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TRENDING TAGS
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- Sarah ten Siethoff is New Associate Director of SEC Investment Management Rulemaking Office
- Catherine Keating Appointed CEO of BNY Mellon Wealth Management
- Credit Suisse to Pay $47Mn to Resolve DOJ Asia Probe
- SEC Chair Clayton Goes 'Hat in Hand' Before Congress on 2019 Budget Request
- SEC's Opening Remarks to the Elder Justice Coordinating Council
- Massachusetts Jury Convicts CA Attorney of Securities Fraud
- Deutsche Bank Says 3 Senior Investment Bankers to Leave Firm
- World’s Biggest Hedge Fund Reportedly ‘Bearish On Financial Assets’
- SEC Fines Constant Contact, Popular Email Marketer, for Overstating Subscriber Numbers
- SocGen Agrees to Pay $1.3 Billion to End Libya, Libor Probes
- Cryptocurrency Exchange Bitfinex Briefly Halts Trading After Cyber Attack
- SEC Names Valerie Szczepanik Senior Advisor for Digital Assets and Innovation
- SEC Modernizes Delivery of Fund Reports, Seeks Public Feedback on Improving Fund Disclosure
- NYSE Says SEC Plan to Limit Exchange Rebates Would Hurt Investors
- Deutsche Bank faces another challenge with Fed stress test
- Former JPMorgan Broker Files racial discrimination suit against company
- $3.3Mn Winning Bid for Lunch with Warren Buffett
- Julie Erhardt is SEC's New Acting Chief Risk Officer
- Chyhe Becker is SEC's New Acting Chief Economist, Acting Director of Economic and Risk Analysis Division
- Getting a Handle on Virtual Currencies - FINRA
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Business Continuity, Emergency Contacts: Financial Services Resources
Thought you'd be interested in a resource guide to BCP Rules and Procedures, presented on SIFMA's newly-designed Web site.
FINRA. FINRA Rule 4370: Business Continuity Plans and Emergency Contact Information. October 2009
- NASD Rules 3510 And 3520. May 2004
- NASD NtM 06-74: Member Business Continuity Experiences re: 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. 5/5/06.
- NYSE Info Memo 05-80: Business Continuity and Contingency Plans. 10/13/05.
- NYSE Rule 446. 5/3/04.
- Corresponding Attachment, Rule 446 Info Memo.
SEC. SEC Approval Of NYSE Rule 446, NASD Rules 3510 and 3520. 4/16/04.
- Federal Register Publication Of Approval. 4/13/04
- Interagency Paper on Sound Practices to Strengthen the Resilience of the U.S. Financial System ("White Paper"). 4/8/03.
- SEC Policy Statement: Business Continuity Planning for Trading Markets. 9/29/03
SIFMA. Comment Letter to the SEC, Re: File No. SR-NYSE-2007-02; Proposed Rule Change and Amendment No. 1 to Adopt New Rule 447 (“Emergency Powers”). 5/22/07.
For further information and available resources, click onto: [ SIFMA"s Web Page on Business Continuity Planning ] and [ SIFMA's Web Page on BCP Rules and Procedures ]
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