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- Business Continuity Planning (BCP) - FINRA. org
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; ensuring data backup and recovery; restoring mission-critical systems as well as critical regulatory and operational activities; alternative communications with investors, member firms, associated persons, and other
- Regulatory Notice 21-44 | FINRA. org
Summary In February 2019, FINRA published Regulatory Notice 19-06, launching a retrospective review of Rule 4370 (Business Continuity Plans and Emergency Contact Information) to assess its effectiveness and efficiency (the BCP Rule Review) The COVID-19 pandemic, beginning in early 2020, caused unprecedented regulatory and operational impacts on member firms and other market participants, as
- Small Firm Business Continuity Plan Template - FINRA. org
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
- Business Continuity Planning FAQ - FINRA. org
Frequently asked questions regarding Business Continuity Planning (BCP) and FINRA Rule 4370
- A vibrant market is at its best when it works for everyone. | FINRA. org
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- Regulatory Notice 20-08 | FINRA. org
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 business continuity plans (BCPs) are sufficiently flexible to address a wide range of possible effects in the event of a pandemic in the United States Each member firm is also encouraged to review its BCP to
- Rule 3110 Describes Four Office Classifications - FINRA. org
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 office or non-branch location), if it fits within an express exclusion from the branch office definition listed in Rule 3110(f)(2)(A)(i)–(vii) or is designated as a residential
- Guidance on MAP Considerations for Member Firms Engaging in Succession . . .
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 their funds and securities in the event of a system outage
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