Proof your continuity plan works and your systems are supervised.

FINRA expects member firms to keep a business continuity plan they can actually carry out and to supervise the systems their people use. Compliance: FINRA gives you quarterly evidence that your continuity plan is tested and your technology controls are working, so the answer is ready when your broker-dealer or an examiner asks.

Up to$500,000Cyber WarrantyBacked by Cork Inc.

Book a call What the rule asks for

At a glance

Package: Compliance: FINRA
Evidence: Compliance Posture Report, quarterly
Stacks on: Complete IT: Managed or Co-Managed

Does this apply to you?

It likely applies if your firm is one of these:

A FINRA member broker-dealer
A branch office affiliated with an independent broker-dealer
A firm whose representatives are registered through a FINRA member

What the rule asks for, and what you receive.

01
Keep a business continuity plan you can carry out, reviewed every year (Rule 4370)
Recovery planning and regular recovery tests
Business continuity and recovery testing records
02
Supervise your people and systems, including the controls that protect customer information (Rule 3110)
Access controls, device management and secure email
Device, access and email security evidence
03
Meet the cybersecurity controls your broker-dealer's supervision requires
The controls your broker-dealer sets, kept running
Evidence for each control your broker-dealer asks about