Spotlight on
Business Continuity Planning

• Joint Report on Efforts of the Private Sector to Implement the Interagency Paper on Sound Practices to Strengthen the Resilience of the U.S. Financial System (April 2006)
   
• SEC Approves Regulatory Relief for Katrina Victims (Announcement, Sept. 15, 2005) See also Exemptive Order, Release No. 34-52444 (Sept. 15, 2005)
   
• SEC Announces Assistance to Katrina Victims (Announcement, Sept. 2, 2005)
   
• Philadelphia Stock Exchange Rulemaking re: Back-up Trading Arrangements (Release no. 34-51926; File No. SR-Phlx-2004-65; June 27, 2005)
   
• Chicago Board Options Exchange Rulemaking re: Back-up Trading Arrangements (Release no. 34-51717; File No. SR-CBOE-2004-59; May 19, 2005)
   
• NASD and NYSE Rulemaking re: Business Continuity Planning (Release No. 34-49537; File Nos. SR-NASD-2002-108 and SR-NYSE-2002-35; April 7, 2004)
   
• Outreach Events Sponsored by FBIIC and FDIC (Announcement, Oct. 21, 2003)
   
• Performance of the Securities Markets During the Northeast Power Outage and Hurricane Isabel (written Statement of the Commission Before the Subcommittee on Oversight and Investigations, Committee on Financial Services, United States House of Representatives, Oct. 20, 2003)
   
• Business Continuity Planning for Trading Markets (Policy Statement, Release No. 34-48545; File No. S7-17-03, Sep. 25, 2003; see also comments)
   
• NASD Rulemaking re: Business Continuity Plans and Emergency Contact Information (Release No. 34-48503; File No. SR-NASD-2002-10, Sep. 17, 2003)
   
• NYSE Rulemaking re: Business Continuity and Contingency Planning (Release No. 34-48502; File No. SR-NYSE-2002-35, Sep. 17, 2003)
   
• Disaster Recovery and Business Continuity Planning (Speech by Mary Ann Gadziala, Associate Director, Office of Compliance Inspections and Examinations, at the Financial Markets Association 2003 Compliance Seminar, May 1, 2003)
   
• Sound Practices to Strengthen the Resilience of the U.S. Financial System (Interagency Paper, Release No. 34-47638; File No. S7-32-02, Apr. 7, 2003)
   
• Draft Interagency White Paper on Sound Practices to Strengthen the Resilience of the U. S. Financial System (Concept Release No. 34-46432, August 2002; see also comments)
   
• A Summary of February 26 Financial Industry Summit on Business Continuity (February 26, 2002)
   
• Summary of "Lessons Learned" from Events of September 11 and Implications for Business Continuity (February 13, 2002)
   

http://www.sec.gov/spotlight/continuity.htm