Business Continuity Plans of Broker-Dealers | Practical Law

Business Continuity Plans of Broker-Dealers | Practical Law

A Practice Note providing guidance on how broker-dealers can meet the requirements of FINRA Rule 4370 (Business Continuity Plans and Emergency Contact Information). This Note discusses broker-dealer planning for business disruptions, such as natural disasters and pandemics, creating a Business Continuity Plan (BCP), reviewing and updating the BCP, and required disclosures.

Business Continuity Plans of Broker-Dealers

Practical Law Practice Note w-020-6422 (Approx. 13 pages)

Business Continuity Plans of Broker-Dealers

by Practical Law Corporate & Securities
MaintainedUSA (National/Federal)
A Practice Note providing guidance on how broker-dealers can meet the requirements of FINRA Rule 4370 (Business Continuity Plans and Emergency Contact Information). This Note discusses broker-dealer planning for business disruptions, such as natural disasters and pandemics, creating a Business Continuity Plan (BCP), reviewing and updating the BCP, and required disclosures.