In financial services, a bad hire isn't just an HR problem — it's a regulatory event.

A missed enforcement action. A disciplinary record sitting in a state securities database nobody checked. And months later, an examiner asking the question every compliance officer dreads: "How was this person vetted?"

Today I'm so proud to announce VITAL4 SRO — a new data product built to make sure that question always has an answer.

VITAL4 SRO delivers enforcement and disciplinary history from Self-Regulatory Organizations and regulators — FINRA, SEC, CFTC, NFA, the exchanges, and every state securities regulator — in one structured, real-time result:

• 140+ individual data sources
• 65 regulatory agencies
• All 50 states + DC, Puerto Rico & the U.S. Virgin Islands
• Real-time refresh — no stale batch cycles

 

For background screening providers, banks, broker-dealers, investment advisers, and insurance carriers, that means one integrated source for FINRA Rule 3110(e), FDIC Section 19, SEC registration, and state securities requirements — covering candidates before they're onboarded and keeping records current after they're hired.

And because every result is structured, timestamped, and documented, the audit trail builds itself. When regulators ask how a hire was vetted — the answer is already on file.

This one came from listening to our customers, and I'm grateful to the whole VITAL4 team who built it.