Business Continuity Planning
NASD Rules 3510 and 3520 require firms to create and maintain business continuity plans (BCP) to use in the event of a significant business disruption. In addition, the proposed rules would require members to provide FINRA with specified information to be used by FINRA in the event of future significant business disruptions. This page provides information related to business continuity plans for securities firms.
Rule filings associated with Business Continuity Planning (SR-NASD-2002-108)
FINRA’s Business Continuity Plan
Small Firm Emergency Partner Program: A Voluntary Addition to a Firm's BCP
Securities and Exchange Commission / Board of Governors of the Federal Reserve System / Office of the Comptroller of the Currency Joint White Paper on Business Continuity Planning
General Accounting Office, "Report on Potential Terrorist Attacks: Additional Actions Needed to Better Prepare Critical Financial Market participants: Report Nos. GAO-03-251 and GAO-03-414 (Feb. 2003)
Securities Industry and Financial Markets Association's Business Continuity Planning Page
The Disaster Recovery Institute
Financial Services Sector Coordinating Council for Critical Infrastructure Protection and Homeland Security
Notice to Members 04-37
SEC Approves Rules Requiring Members to Create Business Continuity Plans and Provide Emergency Contact Information (Notice posted on 5/05/04)
Notice to Members 02-23
The NASD seeks Comment On Proposed Rules Relating to Member Firm Business Continuity Plans and Emergency Contact Information (Notice posted on 4/10/02)
Business Continuity Planning Phone-In Workshop
September 18, 2008
