[ by Howard Haykin ] With Hurricane Isaac having caused business interruption or threatening to do so in and around coastal Louisiana, Mississippi, Alabama, and the Florida Panhandle, FINRA encourages member firms with offices in the affected areas to dust off their business continuity plans and prepare for implementation. That may include relocation to emergency offices, ensuring the safety of firm personnel, maintaining open communications between the firm and customers, as well as among firm management, and personnel, canceling of qualifications and CE appointments, preserving books and records, and handling of customers’ funds and securities. Resource Guides. Obtain information about preparing for and addressing emergency situations, by reviewing the following tools and resources:

• Regulatory Notice 05-57, Guidance to Members Affected by Hurricane Katrina.
• Regulatory Notice 06-74, Business Continuity Planning—Member Business.
• Continuity Experiences Regarding Hurricanes Katrina and Rita.
• Regulatory Notice 09-59, Business Continuity Planning—FINRA Provides Guidance on Pandemic Preparedness.
• Business Continuity Planning to Reference.

FINRA Contacts. Direct questions to Daniel Sibears, EVP, Member Regulations, at (202) 728-6911. FINRA's New Orleans District Office was closed Tuesday, 8/28, and may remain closed on Wednesday, 8/29.  During the office closing, firms should direct inquiries to any of 3 other FINRA Offices in the South Region:

• Dallas District Office (972) 701-8554.
• Florida District Office (561) 443-8000.
• Atlanta District Office (404) 239-6100.

To access the referenced publication, go to:   [FINRA InfoNote. 8/28/12].