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Types of Disruptions

Lightspeed’s Plan foresees three general classes of business disruptions:

1. Significant but not catastrophic disruption at Lightspeed’s main office

1. Catastrophic disruption at Lightspeed’s main office

1. City-wide, regional, or other disruption that temporarily limits access to and/or the functioning of the С����Ƶmain office or data center (“Office”).

Significant but not Catastrophic Disruption at Lightspeed’s Office Limited disruptions affecting communications lines, computer hardware, or other related systems typically can be addressed using certain redundant systems used by staff in various office locations.

Catastrophic Disruption at Lightspeed’s Office the Company’s response to a catastrophic disruption at our Office will depend on the extent of the damage. In the event of a total loss of Lightspeed’s Office, the Firm can shift various data processing and service duties to alternative offices of Lightspeed. We also will coordinate with our clearing firms to permit customers to close out open positions. In addition, as communications permit, we will inform our customers what alternatives they have to send their orders to us.

Beyond the initial aftermath of the total loss of Lightspeed’s Office, the Company would evaluate the nature of the disruption, the availability of our systems and personnel, our financial condition, the condition of the national and global financial markets, and other factors, as appropriate, to determine whether to restore full brokerage operations or to discontinue brokerage operations and assist customers in transferring their accounts elsewhere.



City-Wide, Regional or Other Disruption that Temporarily Limits Access and/or the Functioning of the С����ƵOffice For a city-wide, regional or other disruption that temporarily limits access to and/or the functioning of the С����ƵOffice, the Company’s response would vary depending upon the exact nature of the disruption and its impact on the financial markets and our Waltham office. These types of disruptions include the Company having to evacuate the Office temporarily due to a bomb threat or smoke damage on another floor. Lightspeed’s response would be similar to a catastrophic disruption to the С����Ƶoffices; however, restoration of full services would be quicker, but resumption time is dependent upon the exact nature of the disruption.

Ongoing Enhancements

The Waltham office is in a geographically separate region and is intended to be able to assume most functions of our other locations when dealing with the С����Ƶtrading system and related activities in the event of a disruption in the Main or other offices. Please contact С����Ƶat (888) 577-3123 for further details about these capabilities. Lightspeed’s Business Continuity Plan, including this disclosure, will be amended to reflect new capabilities and enhancements.

Disclaimers

There are innumerable potential causes of a business disruption, and the events that cause them may vary significantly in nature, size, scope, severity, duration, and geographic location, and will result in distinct degrees of harm to human life; firm assets; the banks, exchanges, securities firms and ECNs with which the firm conducts business; and local, regional and national systems infrastructure (e.g., telecommunications, Internet connectivity, power generation, and transportation) that could affect Lightspeed’s recovery in a variety of ways. С����Ƶreserves the right to flexibly respond to business disruptions in a situation-specific manner that the Company deems appropriate.

Nothing in this document is intended to provide a guarantee or warranty regarding the actions or performance of С����ƵFinancial Services Group LLC, its computer systems, or its personnel in the event of a significant business disruption. С����Ƶmay modify its Disaster Recovery and Business Continuity Plan and this disclosure at any time. The Company will post updates to this disclosure on our website.