SIE Exam Question 731: Answer and Explanation

Question: 731

According to FINRA, which of the following elements must be addressed in a firm's business continuity plan relating to an emergency or significant business disruption?

• A. Alternate physical location of employees
• B. Communications with regulators
• C. Data backup and recovery
• D. All of the above are correct.

Correct Answer: D

Explanation:

According to FINRA, a firm's business continuity plan must address the following relating to an emergency or significant business disruption: An alternate physical location of employees, communications with regulators, and data backup and recovery.