What are some important tips for the successful submission of fingerprint cards?
• Always complete the employer’s name, address, and org number on every fingerprint card submitted. This is especially important when submitting large batches of fingerprint cards as the cards could get separated during processing. • All fingerprint cards should contain a barcode. If using a barcode sticker, the sticker should be placed in “OCA” field on the card. If you need a supply of barcode stickers, contact the Gateway Call Center to order a supply. There is no charge for the barcode stickers. • Query an individual’s record before processing the U4 to determine if a fingerprint card has been processed for that individual previously for your firm. If one has, and the individual has been continuously employed, click the second radio button which indicates that the individual already has a card on file with your firm. • All fingerprints should be taken in black ink. • Before submitting the fingerprint card to FINRA, review the following data for accuracy: • Social Security Number •
