Jan 28, 2025 · FINRA's Business Continuity Plan FINRA's BCP specifies how we will respond to events that significantly disrupt our business and addresses safeguarding our employees and property; …

Dec 23, 2021 · Summary In February 2019, FINRA published Regulatory Notice 19-06, launching a retrospective review of Rule 4370 (Business Continuity Plans and Emergency Contact Information) …

The obligation to develop a business continuity plan (BCP) is not a “one-size-fits-all” requirement, and you must tailor your plan to reflect the size and needs of your firm.

Frequently asked questions regarding Business Continuity Planning (BCP) and FINRA Rule 4370.

(a) Each member must create and maintain a written business continuity plan identifying procedures relating to an emergency or significant business disruption. Such procedures must be reasonably …

Aug 13, 2021 · Summary Member firms are increasingly using third-party vendors to perform a wide range of core business and regulatory oversight functions. FINRA is publishing this Notice to remind …

This optional template is provided to assist small introducing firms in fulfilling their obligations under FINRA Rule 4370(Business Continuity Plans and Emergency Contact Information). This template is …

Mar 9, 2020 · Summary Due to the recent outbreak of coronavirus disease (COVID-19), FINRA reminds member firms to consider pandemic-related business continuity planning, including whether their …

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In general, a member firm’s office or location is either registered as a branch office, if it meets the definitions contained in Rule 3110(f), or exempt from branch office registration (i.e., an unregistered …