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Business Continuity Planning (BCP) - FINRA. org FINRA requires firms to create and maintain written business continuity plans (BCPs) relating to an emergency or significant business disruption Rule 4370—FINRA's emergency preparedness rule — spells out the required BCP procedures A firm's BCP must be appropriate to the scale and scope of its business BCP procedures must be reasonably designed so the firm can meet its existing
4370. Business Continuity Plans and Emergency Contact Information (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 designed to enable the member to meet its existing obligations to customers In addition, such procedures must address the member's existing relationships with other broker-dealers and counter-parties
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 template is provided as a starting point for developing your firm’s plan 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 FINRA Compliance Tool Disclaimer This optional tool is provided to assist member firms
Business Continuity Planning FAQ - FINRA. org How often should our firm review its Business Continuity Plan (BCP) under FINRA Rule 4370? FINRA Rule 4370 requires each firm to conduct an annual review of its BCP In addition to an annual review, your firm must update its BCP in the event of any material change to your firm's operations, structure, business, or location 6
A vibrant market is at its best when it works for everyone | FINRA. org A vibrant market is at its best when it works for everyone Join the Industry or Take an Exam Register Have Questions or Concerns? Contact Us Look up FINRA Disciplinary Actions Search Cases Research a Broker or Firm Search Brokercheck Featured Report Study 2025 Industry Snapshot FINRA is a private, not-for-profit membership organization that is responsible under federal law for supervising
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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
Regulatory Notice 21-29 | FINRA. org Vendor BCP practices and participation in your firm’s BCP testing, including frequency and availability of test results; disclosure of relevant pending or ongoing litigation; relationships between Vendors, sub-contractors and other third-parties; firm and regulator access to books and records; and
Business Continuity Plan Template for Small Introducing Firms BCP C Plan Location and Access Our firm will maintain copies of its BCP plan and the annual reviews, and the changes that have been made to it for inspection An electronic copy of our plan is located on [server name ] in the [ file folder name ] Rule: FINRA Rule 4370(b), (d) and (e) III Business Descriptio n