BCP Statement

Disclosure to Clients for Compliance with FINRA Rule 4370 – Business Continuity Plan

Securitize Markets LLC (“Securitize Markets”) has a Business Continuity Plan that is designed to permit our firm to resume operations as quickly as possible, given the scope and severity of a Significant Business Disruption (SBD).

Our Firm’s policy is to respond to a Significant Business Disruption (SBD) by safeguarding employee’s lives and firm property, make a financial and operational assessment, swiftly recovering and resuming operations; thus, allowing our customers to transact business.

In a disruption to only our firm or a building housing our firm, we will transfer our operations to a local site (if necessary) and would expect to recover and resume business quickly. In a disruption affecting our business district, city, or region, we will most likely transfer our operations to a site outside of the affected area, and then attempt to promptly recover and resume business. Under all scenarios, we plan to continue in business and to notify you regarding how to contact us. If the business disruption is so severe that it prevents us from remaining in business, we will arrange notification for our customers relative to how they might be affected.

The firm will conduct periodic training for all employees and testing of the BCP plan to ensure the continued support of critical functions and staff during an SBD.

For further information, please contact your Securitize Markets account representative. The Business Connectivity Plan of Securitize Markets is subject to change without notice. A written summary of the firm’s BCP is provided to customers upon account opening.

If after a significant business disruption, you cannot contact us as you usually do, you may e-mail support@securitizemarkets.io or call us at 201-572-9192.

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Securities are offered through Securitize Markets, LLC, (“Securitize Markets”) a registered broker-dealer and member FINRA/SIPC. Neither Securitize Markets, nor any of its affiliates provide any investment advice or make any investment recommendations to any persons, ever, and no communication through herein or in any other medium should be construed as such. Securities offered on the Securitize Markets ATS have not been registered under the Securities Act of 1933 and may not be offered or sold in the United States absent registration or an applicable exemption from registration requirements. Assets listed herein, such as digital assets or tokens using blockchain, are speculative, involve a high degree of risk, are generally illiquid, may have no value, have limited regulatory certainty, are subject to potential market manipulation risks and may expose investors to loss of principal. Investments in private placements, start-up investments in particular, are also speculative and involve a high degree of risk. Investors must be able to afford the loss of their entire investment. Eligibility to buy and sell securities on the Securitize Markets ATS is determined by Securitize Markets in its sole discretion. Offers to sell, or the solicitations of offers to buy any security can only be made through official offering documents that contain important information about risks, fees and expenses associated with the applicable securities available for trading on the Securitize Markets ATS. Investors should conduct their own due diligence, not rely on the financial assumptions or estimates displayed herein, and are encouraged to consult with a financial advisor, attorney, accountant, tax advisors, and any other professional that can help you to understand and assess the risks associated with any investment opportunity. Past performance is not indicative of future results. Neither the Securities and Exchange Commission nor any federal or state securities commission or regulatory authority has recommended or approved any investment or the accuracy or completeness of any of the information or materials provided herein or through any references/links herein. Any financial projections or returns shown herein are provided by the issuer of the relevant security and Securitize Markets has not verified the accuracy. Further, there can be no assurance that any valuations provided by issuers are accurate or in agreement with market or industry valuations. Securitize Markets and its affiliates make no representations or warranties as to the accuracy of such information. Securitize Markets may collect certain information about you that helps us comply with various securities regulations and rules and the USA PATRIOT Act, a Federal law that requires all securities firms to obtain, verify, and record information that identifies each applicant. The information also helps us more fully understand your investment profile and identify what types of investments or strategies may be suitable for you. The term “Investors” used on this website, typically refers to accredited investors where applicable. Please note: if we cannot verify the information you provide, we may be required to restrict or deny your account. Trading during Extended Hours Trading Sessions carries unique risks, such as greater price volatility, lower liquidity, wider bid/ask spreads, and less market visibility, and may not be appropriate for all investors. There is no guarantee that a diversified portfolio will enhance overall returns, outperform a non-diversified portfolio, or prevent against loss. By accessing this site and any pages thereof, you agree to be bound by our Terms of Service and Privacy Policy.