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FINRA updates business continuity and disaster recovery testing requirements for member firms

The US Financial Industry Regulatory Authority, FINRA, has published a regulatory notice which updates the requirements for member firms to participate in FINRA’s annual business continuity and disaster recovery test.

The regulatory notice updates the criteria in FINRA's Notice 15-43 to include criteria for designating firms that report a significant volume of transactions in US Treasury securities to TRACE for mandatory business continuity and disaster recovery test participation.

Read the notice (PDF).

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