Standard
FINRA Rule 4370 business continuity check
Business continuity planning for broker-dealers
- FINRA Rule 4370
- 9 questions
- 1 category
- Maps to: Business continuity
What the standard requires
FINRA Rule 4370 requires member firms to maintain a written business continuity plan addressing specific elements: data backup and recovery, mission-critical systems, financial and operational assessments, alternate communications with customers, employees, and regulators, alternate physical locations, critical business constituents and counterparties, regulatory reporting, and how customers can access funds and securities during a disruption.
How ResiliencyPulse scores it
This is a nine-question compliance check in one category, built on the rule’s required elements. It is deliberately short. It tells you whether each required element is in place and how mature the practice behind it is; it is not a full maturity model and does not claim to be. Most broker-dealers run it alongside ISO 22301 or FFIEC for the fuller picture.
Who assesses against it
FINRA member firms who need a quick, standards-referenced read on Rule 4370 compliance and the maturity of the practices behind it.
Questions
Do I need to be certified or regulated to use this model?
No. The model measures maturity against the standard’s structure. Certification and examination are separate processes this assessment does not replace.
Can I run this model alongside others?
Yes. Pro includes three models and Scale is unlimited. Results from every model roll up to the same eight resilience domains.