Business Continuity Planning

Rule 4370—FINRA's emergency preparedness rule—requires firms to create and maintain business continuity plans (BCPs) appropriate to the scale and scope of their businesses, and to provide FINRA with emergency contact information. This page provides general information related to BCPs for securities firms.

 

Pandemic Preparedness

 

One of the elements of Rule 4370 is a financial and operational assessment. This element requires firms to consider operational risk exposure to relevant threats, including a pandemic. For specific information about pandemic preparedness, please see FINRA's Pandemic Preparedness page.

 

Tools & Resources

 

 

FINRA Notices

 

 

Related Rulemaking

 

 

FINRA News Releases

 

  • 10/11/07: FINRA Announces Small Firm Emergency Partner Program
  • 3/21/02: NASD Board Approves Disaster Recovery Business Continuity Plan

 

Education