News & Analysis as of

Hurricane Sandy › Commodities Futures Trading Commission › Natural Disasters

Hurrican Sandy was a highly destructive storm system that ravaged parts of the Caribbean and Mid-Atlantic and Northeastern United States in October of 2012. The storm was responsible for over 100 deaths and... more +
Hurrican Sandy was a highly destructive storm system that ravaged parts of the Caribbean and Mid-Atlantic and Northeastern United States in October of 2012. The storm was responsible for over 100 deaths and billions of dollars worth of  damage.  less -
Broker-Dealer Compliance + Regulation

Hurricane Sandy Redux: Agencies Recommend Business Continuity Planning

Broker-Dealer Compliance + Regulation on

As hurricane season approaches, the securities and commodities industries’ principal regulators are effectively encouraging firms to do the equivalent of putting up storm shutters, stocking up on batteries and bottled water,...more

Brooks Pierce

How’s Your BCP?

Brooks Pierce on

Last week, staff at the SEC, CFTC, and FINRA drew some lessons from Hurricane Sandy and warned broker-dealers and other firms to take steps to prepare themselves for natural disasters that could disrupt their operations....more

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