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Business Continuity Planning

Rulemaking   Rule filings associated with Business Continuity Planning (SR-NASD-2002-108)

News   03/21/02 - News Release NASD Board Approves Disaster Recovery Business Continuity Plan

Related Resources   FINRA’s Business Continuity Plan   Small Firm Emergency Partner Program: A Voluntary Addition to a Firm's BCP   Securities and Exchange Commission / Board of Governors of the Federal Reserve System / Office of the Comptroller of the Currency Joint White Paper on Business Continuity Planning   General Accounting Office, "Report on Potential Terrorist Attacks: Additional Actions Needed to Better Prepare Critical Financial Market participants: Report Nos. GAO-03-251 and GAO-03-414 (Feb. 2003)   Securities Industry Association's Business Continuity Planning Page   The Disaster Recovery Institute   Financial Services Sector Coordinating Council for Critical Infrastructure Protection and Homeland Security

Notice to Members & Guidance   Notice to Members 04-37 SEC Approves Rules Requiring Members to Create Business Continuity Plans and Provide Emergency Contact Information (Notice posted on 5/05/04)   Effective Dates: Rule 3510: Clearing Firms: August 11, 2004 Introducing Firms: September 10, 2004 Rule 3520: All Firms: June 14, 2004 Notice to Members 02-23 The NASD seeks Comment On Proposed Rules Relating to Member Firm Business Continuity Plans and Emergency Contact Information (Notice posted on 4/10/02)

Tools & Resources Business Continuity Planning FAQs FINRA Small Firm Business Continuity Plan Template  An example of BCP disclosure statement for introducing firms with a clearing firm arrangement. BCP Repository Service BCP Case Study (PDF 81 KB), an exercise to help frame your BCP planning