Jackson Securities LLC
Executive Summary of Business Continuity Plan
2009

Jackson Securities maintains a business continuity plan, including alternate processing locations to address interruptions to our normal course of business. These plans are reviewed at least annually and are updated whenever we have a material change to our operations, structure, business or location or to those of our clearing firm or any other entity providing significant service to any critical systems or functions.

Our plan outlines the actions we will take when an internal or external event creates a significant business disruption (SBD). Our plan addresses the following: data back-up and recovery; all mission critical systems; financial and operational assessment; alternative communications with customers, employees and regulators; alternate physical location of employees; critical vendor, supplier, bank and counter-party contact and impact; regulatory reporting; and instructions to ensure customers prompt access to funds and securities. Our plan provides for continued support to clients to meet most, if not all, of the services offered under normal operations. The same procedures and systems will be utilized in an alternate location by relocated individuals or by trained and pre-assigned alternates. As indicated below, our plan provides for instructions to clients should we be unable to transact business.

Although the scope of a business disruption is unpredictable, our plans call for a quick recovery and resumption of business. Our initial assessment and response will include the following: safeguarding of employees, making a financial and operational assessment, protecting and retrieving books and records and customer information and allowing customers to transact business.

Our company intends to stay in business during and after any disruption of business. We will maintain an alternate location for interrupted access to the building or to our business district, and we will rely on existing offices in different regions to provide alternate processing facilities in the event of disruptions within the city or the whole region. In any situation, internal or external disruption, building or regional disruptions, our objective is for resumption of business with a 4 hour recovery time. This recovery time may be negatively affected by the unavailability of external resources and circumstances beyond our control.

Jackson Securities will continue to perform trading, cash disbursements, securities transfers and underwriting for clients. Phone lines will be transferred to our alternate location, so please continue to contact us on our main office number: 404-522-5766 or toll free, 866-888-4574. For business disruptions in one of our branch office locations, please also contact the main office number.

Our clearing firm, Pershing, also maintains a business continuity plan, which discloses information regarding resumption of business plans, notification of redundant data centers and alternate processing facilities and customer support in the event our firm experiences a significant business disruption. While every emergency situation poses unique problems based on external factors, we have been advised by our clearing firm that their objective is to restore its own operations and be able to complete existing transactions and accept new transactions and payments within 4 hours of a significant business disruption.

If clients are unable to reach us due to a significant business disruption, our clearing firms may be contacted directly for prompt access to funds and securities, for the processing of limited trade-related transactions, cash disbursements and security transfers, for entering orders and for other trade related requests and inquiries.

Pershing, LLC may be contacted at 201-413-3635 for detailed instructions. If this number is unavailable, Pershing may be contacted at 213-624-6100, extension 500, as an alternate telephone number for recorded instructions. Use of these emergency numbers should only occur in the event that Jackson Securities has a significant business disruption and cannot be reached. Account instructions and letters of authorization may be faxed to Pershing at 201-413-5368.

For regular mail, please us the following:
Pershing, LLC
P. O. Box 2065
Jersey City, New Jersey 07303-2065

Or for overnight mail:
Pershing, LLC
One Pershing Plaza
Jersey City, New Jersey 07399

Please contact Jackson Securities directly if you have any questions regarding this information. We can be reached at:

Headquarters
100 Auburn Ave, N.E.
Atlanta, Georgia 30303
Phone: 404-522-5766
Toll free: 866.888.4574
Fax: 404.522.1221

Stamford OSJ
2777 Summer Street, Suite 402
Stamford, CT 06905
Phone: 203.355.3660
Toll Free: 866.533.1296
Fax: 203.355.3674

New York OSJ
5 Penn Plaza - 23rd Floor
New York, NY 10001
Phone: 212-849-6869
Fax: 646-378-2001