Success Trader is a DBA of Regal Securities, Inc., a broker/dealer and member of FINRA. NASD Rule 3510 requires each member firm to create and maintain a business continuity plan (BCP). Accordingly, Regal has developed a plan to ensure that business continues to run uninterrupted during business emergencies.
A copy of our Business Continuity Plan is available on request. Contact us and we will provide it.
Plan summary
Our plan addresses the areas required by FINRA / NASD Rule 3510:
- Data backup and recovery (hard copy and electronic)
- Mission-critical systems identification
- Financial and operational assessments
- Alternate communication methods with customers, employees, and regulators
- Alternate physical location of employees
- Critical business constituent, bank, and counter-party impact
- Regulatory reporting
- Assurance to customers of prompt access to their funds and securities
Customers seeking access to funds or securities during a significant business disruption should contact our team or, in the event Success Trader is unavailable, contact Hilltop Securities, Inc. directly.