Disruption

The purpose of this Business Continuity Plan is to insure that, in the event of a significant business disruption ("SBD") to any of the Firm's locations, our clients' abilities to access their accounts, funds or place transactions remain uninterrupted. To that end, we have developed the following Business Continuity Plan to include various types of SBDs and the steps to be taken to avoid any down-time to our clients.

TYPES OF DISRUPTIONS

Types of disasters include but are not limited to: Earthquakes, Fires, Floods, Hardware/Software Failures, Human Causes, Natural Causes, Prolonged Loss of Utility Service, Riots, Strikes, Technical Causes, Terrorist Attacks, Tornadoes, etc.

NASD Rule 3510 requires a firm to disclose to its clients how its Business Continuity Plan addresses possible SBDs under various scenarios and its responses thereto. At R.M. Stark & Co., Inc. we have identified critical tasks such as trading, deposits, withdrawals, any market sensitive items and ensuring that customers have access to their funds and securities. The Firm has a contingency plan in place for SBDs that could affect the Firm, or the building, city or region in which the Firm resides.

ALTERNATE PHYSICAL LOCATIONS

Should we have a SBD, we will continue our operations at an alternate location. From our alternate location, we will be able to conduct the same volume of business as in our primary site. All services, including telephone, fax, e-mail and postal, will have been forwarded to this location. All telephone calls will be answered in the usual manner, without delay. Our clients' abilities to access their accounts, funds or place transactions will remain uninterrupted.

In the event of a SBD, additional information will be posted to this web site.

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