BUSINESS CONTINUITY PLAN DISCLOSURE STATEMENT

In addition to our clearing firm partner Pershing, SL Hare Capital, Inc. has developed a Business Continuity Plan describing how we will respond to events that significantly disrupt our business.  With that in mind, we are providing you a condensed summary of our business plan on our web site.  The full summary is provided to all clients and is available upon request.

We plan to quickly recover and resume business operations after a significant business disruption and respond by safeguarding our employees and property, making a financial and operational assessment, protecting the firm’s books and records, and allowing our customers to transact business.  In short, our business continuity plan is designed to permit our firm to resume operations as quickly as possible, given the scope and severity of the significant business disruption.

Significant business disruptions can vary in their scope, such as only our firm, a single building housing our firm, the metropolitan Los Angeles area, or entire state.  Depending on the type of disruption, we will transfer our operations to a site outside of the affected area, and recover and resume business as soon as possible. 

In either situation, we plan to continue in business and notify you through our web site www.slharecapital.com or our main telephone number:  (310) 479-1680. 

If after a significant business disruption, you cannot contact us at 310-479-1680, our alternate contact number is 818-343-3118.  Our contact persons are Syngon L. Hare and Taub T. Swartz

If the significant business disruption is so severe that it prevents us from remaining in business, you can contact Pershing directly at 201-413-3635.

Our clearing firm, Pershing backs up our important records in a geographically separate area.  While every emergency situation poses unique problems based on external factors, such as time of day and the severity of the disruption, we have been advised by our clearing firm that is objective is to restore its own operations and be able to complete existing transactions within 24 hours.  Your orders and requests for funds and securities could be delayed during this period.