What Does the BCP FINRA Rule 4370 Update Mean for Your Firm?
The Financial Industry Regulatory Authority (FINRA) recently announced the completion of the review process for FINRA Rule 4370 and upholds the Rule as it currently stands. The agency put the Business Continuity Plan (BCP) Rule 4370 into place to ensure continuity of operations for broker-dealer firms following a disruption or disaster. FINRA based its decision […]