Jan 28, 2025 · 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; …

Frequently asked questions regarding Business Continuity Planning (BCP) and FINRA Rule 4370.

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 …

Dec 23, 2021 · Summary In February 2019, FINRA published Regulatory Notice 19-06, launching a retrospective review of Rule 4370 (Business Continuity Plans and Emergency Contact Information) …

This optional template is provided to assist small introducing firms in fulfilling their obligations under FINRA Rule 4370(Business Continuity Plans and Emergency Contact Information). This template is …

Oct 16, 2019 · 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 …

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.

Business Continuity Planning Hurricane Sandy caused significant and wide-ranging damage across the northeast coast of the United States on October 28 and October 29, 2012, which led to the closure of …

Mar 9, 2020 · 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 …

The lists below include terms and acronyms candidates may encounter in FINRA qualification exams. While not all terms and acronyms appear in each exam, candidates can use this list as a study tool …