Small Firm Emergency Partner Program

FINRA, in consultation with NASAA and an industry working group, developed the Small Firm Emergency Partner Program (SFEPP), a voluntary initiative that helps firms partner with each other in preparation for a potential business disruption. Should one occur, the affected firm can rely on its partner—a similar but distant firm—to temporarily service the affected firm's customers while it recovers. Once the affected firm has fully recovered, the support firm's access to the affected firm's customers will discontinue.

To learn more or to get started, please consult the following resources.

Tools and more information:

  • Partnership Template (MS Word 85 KB) – a guide to facilitate the creation of your contract
  • Overview and Guide (PDF 72 KB) – walks you through the entire process and details what you need to know about your participation
  • Frequently Asked Questions – addresses common questions about the program
  • Podcast – audio for download that provides an overview of the program and provides examples
  • News Release – FINRA Announces Small Firm Emergency Partner Program

For more information on Business Continuity, visit the BCP page.  

Questions regarding this program may be directed to Donald K. Litteau, Associate Director, Examinations Program at (202) 728-8135; or Terry Miller, Lead Sr. Regulatory Specialist, Examinations Program at (202) 728-8159; or send an email