The Importance of Having a Business Continuity Plan


In this course, you will learn about business continuity plans – what they are, why they are vital to all broker-dealers, how to make a plan, as well as implementing and maintaining them, and the potential ramifications of failing to have a business continuity plan in place. The course will also discuss business continuity plans in the face of the Pandemic and other disaster-related threats. 

Learning Objectives

Upon conclusion of this course, you should:

  • have a solid understanding of business continuity plans and what they are;
  • know what the requirements are for a business continuity plan, and who needs to have one;
  • understand the basic elements that comprise a business continuity plan;
  • understand the ramifications for not having a business continuity plan, or not maintaining a plan adequately;
  • have an understanding of some of the disaster-related situations that could arise and how they could be dealt with in establishing business continuity plans

Designed For

This course is designed for Registered Representatives.

Find this course for your license:

License or Certification