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.

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 …

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 …

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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 …

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

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 …

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 …

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 …

You should update your firm's contact information within 30 days whenever changes occur and confirm the information on record for some positions (Exec Rep, AML, BCP, etc.) on an annual …