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LOYAL3 Business Continuity Plan

LOYAL3’s plan is designed to help ensure that we can continue to do business with little or no disruption, that your assets will be secure and accessible and that you will be able to reach us regardless of the unplanned business interruption or scope of situation.

Contacting Us

To best prepare for such contingencies we suggest that you become familiar with the means through which you can access your account and place trades, including

Preparation

Although LOYAL3 is confident that customers will continue to have access to their accounts in the event of a significant disruption, it is possible that there may be some temporary disruption or change in the manner in which you can access your account. LOYAL3 will notify customers of any such changes or disruptions by posting a notice on the firm’s Web site, email, or through a message on its telephone system.

Recovery Strategy and Plans

Our 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; regulatory reporting; and assuring our customers prompt access to their funds and securities if we are unable to continue our business.

In the event of a disruption of service to our data systems, we would transition to our designated secondary data center location. Our data systems are geographically separate, with separate power grids, separate flood plains and fault lines, and distributed networking environments.

If our chat or telephone service became unavailable for any reason, chats and calls may be temporarily unavailable. Or, data traffic may be adjusted to provide functionality.

Nevertheless there can be no assurance that service will continue without interruption in certain circumstances. However, in the unlikely event that LOYAL3 has determined that it cannot resume operations within a reasonable amount of time; LOYAL3 will provide as much notice as possible regarding its ongoing operations.

Significant business disruptions can vary in their scope, such as only our firm, a single building housing our firm, the business district where our firm is located, the city where we are located or the whole region or an entire business segment such as when the market closed following the September 11th tragedy. Within each of these areas, the severity of the disruption can also vary from minimal to severe.

In a disruption to only our firm or building housing our firm, we will transfer operations to a local site when needed and expect to recover and resume business within one day. In a disruption affecting our business district, city or region, we will transfer our operations to a site outside the affected area and recover and resume within one to three business days. In either situation we will notify you through our website www.LOYAL3.com or you may contact us on our customer service number 855-256-9253. Our objective is to restore our operations as quickly as possible, but transactions, payments, or both may be delayed during this time.

Program Plan Testing and Updating

While no BCP can eliminate all risk resulting from an unplanned business interruption in service, LOYAL3 does conduct regular assessments, updates and testing our plans to ensure that we have taken the steps necessary to protect our customers.

Additionally, the BCP is updated on an as-needed basis as business processes, technology, or staff change. This document will not necessarily be re-sent to you, but we do post general and updated information about our BCP on our Web site at www.LOYAL3.com. Alternatively, you may obtain an update BCP plan summary by requesting a written copy by mail.

Send your request to:

LOYAL3 Securities, Inc.
PO Box 26027
San Francisco, CA 94126