Regulatory Notice 19-06

FINRA Requests Comment on the Effectiveness and Efficiency of Its Rule on Business Continuity Plans and Emergency Contact Information

Comment Period Expires: April 26, 2019


FINRA is conducting a retrospective review of Rule 4370 (Business Continuity Plans and Emergency Contact Information), FINRA’s emergency preparedness rule, to assess its effectiveness and efficiency. This Notice outlines the general retrospective rule review process and seeks responses to several questions related to firms’ experiences with this specific rule.

Questions regarding this Notice should be directed to:

  • Jeanette Wingler, Associate General Counsel, Office of General Counsel (OGC), at (202) 728-8013;
  • Sarah Kwak, Assistant General Counsel, OGC, at (202) 728-8471;
  • Lori Walsh, Deputy Chief Economist, Office of the Chief Economist (OCE), at (202) 728-8323; or
  • Meghan Burns, Associate Principal Analyst, OCE, at (202) 728-8062.
The views, expressions, findings and opinions expressed in the comments on this Web page are solely those of the author(s) and FINRA accepts no responsibility for the content of the comments: 
DateCommenterFormat - Size
4/25/2019Financial Information ForumPDF - 113.12 KB
4/26/2019SIFMAPDF - 373.12 KB