http://www.bing.com:80/search?q=BCP+Process+Flow+ChartSearch resultshttp://www.bing.com:80/s/a/rsslogo.gifhttp://www.bing.com:80/search?q=BCP+Process+Flow+ChartCopyright © 2026 Microsoft. All rights reserved. These XML results may not be used, reproduced or transmitted in any manner or for any purpose other than rendering Bing results within an RSS aggregator for your personal, non-commercial use. Any other use of these results requires express written permission from Microsoft Corporation. By accessing this web page or using these results in any manner whatsoever, you agree to be bound by the foregoing restrictions.https://www.finra.org/rules-guidance/notices/21-44Summary 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 ...Fri, 03 Apr 2026 10:16:00 GMThttps://www.finra.org/compliance-tools/small-firm-business-continuity-plan-templateThe 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.Thu, 02 Apr 2026 06:21:00 GMThttps://www.finra.org/rules-guidance/guidance/reports/2019-report-exam-findings-and-observations/business-continuity-planningThe 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.Sun, 05 Apr 2026 23:00:00 GMThttps://www.finra.org/rules-guidance/notices/20-08Summary 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 ...Wed, 08 Apr 2026 08:37:00 GMThttps://www.finra.org/rules-guidance/notices/13-25Firms should consider full staff BCP tests to evaluate whether all day-to-day functions, including trade processing, can be performed regardless of staff location.Wed, 08 Apr 2026 12:27:00 GMThttps://www.finra.org/rules-guidance/notices/21-29SummaryMember 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 member firms of their obligation to establish and maintain a supervisory system, including written supervisory procedures (WSPs), for any activities or functions performed by third-party vendors, including any sub ...Sat, 11 Apr 2026 10:07:00 GMThttps://www.finra.org/rules-guidance/notices/22-23For additional information on Rule 4370, see FINRA’s BCP key topic webpage and Regulatory Notice 21-44 (Dec. 2021) (summarizing FINRA’s retrospective rule review of Rule 4370, the predominant themes that emerged from stakeholder feedback and resulting actions, and providing guidance to member firms).Wed, 08 Apr 2026 13:31:00 GMThttps://www.finra.org/sites/default/files/2024-09/Guidance_MAP_Considerations_Member_Firms_Engaging_Succession_Planning.pdfAn 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.Mon, 06 Apr 2026 14:02:00 GMThttps://www.finra.org/sites/default/files/2021-08/Regulatory-Notice-21-29.pdfVendor 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; andMon, 06 Apr 2026 00:12:00 GMThttps://www.finra.org/sites/default/files/Series_26_Outline.pdfRegulatory requirements for firm’s systems and technologies Requirements to implement and test the firm’s business continuity plan (BCP) Exception reports and risk management Annual audit and testing requirements FOCUS filing requirementsWed, 08 Apr 2026 04:13:00 GMT