BCP Rules & Procedures

NASD

NASD Rules 3510 And 3520 – pdf 5.0, May 2004

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

 

More Information

2007/2008 BCP Industry Tests

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