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Every broker dealer is required to ensure that it has backup systems to ensure the firm may continue to operate in the event one or more its offices become inaccessible. FINRA requires member firms to develop and maintain plans and backup facilities to ensure that the firm can meet its obligations to its customers and counterparties in the event that its main facilities are damaged, destroyed,or are inaccessible.
The plan must provide for alternative means of communication between the firm, its employees, customers, and regulators, as well as a data backup. The plan must provide for data backup in both hard copy and electronic format. All mission critical functions including financial and operational systems and regulatory reporting must be addressed in the plan.The plan must be approved and reviewed annually by a senior member of the firm’s management team and provide plans to ensure that customers have access to their funds. The plan must be provided to FINRA upon request. Should the firm’s business materially change, the business continuity plan should be updated promptly to reflect the change in the member’s business. The plan must identify two members of senior management as emergency contacts, one of whom must be a registered principal with the firm. Should one of the contact people change, FINRA must be notified within 30 days.
Customers of the firm must be advised of the business continuity plan at the time the account is open and in writing upon request. The plan must also be posted on the firm’s website. Small firms with one office should provide a contact number to the clearing firm. Each member firm is required to evaluate its potential vulnerabilities as well as any areas of weakness that may arise from its relationships with other firms and service providers. The A firm's business continuity plan must adequately address each of these issues. A significant business disruption event may require the firm to go out of business temporarily or permanently and customers must be informed of this fact. The firm must inform customers how they will have access to their assets in such an event.