Sign In Sign Up

Percent Securities Business Continuity Plans

FINRA Rule 4370. Business Continuity Plans and Emergency Contact Information requires Percent Securities, LLC to disclose to its customers how its business continuity plan addresses the possibility of a future significant business disruption and how Percent Securities, LLC plans to respond to events of varying scope.

Percent Securities, LLC will maintain custody of customers’ funds or securities. In the event of a Significant Business Disruption, customers will be directed to contact issuers directly to verify the status of closings and their holdings.

In the event that Percent Securities, LLC determines it is unable to continue its business, it will attempt to assure investors prompt access to their funds and securities.