Technical Notice

Industry-Wide Business Continuity Test

September 23, 2013

On Saturday, October 5, 2013, from approximately 9 a.m., Eastern Time (ET) to 12:30 p.m., ET, the Securities Industry and Financial Markets Association (SIFMA) will conduct an industry-wide business continuity test. The FINRA systems for trade reporting and quoting of OTC Equity Securities will be available for firms to connect and test. The system will reflect a business/trade date of Saturday, October 5, 2013.

This test provides the opportunity for firms, markets and utilities to verify their ability to operate through an emergency using backup sites, recovery facilities and backup communications capabilities. The test will simulate a disaster scenario and will allow customers to use the appropriate backup connectivity method to the FINRA systems.

Note: A formal FINRA test script is not available; users are encouraged to ensure connectivity and to utilize normal trade reporting and quoting functions during the test.

Additional details for the test can be found on the SIFMA website.

If you have questions, please send an email to FINRA Product Management or call (866) 899-2107.