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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
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
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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
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
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
Business Continuity Plans (BCPs) - FINRA. org The Business Continuity Plans (BCPs) section of the 2019 Report on Exam Findings informs member firms’ compliance programs by describing recent findings and observations from FINRA’s examinations, and, in certain cases, also providing a summary of effective practices
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About BrokerCheck | FINRA. org BrokerCheck is a free tool from FINRA that can help you research the professional backgrounds of investment professionals, brokerage firms and investment adviser firms Where BrokerCheck Information Comes FromBoth brokerage firms and individuals must be registered with FINRA to conduct securities transactions and business with the investing public Individuals might also be required to meet