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.

Aug 16, 2013 · Firms should consider full staff BCP tests to evaluate whether all day-to-day functions, including trade processing, can be performed regardless of staff location.

Each member firm is also encouraged to review its BCP to consider pandemic preparedness and to review its emergency contacts to ensure that FINRA has a reliable means of contacting the firm. This …

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Aug 13, 2021 · SummaryMember 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 …

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An updated business continuity plan (BCP), if applicable. The BCP should contain information on how your firm contacts its customers in the event of a system outage, and how customers can access …

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This optional template is provided to assist small introducing firms in fulfilling their need to create and maintain business continuity plans (BCPs) and emergency contact person lists under FINRA Rule …

Nov 1, 2022 · For additional information on Rule 4370, seeFINRA’s BCP key topic webpageand Regulatory Notice 21-44(Dec. 2021) (summarizing FINRA’s retrospective rule review of Rule 4370, …