BUSINESS CONTINUITY PLANNING

General

Business continuity remains a priority for firms and their associated persons. It is important that firms maintain adequate business continuity and contingency plans, and ensure that employees are aware of and understand these plans.

FINRA Topic Page: Business Continuity Planning

• FINRA Small Firm Business Continuity Planning Template

A podcast describes the FINRA Small Introducing Firm Business Continuity Planning Template and details updates that were made to reflect the adoption of FINRA Rule 4370 (Business Continuity Plans and Emergency Contact Information).

• FINRA Business Continuity Planning Template
   Listen Now/Download | 7 min. 30 sec.

 

FINRA, the SEC and CFTC Issue Joint Advisory on Business Continuity Planning

FINRA, the SEC and CFTC issued a joint advisory on business continuity planning to encourage firms to review their business continuity plans and to provide best practices to help improve responses to, and to reduce recovery time after, significant large-scale events.

FINRA Regulatory Notice 13-25 (August 2013):  FINRA, the SEC and CFTC Issue Joint Advisory on Business Continuity Planning