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.

2025年1月28日 · FINRA requires firms to create and maintain written business continuity plans (BCPs) relating to an emergency or significant business disruption. Rule 4370—FINRA's emergency preparedness rule — spells out the required BCP procedures. A firm's BCP must be appropriate to the scale and scope of its business.BCP procedures must be reasonably …

Frequently asked questions regarding Business Continuity Planning (BCP) and FINRA Rule 4370.

2021年12月23日 · Summary In February 2019, FINRA published Regulatory Notice 19-06, launching a retrospective review of Rule 4370 (Business Continuity Plans and Emergency Contact Information) to assess its effectiveness and efficiency (the BCP Rule Review). The COVID-19 pandemic, beginning in early 2020, caused unprecedented regulatory and operational impacts …

2024年11月22日 · Under Rule 3110.19, a “residential supervisory location” (or RSL) is generally defined as a private residence from which an associated person engages in supervisory functions, including those described in FINRA Rule 3110 (f) (1) (D), (E), (F) and (G), and FINRA Rule 3110 (f) (2) (B). An RSL is non-branch location, which means that a firm does not need to register it …

2020年3月9日 · Summary Due to the recent outbreak of coronavirus disease (COVID-19), FINRA reminds member firms to consider pandemic-related business continuity planning, including whether their business continuity plans (BCPs) are sufficiently flexible to address a wide range of possible effects in the event of a pandemic in the United States. Each member firm is also …

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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 100 scored questions and 10 unscored questions. Candidates have 150 minutes to complete the exam. To pass the Series 66 exam, candidates must correctly answer at least 73 …

2021年8月13日 · Summary Member firms are increasingly using third-party vendors to perform a wide range of core business and regulatory oversight functions. FINRA is publishing this Notice to remind member firms of their obligation to establish and maintain a supervisory system, including written supervisory procedures (WSPs), for any activities or functions performed by third-party …

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 Notice also provides pandemic-related guidance and regulatory relief to member firms from some requirements.