Rules and Procedures

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Rules and Procedures

Several federal agencies and self-regulatory agencies participate in rulemaking for business continuity planning. Below is a list of agencies and their respective rules in this area. 

FINRA 

FINRA Rule 4370: Business Continuity Plans and Emergency Contact Information - pdf, October 2009

NASD Rules 3510 And 3520 – pdf 5.0, May 2004

NASD Notice to Members 06-74: Member Business Continuity Experiences regarding Hurricanes Katrina and Rita - December 2006

NASDAQ 

Trading NYSE-Listed Securities Using NASDAQ 

NYSE 

Guidance Pertaining To Business Continuity And Contingency Plans Relating To A Potential Pandemic - May 5, 2006

NYSE Info Memo 05-80: Business Continuity and Contingency Plans - pdf 5.0, October 13, 2005

NYSE Rule 446 – pdf 5.0, May 3, 2004

SEC 

SEC Approval Of NYSE Rule 446 And NASD Rules 3510 And 3520 

 Federal Register Publication Of Approval April 13, 2004

Interagency Paper on Sound Practices to Strengthen the Resilience of the U.S. Financial System ("White Paper") April 8, 2003

SEC Policy Statement: Business Continuity Planning for Trading Markets September 29, 2003

SIFMA Submits Comments to the Securities and Exchange Commission on Regulatory Relief During an Emergency – pdf, May 22 2007

 

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For more information on Business Continuity Planning (BCP), please contact:
 

 
Karl Schimmeck
212.313.1183

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