Series 24: Business Continuity Plan

Taken from our Series 24 Online Guide

Business Continuity Plan

Member firms must create and maintain a Business Continuity Plan identifying procedures that must be followed in an emergency or business disruption. This plan does not need to be filed with FINRA, but it must be available upon request and maintained at a secure off-site facility. The plan must be approved by a Series 24 principal, who is also responsible for updating and reviewing it annually.

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