APEX Clearing

Business Continuity Plan Policy

FINRA Rule 4370

As a fully disclosed and omnibus clearing firm, the Firm has developed a Disaster Recovery Plan to ensure business continuity. In the Firm’s capacity as clearing firm, the Firm provides a variety of services that require the provision of continual technological and operational support to your broker. In connection with accomplishing business continuity, the Firm has established a remote independent Disaster Recovery Site as a major component of the Firm’s Disaster Recovery Plan. This Site has resources in place to operate and maintain business-critical processes in the event that the Firm’s headquarters in Dallas, Texas, cannot be occupied due to anything from a natural disaster to a terrorist attack, whether or not such an event affects only the Firm or is more regional in scope. The Disaster Recovery Plan contemplates restoration of critical processes within a 24-hour timespan. Please note that the specifics of the Disaster Recovery Plan are subject to modification. You may obtain a copy of the Firm’s most current Disaster Recovery Plan by submitting your request to info@apexclearing.com.

Disclosure - Business Continuity Plan Policy Page 1 of 1

Rev. 05/04/2022