Business Continuity Policy

Register Financial Associates, Inc. has developed an extensive Business Continuity Plan on how we will respond to events that 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. With that in mind, we are providing you with this information on our business continuity plan.

In the event that there is a natural or unnatural disruption to our business and we must evacuate our office, we would ask you to refer to our website for further instructions and use the following contact numbers:

If you still can not access us using the above numbers, please contact:

First Clearing can give you instructions on prompt access to funds and securities, enter orders, process other trade related, cash, and security transfer transactions. First Clearing backs up our important records in a geographically separate place. We have been advised that in the event of a disaster, First Clearings first objective is to restore its own operations and be able to complete exiting transactions and accept new transactions within a reasonable period of time. Your orders and requests for transactions could be delayed at this time.

Our full Business Continuity Plan encompasses data back up and recovery, all mission systems, financial and operational assessments, alternative physical locations, alternative communications systems for customers, employees, regulators, suppliers, banks, protecting the firm’s books and records, providing clients access to funds and securities. In short, our Business Continuity Plan is designed to permit our firm to resume operations as quickly as possible, given the scope and severity of the disruption.

For more information & if you have questions about our Business Continuity Plan, please feel free to contact us.

Information contained herein has been derived from sources believed to be reliable but is not guaranteed as to the accuracy and does not purport to be a complete analysis of the security, company, or industry involved. Reports are not to be construed as an offer to sell or solicitation of an offer to buy any security. Register Financial Associates, Inc., its principals, directors, and other employees may hold or take long or short positions in the securities we follow. The information and statistics in our reports have been obtained from sources we believe to be reliable but are not guaranteed by us to be accurate or complete.  Investors may be prohibited in certain states from purchasing some over-the-counter securities mentioned herein. Any and all earnings, projections, estimates, and opinions assume certain market conditions and industry developments that can change rapidly . Opinions expressed are subject to change without notice.