When you open an account, Vision is obligated to collect information like this: Vision Financial Markets LLC (“Vision”) is firmly committed to providing our customers with secure and continuous access to their accounts. Our commitment is to provide information on what to do in the event of a major business disruption due to the effects of a natural disaster, power outage, terrorist action or other adverse events. If we witness such an operational disruption, Vision`s Business Continuity Plan should facilitate the continuation of core business functions such as executing and recording customer orders, registering and protecting customer assets, as well as continuous maintenance of customer accounts and tasks required by Vision`s various supervisory authorities. Vision has developed a comprehensive continuity plan that uses its multiple geographic locations and extremely resilient backbone of voice and data communications. With state-of-the-art software and hardware platforms across multiple sites to ensure high availability and reliability in the processing and maintenance of its customers, Vision has used technologies such as server virtualization, high-availability hardware, continuous generator security, redundant cooling and other technologies it has deemed necessary to achieve its goal of providing maximum service and support. The highly qualified Vision team is able to re-establish its core operational and commercial functions within 2 to 4 hours, and other functions not related to the core business can be restored within 24-48 hours of a significant outage. If you are a victim of fraud, you may have rights and remedies under state and state law. You will receive a vendor`s or company`s disciplinary history from the Financial Industry Regulatory Authority (FINRA) at 1-800-289-9999 and more information from your securities officer at the Central Number of the North American Securities Administrators Association: (202) 737-0900. You can also contact the SEC at (202) 272-7440 for claims.

Some securities may give the holder valuable rights that may expire, unless the holder takes action. These securities include, among other things, warrants, share rights, convertible bonds, bonds and securities subject to an offer or offer to exchange. You are responsible for knowing the rights and conditions of all securities in your account. Vision is not obligated to inform you of impending expiry or settlement dates or to take other action on your behalf, without specific instructions from you, unless required by law and by applicable regulations. (b) If this is required by the current rules, you must, when ordering or de reporting a sales order to us for a long account, designate the order as such. No order can be characterized as a “long” account unless you own the relevant securities and (ii) either those securities are in our physical possession and under control at the time of the order, or we have found, at your request, that Vision can reasonably expect that these securities will be in good physical possession or in good condition of proper control until the settlement date. Your designation of a command as “long” indicates that (i) and (ii) are true and correct statements. In addition, the designation of a sales order for a long account is an indication that this guarantee can be sold without restriction on the open market. Execution of the order: Note that submitting a trade on the Internet or by any other online or electronic means is not the same as receiving or running this business immediately or automatically. While the service may authorize the electronic entry of orders to purchase or sell specific securities, simply entering these orders does not necessarily mean that the order is executed automatically, executed manually or even accepted.

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