Compliance Resource Providers

FINRA works with the following organizations to offer FINRA firms discounts on products and services that help them comply with securities laws and regulations.

Message Archiving – Global Relay
Global Relay provides a suite of hosted message archiving and compliance services to capture, archive and monitor email, instant messaging, BlackBerry, Bloomberg, social media and more. Through this program, FINRA firms receive access to a package of Global Relay services and other program benefits, such as mobile and Outlook search, unlimited storage and waived setup fees.

Global Relay offers this package exclusively to FINRA firms at the discounted price of $6 per user (minimum of $30) per month. As a further incentive to kick off the program, Global Relay will import historical data for free (up to 6GB/user) for firms that activate Global Relay Services before March 31, 2012.

For more information, call (866) 484-6630 or visit Global Relay.

Electronic Fingerprint Submission – Business Information Group (BIG) 

BIG is vendor-certified to submit fingerprints (i.e., fingerprint images) electronically to FINRA. Submitting fingerprints electronically provides improved image quality, reduced rejection rates and faster processing time than the traditional ink fingerprinting method.

BIG offers a number of electronic fingerprinting services at discounts of up to 50 percent off of the standard prices for FINRA broker-dealers.

For more information, call (877) 228-3909 or visit Business Information Group (BIG).

Insurance Program – Seabury & Smith, Inc.
Seabury & Smith provides insurance designed specifically for broker-dealer firms registered with FINRA, including Fidelity Bonds, E&O, Signature Guarantee Medallion Bonds and more. Firms can apply, renew and have Fidelity Bonds issued online.
 
For more information, call (800) 978-6273 or visit Seabury & Smith Inc.

FINRA seeks to assist firms' compliance efforts by finding, reviewing and making third-party tools and services available at discounted prices or with additional features. These tools and services are provided as a convenience to firms and firms should undertake their own assessments to determine whether they meet their technology and security requirements. FINRA does not endorse these products and firms are not obligated to use them. Their use does not ensure compliance with FINRA rules or other regulations or laws.

FINRA receives compensation from providers in the Compliance Resource Provider Program.

For comments and suggestions, please email FINRA.