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 …

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 …

Nov 1, 2022 · For 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, …

To what degree does your business or BCP rely on vendors or other external providers? Would the rule be more effective if it addressed expectations around additional diligence into vendor resiliency?

Feb 25, 2019 · To what extent do you address specific types of significant business disruptions in your BCP (e.g., cyber events, terrorist attacks, pandemics or natural disasters)? 7. What other rules, if …

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 …

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 …

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