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 …

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.

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

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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 …

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 …

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 …

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 …

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 …