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18 FAQ Found in Securities Firms > Business Continuity Plans
1 - 10 of 18
My firm is a sole proprietorship. I am the sole registered principal, but I employ two registered representatives. I will register myself as the first emergency contact person, but who should be the second emergency contact person under FINRA Rule 4370?
Where can I find information about the Small Firm Emergency Partner Program?
How often should our firm review its Business Continuity Plan (BCP) under FINRA Rule 4370?
Does FINRA Rule 4370 require firms to disclose their BCPs to their customers?
Our firm is a market maker that deals solely with other firms, so we have no retail "customers." To whom, if anyone, should we disclose how our BCP addresses the possibility of a future significant business disruption and how we plan to respond to events of varying scope under FINRA Rule 4370?
In what manner should our firm disclose to our customers a summary of how our Business Continuity Plan (BCP) addresses the possibility of a future significant business disruption and how we plan to respond under FINRA Rule 4370?
My firm is a sole proprietorship with no other personnel. I will register myself as the first emergency contact person, but who should be the second emergency contact person under FINRA Rule 4370?
Our firm's business is done solely on an RVP/DVP basis. To whom should we disclose how our Business Continuity Plan (BCP) addresses the possibility of a future significant business disruption and how we plan to respond to events of varying scope under FINRA Rule 4370?
Our firm's business consists primarily of selling variable insurance products. Although we sell the product, the customer needs to deal with the insurance company in question if there is a problem. How do we treat this situation in our BCP under FINRA Rule 4370?
Under FINRA Rule 4370, how do I register the names of my firm's two emergency contact persons?
1 - 10 of 18
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