FINRA updates business continuity and disaster recovery testing requirements for member firms
- Published: Tuesday, 13 March 2018 10:58
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).