Business Continuity Statement

Since September 11, 2001, the financial community has developed new processes, procedures and regulations to improve the resiliency of the financial markets, provide clearer security for clients’ assets and reaffirm confidence in the ability to mitigate and/or respond to momentous events.

All members of FINRA are required to have a Business Continuity Plan in place and to communicate that information to their clients. We have taken appropriate steps to enable us to continue operations in the event of a business disruption and to comply with all financial market rules and regulations.

To ensure that we can continue to function as a broker/dealer and to service our clients following a significant business disruption event, the following steps have been implemented:

• We periodically back up our books and records and maintain such files at our back-up facility.
• We equipped our back-up office with sufficient communications and other equipment so that we can maintain reasonable communications with our clients, vendors, and regulators, both domestically and internationally.