SERVICES FOR FINRA FIRMS
Business Information Group (BIG) offers two services designed to assist firms with screening registered representatives: Electronic fingerprinting and Disclosure Monitoring Services.
Through its sister company Fieldprint, BIG offers FINRA firms access to the largest nationwide network of fingerprint collection sites.
- Collects and transmits fingerprints securely and electronically;
- Speeds turnaround time;
- Improves print quality;
- Reduces rejection rates; and
- Allows firms to track the status of each fingerprint submission online.
DISCLOSURE MONITORING SERVICES
BIG’s new Disclosure Monitoring Services allow FINRA firms to:
- Periodically screen employees and registered representatives to identify disclosure issues of a civil and/or criminal nature that may not have been previously reported;
- Validate financial and criminal disclosure information provided by registered representatives;
- Ensure information provided on Form U4 is current.
We offer two Disclosure Monitoring Services, which can be used separately or together.
The Disclosure Monitoring Services are:
- Financial Disclosure Monitoring: This service allows firms to reduce firm review time by providing the ability to tailor the review of registered representatives' financial disclosure changes by defining the search criteria using a list of financial categories, including bankruptcy filings, tax liens/judgments and other credit-related measures. Firms also have the option to use a standard list of pre-determined criteria in conducting searches.
- Criminal Records Monitoring: This service allows firms to search for criminal records on a periodic basis using a private, multi-state criminal records database that contains more than 375 million criminal records. The information in the database is collected from court records, prison records, arrest records, sex offender registries, probation and parole offices and other public record sources around the country.
To learn more or set up an account, please visit https://portal.mybig.net/FINRA/.
FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc.
FINRA and other trademarks of the Financial Industry Regulatory Authority, Inc. may not be used without permission.
Business Information Group, Inc. is a wholly-owned subsidiary of Vertical Screen, Inc. BIG® is a registered service mark of Business Information Group, Inc.
Fieldprint® is a registered service mark of Fieldprint, Inc.
We cannot express enough how much we have enjoyed working with BIG! It has really benefitted our processing and ease of doing business!
I enjoy collaborating with BIG, and know that if I have to reach out with a question/concern, a positive attitude with a willingness to find resolve is on the other side of an email or a phone call.
You have been the most professional and most helpful business partner that I have ever been associated with — always there to assist us and with rapid turnaround times.
I am confident whenever we add a product with your company that I will have a good experience.
We have received superior service and we know this is what you and your team strive for. We are grateful for the dedication, level of professionalism and effort shown.