Business Continuity Plan

tZERO ATS, LLC. (“tZERO ATS”) has developed a Business Continuity Plan (the “BCP”) to provide procedures for response and recovery in the event of a significant business disruption. Our goal is to ensure our continued ability to serve our clients and to protect their assets and information and the people and assets of our firm. Events creating a disruption of business may vary in nature and tZERO ATS’ BCP has been developed to provide commercially reasonable assurance of business continuity in the event that there are disruptions of normal operations at the firm’s critical facilities. The timing and impact of disasters is unpredictable and the BCP emphasizes a flexible approach.

The BCP addresses interruptions that are either localized or regional in scope, whether short or long term, regardless of the cause. tZERO ATS believes that through its BCP, it will be able to conduct a securities business during periods of business disruption ranging from disruptions that only affect tZERO ATS to disruptions that have regional impact. However, tZERO ATS’ BCP plan is not a guarantee that the firm will be able to conduct securities business during every business disruption.

The BCP is reviewed and tested annually and has been approved by senior management.

Business Continuity Plan ‐ Overview

FINRA Rule 4370 requires each member firm to create and maintain a business continuity plan. In accordance with this rule, tZERO ATS has developed a plan designed to allow tZERO ATS to continue to operate during business emergencies, as permitted by conditions on the ground.

tZERO ATS’ plan is designed to address key areas of concern including but not limited to the following:

  • Books and records recovery;
  • All mission critical systems;
  • Financial and operational assessments;
  • Alternate means of communication between tZERO ATS and its customers;
  • Alternate means of communication between tZERO ATS and its employees;
  • Alternate physical locations of employees;
  • Critical business constituent, bank and counter-party impact;
  • Regulatory reporting; and
  • Communications with regulators.

For example, to address potential disruptions, tZERO ATS has arranged for an alternate local physical location, for both employees and key technology infra-structure. tZERO ATS believes that in the event of a disruption, this alternate location will allow the Firm to promptly relocate its key employees and critical information technology systems in order to provide services for its clients. tZERO ATS’ BCP plan is designed to facilitate our employees’ ability to work remotely from a non-impacted, internet-connected site and to maintain operations and communications with customers and regulators. In the event of a national disruption, tZERO ATS will contact and follow the instructions of FINRA, the SEC, and state and national authorities.

Please be advised that business continuity plans are subject to change and modification. tZERO ATS intends to update and test its business continuity plan as business conditions and technology change. Material changes to tZERO ATS’ BCP will be posted to the Firm’s Website located at [] A copy of the Firm’s complete BCP can be obtained by contacting tZERO ATS at: [[email protected]]