Business Continuity Plan Statement

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

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

SpeedTrader, Inc.’s Business Continuity Plan – SpeedTrader 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 SpeedTrader 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 SpeedTrader is unable to continue its business.

SpeedTrader’s clearing firm, AXOS 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, SpeedTrader 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 SpeedTrader; a single building housing SpeedTrader; the business district where SpeedTrader is located; the city where SpeedTrader 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 SpeedTrader or a building housing SpeedTrader, SpeedTrader 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, SpeedTrader will transfer its operations to a prearranged site outside of the affected area, and recover and resume business within one week. In either situation, SpeedTrader 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 SpeedTrader from remaining in business, SpeedTrader 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 SpeedTrader at (800) 874-3039.