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BUSINESS CONTINUITY PLAN

Emergency Contact Persons

Our firm’s two emergency contact persons are:

Philip Wright, President
952-484-0083
ppwright@brokerbanksecurities.com

These names will be updated in the event of a material change, and our Executive Representative will review them within 17 business days of the end of each quarter. The plan is subject to modification and updated versions will be posted to the firm website, www.brokerbanksecurities.com or customers may alternately request a written copy of the plan by mail.

Firm Policy

Our firm’s policy is to respond to a Significant Business Disruption (SBD) by safeguarding employees’ lives and firm property, making a financial and operational assessment, quickly recovering and resuming operations, protecting all of the firm’s books and records, and allowing our customers to transact business. In the event that we determine we are unable to continue our business, we will assure customers prompt access to their funds and securities. This policy will be distributed to all employees, posted on the firm’s website and delivered to customers at account opening and mailed to customers upon request.

Our plan anticipates two kinds of SBD’s, internal and external. Internal SBD’s affect only our main Bloomington office’s ability to communicate and do business, such as a fire in our building. External SBD’s prevent the operation of the securities markets or a number of firms, such as a terrorist attack, a tornado, or a wide-scale, regional disruption. BBSI has back up facilities off-site which are tested and secure. In the event the locations are activated, the firm will communicate to our clients via a phone message on the firm’s answering machine, email, fax, and/or post a notice on the firm website:https://www.brokerbanksecurities.com, whatever means available, of the change and remind customers of their access capabilities. The firm has also made contingent back up plans for power, phone, internet and banking services to avoid any unnecessary delays in evoking the plan.

USA PATRIOT’S ACT

Important information about procedures to open a new account. To help the government fight terrorism and money laundering activities, Federal law requires all financial institutions to obtain, verify, and record information that identifies each person who opens an account.

What this means to you: When you open an account, we will ask for your name, address, date of birth, and other information that will allow us to identify you.We may also ask to see your driver’s license or other identifying documents.Further, every three years, we will request you review your stated income sources, liabilities and investment objectives with your representative to ensure they have an accurate financial picture to assist you in meeting your financial goals.

MEMBER SECURITIES INVESTOR PROTECTION CORPORATION

Clients may obtain information about SIPC, including an explanatory brochure about SIPC by contract SIPC at (202) 371-8300 or visit their website:www.sipc.org. BrokerBank Securities, Inc. is a member of SIPC.