Posts Tagged:Hurricane Sandy

SEC Joins Finra in Hurricane Sandy Regulatory Relief

The SEC has joined Finra in offering regulatory relief to entities affected by Hurricane Sandy.  (SEC) See our coverage of the Finra relief efforts here and here.

Finra Offers Regulatory Relief in Sandy Aftermath

While Finra’s One Liberty Plaza office in downtown Manhattan remains closed in the wake of Hurricane Sandy, the Self-Regulatory Organization is offering regulatory relief to member firms affected by the hurricane. Finra just issued NTM 12-45 “Regulatory Relief” explaining their efforts.  (12-45)  The executive summary states: Due to the impact from Hurricane Sandy, FINRA is…

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Finra Business Continuity Compliance

In the better-late-than-never file, Finra is reminding members of their obligations for business continuity plans.  (Finra) Finra Rule 4370 covers these requirements.  (4370)  Here’s the overview: (a) Each member must create and maintain a written business continuity plan identifying procedures relating to an emergency or significant business disruption. Such procedures must be reasonably designed to…

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