BUSINESS CONTINUITY PLAN

Ballista Securities, LLC plans to quickly recover and resume business operations after a Significant Business Disruption (SBD) 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 company’s Business Continuity Plan (BCP) is designed to permit us to resume operations as quickly as possible, given the scope and severity of the SBD.

The BCP addresses: data back up and recovery; all mission critical systems; financial and operational assessments; alternate 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.

Global Relay backs up our important records in a geographically separate area. While every emergency situation poses unique problems based on external factors, such as time of day and the severity of the disruption, we have been advised by our clearing firm that its objective is to restore its own operations and be able to complete existing transactions and accept new transactions and payments within the amount of time described in their Business Continuity Plan. Your orders and requests could be delayed during this period.

Significant Business Disruptions: The Company’s plan takes into account two kinds Significant Business Disruptions, internal and external. Internal SBDs affect only the Company’s ability to communicate and do business, such as a fire or loss of electrical power in the office or building.

External SBDs prevent the operation of the securities markets or a number of firms, such as a terrorist attack, a natural disaster, or another event that causes a wide-scale, regional disruption of essential services.

Internal SBDs: In the event of a disruption in the Company’s business operations due to an internal SBD, the Company will attempt to restore business operations by utilizing alternative communication methods (if available), such as the Internet, cell phones, etc., or by moving its operations to an alternate location.

If personnel or operations must be moved to an alternate location, the Company anticipates that it will resume regular operations within 2 days.

External SBDs: In the event of a disruption in the Company’s business operations due an internal SBD, the Company will attempt to restore business operations by utilizing alternative communication methods (if available), such as the Internet, cell phones, etc., or by moving its operations to an alternate location.

The Company will attempt to resume business within 24-48 hours and to keep its customers informed regarding relevant events to the best of its ability based on the circumstances.

In all cases, the Company will resume normal business operations as soon as it is able to do so, based on the type and the extent of the disrupting event.

If the Significant Business Disruption is so severe that it prevents us from remaining in business, we will assure our customer’s prompt access to any information that may be requested regarding business done through Ballista Securities, LLC.

EMERGENCY CONTACT PERSONS

Ballista Securities, LLC has designated the following individuals to act as contact persons for the firm as required under Rule 3520:

Primary Contact
Name, Title: Todd Kenney, COO
Telephone Number: 800.434.7552
Fax Number: 646.307.4799
Email Address: tkenney@ballistasecurities.com

Secondary Contact
Name, Title: Stephen Johnson, CCO
Address: 110 Wall St. 9th Floor, New York, NY 10005
Telephone Number: 646.307.4704
Fax Number: 646.307.4799
Email Address: sjohnson@ballistasecurities.com

Communications: In the event you are unable to reach the Company at our main number, please proceed as follows:

1.	Contact the Company at one of the following alternate telephone numbers: Name, Title: Todd Kenney, COO Telephone Number: 646.307.4702
2.	Access the Company’s website at www.ballistasecurities.com
3.	Contact the clearing firm directly at one of the following telephone numbers to process transactions or for information on your holdings: 201.413.3635
4.	Contact the FINRA’s District office at the following telephone number for more information on the company’s status and additional instructions: 212.858.4000

Contact Information: Any questions regarding the Company’s Business Continuity Plans should be addressed to:
Stephen Johnson
Ballista Securities, LLC
110 Wall St. 9th Floor
New York, NY 10005
646.307.4704