Business Continuity Plans

Overview

This course reviews the FINRA rules on Business Continuity Plans and Emergency Contact Information as well as the FINRA, SEC, and CFTC Joint Advisory on business continuity planning.

Learning Objectives

Students who successfully complete this course will be able to:

  • understand the need for business continuity planning
  • understand the rules and regulations surrounding business continuity plans

Designed for

All registered representatives and principals

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