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Home > Financial Services > Stock Brokers > Tradeportal Securities, Inc.
Tradeportal Securities, Inc.
Tradeportal Securities, Inc 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.
The firm has developed a Business Continuity Plan on how they respond to events that significantly disrupt their business.Since the timing and impact of disasters and disruptions is unpredictable, they have to be flexible in responding to actual events as they occur.With that in mind, they provide 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, employees, and regulators, 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 clearing firm, Penson Financial Services, Inc. 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, their clearing firm has advised them that its objective is to restore its own operations and be able to complete existing transactions and accept new transactions and payments within eight hours.
Trade Portal has spent a significant amount of financial and human resources to develop the Information. They reserve all present and future rights in and to trade secrets, patents, copyrights, trademarks, service marks, know how and other proprietary rights of any type under the laws of any governmental authority, domestic or foreign, including rights in and to all applications and registrations relating to the Service and remains the sole and exclusive owner of the Intellectual Property Rights.
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