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.
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.