SIE Exam Practice Question 424
Question: 424
Every FINRA member firm must have in place a Business Continuity Plan which addresses:
Correct Answer: C
Explanation:
C: Hurricanes, tornadoes, earthquakes, floods, the electric grid going down, disasters which disrupt business operations for long periods of time….. FINRA requires every brokerage firm to have a plan in place so that investors can have access to their accounts as quickly as possible ----FINRA calls it a business continuity plan.
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