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NPA Business Continuity Plan

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Nationwide Planning Associates, Inc.’s Continuity Plan Summary

Disruptions that Affect a Single Building

In the event of a disruption that affects NPA's main office and such as a fire in the building, our plan calls for a response involving multiple locations. We will resume critical services by moving key personnel to various locations and, to the extent necessary to our back-up facility. Certain key personnel may also work remotely by connecting to the network from a remote location. In addition to relocating key personnel to back-up faculties, we will, if necessary, transfer responsibility for certain operations and support services to our offsite offices. We intend to resume operations in all of our critical service areas within one day after a disruption of this nature occurs. It may, however, take as long as two or three days to continue doing business in one or more critical service areas depending on the availability of data applications from our data centers.

Disruptions Affecting the Entire Business District

If a disruption significant enough to affect the entire city or business district, such as a terrorist attack, cuts off access to NPA’s main office, under our plan we will resume critical services at our back-up facilities and certain NPA’s offsite offices. As above, certain key employees will work remotely and certain operations and support services would be handled by other NPA offices. We intend to resume operations in all of our critical service areas within one day after a disruption on the availability of data and applications from our data center and on the availability of key employees.

Disruptions Affecting the Entire Northeast Region

In the event of a disruption that affects the entire Northeast region such as a regional power outage, we will resume critical service areas from back-up facilities and certain of NPA offsite locations. Although NPA intends to resume operations within one day after the disruptions occurs, one or more of our critical service areas may not be able to resume operations until the disruption is over.

In all of the situations described above, NPA expects to resume operations within the specified time frames. However, in the event that a business disruption results in a significant loss of life at our headquarters or otherwise results in our key employees being unavailable or unable to report to their designated back-up facility, the recovery times described above may be significantly increased. Furthermore, although we expect to continue operating regardless of the type of disruption, it is impossible to anticipate every scenario. It is, therefore, possible that a significant business disruption could result in NPA deciding that we are unable to continue doing business. In those situations, our plan provides procedures to help ensure that our customers have prompt access to their funds and securities.

We are continuing to devote substantial resources to the enhancement of our business continuity plan. We are continuing to assess how our plan takes into consideration our critical third party relationships. In addition, we may enter into agreements with other firms to perform certain clearing and services functions on our behalf in the event of a disruption, until we have the capability to resume performing those tasks. Finally, we are working towards a target point of readiness in which we will be able to resume operations within a time period that is consistent with evolving industry standards even if our key employees are unavailable.

NPA's business continuity plan is subject to modification. We will promptly post information about any changes on NPA's website www.nationwideplanning.com.

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