FINRA's Business Continuity Plan

Communicating with FINRA

If you are unable to contact us through your usual contact (i.e., the District Office or direct dial number), please call FINRA's Gateway Call Center at (301) 590-6500. This number will be rerouted in the event of a business disruption at our primary call center so that you will be able to reach an operator or receive a recorded instructional announcement in the event of a disruption. We will also provide information on our Web site.

 

Reporting Information to FINRA

If data communications are disrupted, firms have a responsibility to retain data until such time as it can be transmitted to FINRA.

 

FINRA's Business Continuity Plan (BCP)

FINRA's BCP specifies how we will respond to events that significantly disrupt our business and addresses safeguarding our employees and property; insuring data back up and recovery; restoring mission-critical systems as well as critical regulatory and operational activities; alternative communications with investors, member firms, associated persons, and other regulators; and assuring all of our constituents a prompt response to their needs. We plan to continue in business, transfer operations to alternate sites as needed, and maintain as much transparency to our constituents as possible during a disruption. The BCP is updated and tested regularly. FINRA’s BCP is provided to the SEC as part of its oversight of FINRA.