BCP Rules & Procedures

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 – pdf 5.0

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, published May 3, 2004 – pdf 5.0

SEC

SEC Approval Of NYSE Rule 446 And NASD Rules 3510 And 3520, April 16, 2004

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 Comments to the SEC Re: File No. SR-NYSE-2007-02; Proposed Rule Change and Amendment No. 1 to Adopt New Rule 447 (“Emergency Powers”) – pdf, May 22 2007

 

More Information

Industry-Wide Testing

Infectious Disease / Pandemic Influenza Planning

Unexpected Market Closings:
- Data Management Division (DMD) Market Close White Paper, pdf 5.0, April 13, 2004
- DTCC's Unscheduled Close Processing and Interruptions in Processing: Clearance and Settlement - Systems Outage
- NASD Notice to Members 05-47: Unexpected Close of Securities Markets, pdf 5.0,  July 2005
- NYSE Information Memo No. 05-25: Unexpected Close of Exchanges and Securities Market Places, pdf 5.0, April 8, 2005