The obligation to develop a business continuity plan (BCP) is not a “one-size-fits-all” requirement, and you must tailor your plan to reflect the size and needs of your firm.

Aug 16, 2013 · Firms should consider full staff BCP tests to evaluate whether all day-to-day functions, including trade processing, can be performed regardless of staff location.

Each member firm is also encouraged to review its BCP to consider pandemic preparedness and to review its emergency contacts to ensure that FINRA has a reliable means of contacting the firm. This …

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r BCP rely on vendors or other external providers? Would the rule be more effective if it addressed expectations at adequately address third-party risk management. In addition, financial firms today …

An updated business continuity plan (BCP), if applicable. The BCP should contain information on how your firm contacts its customers in the event of a system outage, and how customers can access …

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The Series 66 exam — the NASAA Uniform Combined State Law Examination — is a North American Securities Administrators Association (NASAA) exam administered by FINRA.The exam consists of …

This optional template is provided to assist small introducing firms in fulfilling their need to create and maintain business continuity plans (BCPs) and emergency contact person lists under FINRA Rule …