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Fenimore Securities, Inc.




Fenimore Securities is a member of NASD, the National Association of Securities Dealers. NASD is a self-regulatory organization of the securities industry responsible for the operation and regulation of the NASDQ stock market and over the counter markets. It also administrates exams for the investments professionals, such as the series of 7 exams.
 
Fenimore Securities a broker dealer and distributor of the FAM Funds, has developed a Business Continuity Plan on how they will respond to events that significantly disrupt their business. Since the timing and impact of disasters and disruptions is unpredictable, they will have to be flexible in responding to actual events as they occur. With that in mind and in compliance with NASD Rule 3510, they are providing you with this information on their business continuity plan.
 
They plan to quickly recover and resume business operations after a significant business disruption and respond by safeguarding their employees and property, making a financial and operational assessment, protecting the firm’s books and records and allowing their customers to transact business. In short, their business continuity plan is designed to permit their firm to resume operations as quickly as possible, given the scope and severity of the significant business disruption.
 
Their business continuity plan addresses data back up and recovery; all mission critical systems, financial and operational assessments; alternative communications with customers, alternate physical location of employees; critical supplier, contractor, bank and counter party impact; regulatory reporting; and assuring their customers prompt access to their funds and securities if they are unable to continue their business.
 
Their service provider, FAM Shareholder Services, backs up their 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, they have been advised by FAM Shareholder Services that its objective is to restore its own operations and be able to complete existing transactions and accept new transactions and payments within 24 hours. Your transactions could be delayed during this period.

While Fenimore Securities and FAM Shareholder Services plan to resume business as expeditiously as possible, should a significant business disruption occur such that FAM Funds does not calculate its net asset value. The company has committed themselves to the success of the business, to the pursuit of excellence, to the safety of employees, and to providing industry leading quality of service to customers.

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