Equity Trading Online, LLC is a NASD, NFA, MSRB, SIPC member firm.
Business Continuity Statement
Equity Trading Online, LLC has developed a 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.
Contacting Us – If after a significant business disruption you cannot contact us as you usually do at (212)
279.7800 / email@example.com, you should call our alternative number (877) 388-7233 or go to our web
site at http://www.equitytrading.com. If you cannot access us through either of those means, you should
contact our clearing firm, Penson Financial Services, at (800) 696-3585 for instructions on how to access to
your funds and securities, enter orders and process other trade-related, cash, and security transfer
Our Business Continuity Plan – 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. 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 significant business disruption.
Our business continuity 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; critical supplier, contractor, bank and counter-party impact;
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