Business Continuity Plan Disclosure

Z-Squared Securities, LLC (“Z-Squared” or the “Firm”) has created and implemented a Business Continuity Plan (“BCP”) in an effort to mitigate the effects related to an unforeseen business interruption. The BCP is designed to enable the Firm to continue or resume trading operations as soon as possible in the event of an emergency or a significant business disruption (“SBD”). SBDs may vary in scope and severity and will be handled in accordance with the circumstances of the occurrence. A local or regional SBD will be handled differently than a national or global disruption. A global event will be treated differently than an event such as a hurricane, blackout, or terrorist incident, which may be of shorter duration and/or affect a smaller number of people or a limited geographic area. Z-Squared will assess the scope of the SBD and respond accordingly.

Communications and Locations of Employees During a Disruption
In the event of an SBD, Z-Squared will communicate with its employees in several different ways. The Firm will employ an Emergency Contact List to be implemented by management in the event of an SBD. Recovery time for most of the applications is expected to range from immediate to 24 hours.

Communications with Customers
Z-Squared currently communicates with its customers using the telephone, email, fax, and US Mail. In the event of an SBD, Z-Squared will assess which means of communication are still available and use the means closest in speed to the means used in the past. Additionally, if all traditional means of communication are not available, Z-Squared will provide emergency contact information and instructions to its accounting firm – Citrin Cooperman & Company LLP regarding access to Z-Squared representatives and will provide information to its customers on its website and via the trading app as soon as possible.

Books & Records
Z-Squared maintains its hard-copy books and records and access to its electronic records primarily at its Main Office with back-up books and records maintained at alternate locations. If records are unavailable as the result of a business disruption or for any other reason, Z-Squared has the means to recover data from both physical and electronic back-up locations.

Vendors and Counterparties
Z-Squared’s BCP may need to rely upon the recovery and restoration of services provided by various critical business constituents at both its primary and alternate business locations. Z-Squared has considered the extent to which the Firm may be able to depend upon these business relationships during an SBD as a part of its decision to do business with each business constituent. Where possible, the Firm has engaged and/or vetted alternate arrangements in order to avoid business disruptions in the case of a business constituent not being able to provide needed goods or services during an emergency.

Z-Squared’s BCP is designed to address the continued operation of the Firm in the event of an emergency situation or SBD. However, not all risks of business interruption can be foreseen and eliminated and Z-Squared cannot guarantee that its systems and the systems of its business constituents will always be available or immediately recoverable following an SBD. Furthermore, Z-Squared has no control over the operation of its business constituents and although it has reviewed that BCP plans of its vendors, the Firm must rely upon the disaster recovery plans of its various critical business constituents and vendors. In the event that material changes are made to this BCP disclosure, Z-Squared will post an updated copy on its website for use by its customers. The information contained in this disclosure is provided by Z-Squared for informational purposes only, and nothing in this document is intended to guarantee or warranty the actions or performance of Z-Squared, its systems, or its staff in the event of a significant business disruption. Nothing contained herein shall be construed to amend, supplement or otherwise modify any of the terms and conditions set forth in any customer agreement between you and Z-Squared.