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 … From finra.org
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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 … From finra.org
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 … From finra.org
in the United States. 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 … From finra.org
Oct 16, 2019 Engaging in Annual Testing – Firms tested their BCPs as part of their annual review to confirm that the BCP was updated, and to evaluate its effectiveness, especially with … From finra.org
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 … From 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 … From finra.org
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 … From finra.org
Jan 28, 2025 FINRA requires firms to create and maintain written business continuity plans (BCPs) relating to an emergency or significant business disruption. Rule 4370—FINRA's … From finra.org
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