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Proposed Rule Change Relating to Mandatory Participation in Business Continuity and Disaster Recovery Testing under Regulation SCI

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to adopt FINRA Rule 4380 related to mandatory participation in business continuity and disaster recovery (“BC/DR”) testing under Regulation Systems Compliance and Integrity (“Regulation SCI”).

Title Format - Size Status
Text of the Proposed Rule Change PDF - 96.97 KB
Notice of Filing and Immediate Effectiveness PDF - 204.14 KB