| Summary of Mid-Atlantic Securities, Inc. Business Continuation Plan |
| In the event of a significant business disruption to our usual business
activities we have a plan in place to insure that we will still be available
to our clients and that our electronic files will still be available to
us and our clients. As we do not have custody of client securities and
cash we will have access to our clearing firms in order to communicate
with them any orders that our clients submit to us.
Securities Industry regulations require each member firm to create and maintain a business continuity plan reasonably designed to meet its obligations to its clients. In accordance with these requirements, Mid-Atlantic Securities, Inc. has designed a Business Continuity Plan to address possible scenarios in efforts to minimize any service impact to our clients. The Business Continuity Plan for Mid-Atlantic Securities, Inc. (MAS) addresses these key areas of concern: Alternate means of communication between MAS and its clients In the event of an office disruption in our home office we will have an office set up offsite. Our principals will disclose this office location. We plan to continue regular business activities within a few hours of a disruption or as quickly as conditions allow us to resume communications. These activities can be conducted by telephone or by internet from another location or from any of our branch locations. In the event of a city or regional disruption other Mid-Atlantic offices
can be contacted. Raleigh, NC (home office)– 919-783-7787
This plan is subject to modification. Any updates will be posted to our website – www.midatlanticsecurities.com A copy of our entire business continuation plan it is available to you
upon request. |