Business Continuity Planning

Business continuity questions test whether a firm can keep serving customers and safeguarding records when normal operations are disrupted. The Series 7 expects you to know the regulatory basis for business continuity planning and the practical controls that support a workable plan.

This chapter moves from the governing requirements into plan design and then to the backup, recovery, and cybersecurity measures that make continuity plans operational.

In this section

• Regulatory Requirements
  Review FINRA Rule 4370, SEC expectations, and the regulatory foundation for business continuity planning.
• Business Continuity Plans
  Understand the main elements of a business continuity plan and how firms organize communication and response.
• Data Backup and Recovery
  Review systems redundancy, cybersecurity controls, and recovery planning within business continuity programs.