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Business Continuity Plan Disclosure Statement

NAFA Capital Markets, LLC (NAFA) has developed a Business Continuity Plan (BCP) on how we will respond to events that may significantly disrupt our business. Since the timing and impact of disasters and disruptions is unpredictable, we will have to be flexible in responding to actual events as they occur.


NAFA intends to stay in business during a disruption, as we have secured a temporary alternate location for our Oklahoma City, OK office in the event there is disruption to the building in which we operate. Estimates of how long it will take to recover from internal and external business disruptions will vary on the nature and intensity of the disruption.


BUSINESS CONTINUITY PLAN (BCP)

We plan to quickly recover and resume business operations after a significant business disruption and respond by safeguarding our employees and property, making a financial and operational assessment, protecting the firm’s books and records, and allowing our customers to transact business. The 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, regulatory reporting, and assuring our customers prompt access to their funds and securities if we are unable to continue our business. Our clearing firm, Penson Financial Services, Inc (“PFSI”) backs up our 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, we have been advised by PFSI that its objective is to restore its own operations and be able to complete existing transactions and accept new transactions and payments within 2 hours. Your orders and requests for funds and securities may be delayed during this period

ALTERNATE CONTACT NUMBERS

We are providing alternate contact numbers and information that will allow continued access and service to your account in the event you are not able to reach our office (405-286-0700). Our clearing firm, PFSI, the custodian of your assets, will be able to service your account during a disruption:

Penson Financial Services, Inc.

1700 Pacific Avenue, Suite 1400

Dallas, TX 75201

214-765-1100 Tel

www.online.penson.com

 

RECOMMENDED SERVICE ENTITLEMENTS FOR YOUR ACCOUNTS

We recommend that all clients request the following entitlements to their accounts so that they may be able to access their

accounts on their own in case of disruption:

Online Viewing: You may access your account via the internet by going to www.online.penson.com. Click on Client Account Access. You will need your account number and a password. You must request this entitlement through your registered representative prior to accessing your account online.

Check-Writing: You may request this service through your registered representative. This entitles you to withdrawal funds from your account at any time. There is an annual fee of $15 assessed to your account for this entitlement.

NAFA CAPITAL MARKETS WEBSITE

NAFA’s website is under development.