Business Continuity Plan Statement

Stock USA Execution Services, Inc. (“SUSA”) has developed and tested a Business Continuity Plan on how SUSA will respond to events that significantly disrupt its business. Since the timing and impact of disasters and disruptions is unpredictable, SUSA will have to be flexible in responding to actual events as they occur. With that in mind, SUSA is providing this information on its business continuity plan.

Contacting SUSA – If after significant business disruption clients cannot contact SUSA at (800) 874-3039; U. S. clients should call the SUSA emergency number (845) 225-5132; Foreign Clients should call SUSA emergency number (845) 531-2487 or go to our web site for further instruction during a significant business disruption.

Stock USA Execution Services, Inc.’s Business Continuity Plan – SUSA plans to quickly recover and resume business operations after a significant business disruption and respond by safeguarding its employees and property, making a financial and operational assessment, protecting the firm’s books and records, and allowing customers to transact business. In short, the business continuity plan is designed to permit SUSA to resume operations as quickly as possible, given the scope and severity of the significant business disruption.

The business continuity plan addresses: data back-up and recovery; all mission critical systems; financial and operational assessments; alternative communications with customers, employees, and regulators; alternate physical location of employees; critical supplier, contractor, bank and counter-party impact; regulatory reporting; and assuring customers prompt access to their funds and securities if SUSA is unable to continue its business.

SUSA’s clearing firm, COR Clearing LLC, Member FINRA, MSRB, and SIPC backs up important records in a geographically separate area. While every emergency situation poses unique problems based on external factors, such as time of day and the severity of the disruption, SUSA has been advised by its’ clearing firm that their objective is to restore their own operations immediately or as soon as possible, depending on the damage to the facility. Clients’ orders and requests for funds and securities could be delayed during this period.

Varying Disruptions – Significant business disruptions can vary in their scope, such as affecting: only SUSA; a single building housing SUSA; the business district where SUSA is located; the city where SUSA is located; or the whole region. Within each of these areas, the severity of the disruption can also vary from minimal to severe. In a disruption to only SUSA or a building housing SUSA, SUSA will transfer its operations to a prearranged local site when needed and expects to recover and resume business within one day. In a disruption affecting its business district, city, or region, SUSA will transfer its operations to a prearranged site outside of the affected area, and recover and resume business within one week. In either situation, SUSA plans to continue in business, transfer operations to its clearing firm, if necessary, and notify clients through its web site, or a customer emergency number: (845) 225-5132, (only to be used if (800) 874-3039 is unavailable) If the significant business disruption is so severe that it prevents SUSA from remaining in business, SUSA will assure its customer’s prompt access to their funds and securities.

For more information – If you have questions about the business continuity plan, you can contact SUSA at (800) 874-3039.