24. Business Continuity Planning

In this section

• Business Continuity Planning Regulatory Requirements
  Explore the regulatory requirements for Business Continuity Planning under FINRA Rule 4370, ensuring firms maintain operations during disruptions.
  • FINRA Rule 4370 Business Continuity Planning Requirements
    Understand FINRA Rule 4370's business continuity planning requirements, including plan content, disclosure, and compliance checklists, to prepare for the Series 7 Exam.
  • SEC Guidelines for Business Continuity Planning
    Explore the SEC Guidelines for Business Continuity Planning (BCP) within the securities industry, focusing on regulatory expectations, best practices, and practical examples to ensure robust and compliant BCPs.
• Business Continuity Plans (BCP) for Securities Industry
  Explore comprehensive insights into Business Continuity Plans (BCP) essential for the securities industry, focusing on risk assessment, critical business functions, and recovery strategies.
  • Business Continuity Planning Essentials: Elements of a BCP
    Explore the essential elements of a Business Continuity Plan (BCP) and how they ensure operational resilience in the securities industry. Learn about data backup, mission-critical systems, financial assessments, and more.
  • Communication Strategies for Business Continuity
    Explore effective communication strategies for business continuity planning, focusing on internal and external communication during disruptions. Learn how to notify customers, employees, regulators, and stakeholders with sample communication scripts.
• Data Backup and Recovery in Securities: Essential Strategies for Business Continuity
  Explore essential data backup and recovery strategies for securities professionals, emphasizing the protection of critical data, secure backup methods, and best practices for recovery testing.
  • Systems Redundancy in Business Continuity Planning
    Explore the critical role of systems redundancy in business continuity planning, focusing on minimizing downtime and implementing failover mechanisms. Learn about redundant system architectures with detailed diagrams.
  • Cybersecurity Measures for Business Continuity Planning
    Explore essential cybersecurity measures for business continuity planning, including threat detection, prevention, and response strategies, with insights from leading cybersecurity frameworks.