Regulatory Notice 09-59

FINRA Provides Guidance on Pandemic Preparedness

Executive Summary

In response to the outbreak of influenza A (H1N1) or swine flu, FINRA conducted a survey of certain firms to determine pandemic preparedness. This Notice describes the results of the survey, and is designed to help firms understand the concerns and risk-mitigating actions and take appropriate measures to prepare for the effects of a pandemic. This Notice also addresses areas of regulatory guidance that FINRA has provided during previous significant business disruptions.

 

The information in this Notice does not create new rules or obligations on firms, nor does the implementation of any or all of the guidance create a "safe harbor" relative to any FINRA rules or other securities regulations.

 

Questions or comments concerning this Notice may be directed to Terry Miller, Member Regulation, at (202) 728-8159.