FOX RIVER EXECUTION TECHNOLOGY, LLC (the “Firm”) has developed a Business Continuity Plan (the “BCP”) to ensure a timely and coordinated response to events that may significantly disrupt our business. As the timing, severity, and impact of disasters and disruptions is unpredictable by nature, the BCP must be flexible in responding to actual events as they occur.

Overview of Business Continuity Plan – The Firm’s goal in responding to a Significant Business Disruption (“SBD”) is to safeguard the Firm’s employees and property, make a financial and operational assessment of the situation, protect the Firm’s books and records, and allow the Firm’s customers to transact business. The BCP is designed to allow the Firm to resume operations as quickly as possible, given the scope and severity of the SBD.

The BCP addresses the following areas: data backup and recovery; mission critical systems; financial and operational assessments; alternative communications with customers, employees, and regulators; alternate physical location of employees; critical supplier, contractor, bank and counter-party impact; regulatory reporting; and assuring the Firm’s customers prompt access to their funds and securities if we are unable to continue our business.

The Firm does not maintain custody of customer’s funds or securities, which are maintained on a fully disclosed basis at unaffiliated clearing firms. The clearing firms back up customer account records in a geographically separate area. Nonetheless, customer orders and requests for funds and securities could be delayed in the event of a significant business disruption.

Varying Disruptions – SBDs can vary in their scope and magnitude. They may affect only the Firm, a single building housing the Firm, the business district where the Firm is located, the city where the Firm is located, or the whole region. Within each of these areas, the severity of the disruption can also vary from minimal to severe. For example, if there is a local power outage, the Firm may continue operations utilizing on-site backup power systems. If the building housing the Firm is deemed inoperable, the Firm may transfer operations to an alternative local site if necessary. In a disruption affecting the Firm’s business district, city, or region, we may transfer operations to a site outside of the affected area. In any situation, the Firm plans to attempt to continue in business, transfer operations to the clearing firms if necessary, and notify customers through the Firm web site or any other means that remain available in order for customers to contact us. If the SBD is so severe that it prevents the Firm from remaining in business, we will work to assure customers prompt access to their funds and securities.

For More Information – This overview is designed to satisfy the disclosure requirements under NASD Rule 3510 requiring the establishment and maintenance of a BCP. If you have questions about our business continuity planning, you can contact us by phone at 630-482-7100, by fax at 630-232-2496 or by e-mail at frex@foxriver.com.