Small Firm Business Continuity Plan Template

FINRA is providing a template as an optional tool to assist small introducing firms in fulfilling their obligations under FINRA Rule 4370 (Business Continuity Plans and Emergency Contact Information). The template is provided as a starting point for developing your firm’s plan. The obligation to develop a business continuity plan (BCP) is not a “one-size-fits-all” requirement, and you must tailor your plan to reflect the size and needs of your firm.

FINRA Compliance Tool Disclaimer

This optional tool is provided to assist member firms. This tool is provided as a starting point, and you must tailor this tool to reflect the size and needs of your firm. Using this tool does not guarantee compliance with or create any safe harbor with respect to FINRA rules, the federal securities laws or state laws, or other applicable federal or state regulatory requirements. This tool does not create any new legal or regulatory obligations for firms or other entities.

Updates

This tool was last reviewed and updated, as needed, on March 18, 2024. This tool does not reflect any regulatory changes since that date. FINRA periodically reviews and update these tools. FINRA reminds member firms to stay apprised of new or amended laws, rules and regulations, and update their WSPs and compliance programs on an ongoing basis. Member firms seeking additional guidance on certain regulatory obligations should review the FINRA BCP Topic Page and any other relevant FINRA Topic Pages.

Staff Contact(s)

FINRA's Office of General Counsel (OGC) staff provides broker-dealers, attorneys, registered representatives, investors and other interested parties with interpretative guidance relating to FINRA’s rules. Please see Interpreting the Rules for more information.

OGC Staff Contacts

Sarah Kwak
1700 K Street, NW
Washington, DC 20006
(202) 728-8000