Evaluate and Strengthen your Firm’s Resilience in Alignment with FINRA Rules 4370 & 4380
In the fast-paced world of financial services, regulatory compliance and operational resilience are non-negotiable. Bryghtpath’s FINRA Business Continuity Maturity Model is designed specifically for broker-dealers and financial firms to assess, strengthen, and align their business continuity and emergency contact programs with FINRA Rules 4370 (Business Continuity Plans) and 4380 (Emergency Preparedness).
Overview
Bryghtpath’s FINRA Business Continuity Maturity Model empowers your organization to:
- Assess current continuity and preparedness practices against the expectations outlined in FINRA Rules 4370 and 4380.
- Identify maturity across governance, plan structure, backup arrangements, testing, emergency communications, and key personnel designations.
- Build a clear roadmap for closing compliance gaps and enhancing your firm’s ability to respond to and recover from disruptions.
This Excel-based model is ideal for compliance teams, business continuity leaders, and operational risk professionals seeking a proven, structured approach to FINRA-aligned continuity planning.
What's Included
When you purchase the FINRA Business Continuity Maturity Model, you receive:
1. Comprehensive Assessment Tool
- Detailed evaluation across multiple categories drawn directly from the requirements and expectations in FINRA 4370 and 4380.
- Structured using Bryghtpath’s proven COBIT-based 0–5 maturity scale with 0.25 increments.
2. Leader’s Guide & Overview
- Step-by-step guidance on how to conduct your assessment.
- Definitions and examples to help interpret maturity levels and document evidence.
3. Automated Scoring & Dashboards
- Built-in scoring logic with dynamic visualizations to help you see where your firm excels and where improvement is needed.
4. Actionable Recommendations
- Clear direction on how to improve maturity in each assessed area.
- Alignment with best practices in financial sector continuity and emergency preparedness.
Why You Need It
- Regulatory Alignment
Ensure your business continuity and emergency response programs meet FINRA requirements and withstand examiner scrutiny. - Operational Resilience
Identify vulnerabilities and improve your firm’s ability to maintain operations during disruptions. - Efficient Readiness
Eliminate ambiguity and guesswork by using a structured, standards-aligned maturity framework. - Audit-Ready Evidence
Document and demonstrate your firm’s continuity capabilities and maturity with data-backed assessments.
How It Works
- Purchase & Download
Receive instant access to the maturity model template and supporting materials. - Assess Your Program
Evaluate each category of your business continuity and emergency response programs. - Analyze Results
Review the dashboard and summary scores to identify key areas for improvement. - Take Action
Use the recommendations and Leader’s Guide to close gaps, improve processes, and mature your overall program. - Stay Ready
Use the model regularly to track progress over time and prepare confidently for regulatory reviews.
Get Started Today
Strengthening your business continuity and emergency preparedness programs is essential to maintaining trust, minimizing risk, and meeting FINRA’s expectations.
Bryghtpath’s FINRA Business Continuity Maturity Model gives your team the tools to assess, improve, and document your program with clarity and confidence.
Watch a walkthrough of our Maturity Model product with Bryghtpath CEO Bryan Strawser
See what our Customers Say about our Maturity Models
“The ISO 27031 Maturity Model has been a revelation for our organization. It provided an intuitive, easy-to-use method to evaluate and elevate our IT Disaster Recovery processes. The model has fostered a proactive culture, emphasizing continuous improvement and alignment with international standards. We have seen tangible improvements in our IT resilience since its implementation. A must-have tool for any organization prioritizing business continuity in the face of IT disruptions.”
“As a Business Continuity Director, ensuring resilience and readiness in the face of disruptions is paramount. The ISO 22301 Maturity Model has been a game-changer for our business continuity program. It gave us a comprehensive, structured approach to assess our current capabilities, identify gaps, and strategically plan for improvements. This easy-to-use tool has been instrumental in aligning our processes with global standards and instilling a proactive culture of continuous improvement within our teams.
Since implementing this model, we’ve seen tangible enhancements in our Business Continuity Program. The progress tracking capabilities have helped us monitor our journey towards improved resilience and preparedness. This model has become a pivotal part of our business continuity strategy, and it’s a worthwhile investment for any organization looking to bolster its resilience.
I highly recommend the ISO 22301 Maturity Model to any organization committed to ensuring business continuity. It’s not just a tool; it’s an invaluable asset for safeguarding your operations and reputation in today’s uncertain business landscape.”
Have questions about our Maturity Models
or our other services?
We can help.
Our team has the experience, tools, and partnerships to help your organization
successfully navigate the rough waters ahead – and ensure your organization is prepared.
Send over a question via email to support@bryghtpath.com.