Business Information Group (BIG) offers two services designed to assist firms with screening registered representatives: Electronic Fingerprinting and Disclosure Monitoring Services.

FINGERPRINTING

Through its sister company Fieldprint, BIG offers FINRA firms access to the largest nationwide network of fingerprint collection sites

Our technology:

• 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 Disclosure Monitoring Services allow FINRA firms to:

• Periodically screen employees and registered representatives to identify changes to a registered representative’s credit history or criminal record;
• Validate financial and criminal disclosure information provided by registered representatives; and
• Ensure information provided on Forms 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.