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August 22, 2013

US financial regulators issue new business continuity planning advice

The US Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA) and the Commodity Futures Trading Commission’s (CFTC) Division of Swap Dealer and Intermediary Oversight have issued a joint advisory on business continuity planning.

The advisory follows a review by the regulators in the aftermath of Hurricane Sandy, which closed US equity and options markets for two days in October 2012. It encourages firms to review their business continuity plans and consider implementing the following suggestions (published verbatim):

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