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Business Continuity Planning (BCP) - FINRA. org 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; ensuring data backup and recovery; restoring mission-critical systems as well as critical regulatory and operational activities; alternative communications with investors, member firms, associated persons, and other
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
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
Regulatory Notice 20-08 | FINRA. org 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 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
Rule 3110 Describes Four Office Classifications - FINRA. org 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 office or non-branch location), if it fits within an express exclusion from the branch office definition listed in Rule 3110(f)(2)(A)(i)–(vii) or is designated as a residential
Business Continuity Plan Template for - FINRA. org 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 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
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