingerprints.



 
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In reply to:"  "V_Joseph  for his/her post on 2/23/2019 7:15:00 PM
raghav_agarwal
2/23/2019 7:24:00 PM

My firm includes a disclaimer on all outgoing emails. Does the disclaimer need to be removed from emails prior to transmitting fingerprints to FINRA?



 
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In reply to:"  "amit_sen  for his/her post on 2/23/2019 7:22:00 PM
smita_sahoo
2/23/2019 7:23:00 PM

Any change to your email address requires the purchase of a new certificate. After purchasing the new certificate, email EFS Coordinator to coordinate the next steps.



 
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In reply to:"  "V_Joseph  for his/her post on 2/23/2019 7:15:00 PM
amit_sen
2/23/2019 7:22:00 PM

What happens if the email that is being used to transmit fingerprints changes?



 
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In reply to:"  "V_Joseph  for his/her post on 2/23/2019 7:15:00 PM
jasmin_patel
2/23/2019 7:22:00 PM

Any change to your email address requires the purchase of a new certificate. After purchasing the new certificate, email EFS Coordinator to coordinate the next steps.



 
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In reply to:"  "priyabrat_samal  for his/her post on 2/23/2019 7:19:00 PM
riya_chakrabarty
2/23/2019 7:20:00 PM

Visit the Entrust website to enroll and purchase new or renewed Entrust Digital IDs.



 
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In reply to:"  "V_Joseph  for his/her post on 2/23/2019 7:15:00 PM
priyabrat_samal
2/23/2019 7:19:00 PM

How do I renew or purchase a new Certificate?



 
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In reply to:"  "priyam_das  for his/her post on 2/23/2019 7:13:00 PM
V_Joseph
2/23/2019 7:15:00 PM

You must send your firm's public certificate to an EFS Coordinator to provide for secure communication.



 
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In reply to:"  "rinku_banerjee  for his/her post on 2/23/2019 6:34:00 PM
priyam_das
2/23/2019 7:13:00 PM

What Certificate do I send to FINRA?



 
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In reply to:"  "rupali_saha  for his/her post on 2/23/2019 6:33:00 PM
rinku_banerjee
2/23/2019 6:34:00 PM

Secure Email Certificates allow you to digitally sign and encrypt emails. Certificate encryption requires that both the firm or vendor and FINRA use their certificate's public key to achieve a secure two-way communication. In doing so, this allows you to transmit fingerprint data in an encrypted fashion. The certificate needs to include the email address that will transmit fingerprint cards to FINRA and not a personal email address.



 
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In reply to:"  "raghav_agarwal  for his/her post on 2/23/2019 5:35:00 PM
rupali_saha
2/23/2019 6:33:00 PM

What is a Secure Email Certificate and how does it work?



 
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In reply to:"  "smita_sahoo  for his/her post on 2/23/2019 5:34:00 PM
raghav_agarwal
2/23/2019 5:35:00 PM

Your firm should notify FINRA EFS Coordinator only if your firm purchases fingerprinting equipment.



 
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In reply to:"  "jasmin_patel  for his/her post on 2/23/2019 5:33:00 PM
smita_sahoo
2/23/2019 5:34:00 PM

What happens if I switch or contract additional vendors?



 
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In reply to:"  "riya_chakrabarty  for his/her post on 2/23/2019 5:33:00 PM
jasmin_patel
2/23/2019 5:33:00 PM

Your firm should decide if you want to purchase and install fingerprint equipment in your office, or send associated individuals to a vendor’s location for fingerprinting. Then contract a certified electronic fingerprint vendor and notify the FINRA EFS Coordinator by email if you purchase fingerprinting equipement. See the Submit Fingerprints Electronically page for step-by-step instructions and a list of certified EFS vendors.



 
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In reply to:"  "riya_chakrabarty  for his/her post on 2/23/2019 5:31:00 PM
riya_chakrabarty
2/23/2019 5:33:00 PM

What are the first steps to submit fingerprints electronically to FINRA?



 
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In reply to:"  "riya_chakrabarty  for his/her post on 2/23/2019 5:31:00 PM
amit_sen
2/23/2019 5:33:00 PM

Your firm should decide if you want to purchase and install fingerprint equipment in your office, or send associated individuals to a vendor’s location for fingerprinting. Then contract a certified electronic fingerprint vendor and notify the FINRA EFS Coordinator by email if you purchase fingerprinting equipement. See the Submit Fingerprints Electronically page for step-by-step instructions and a list of certified EFS vendors.



 
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