Disclosures

• SEC Disclosures 
• Auction Rate Procedures 
• Auction Rate Securities Disclosure

Business Continuity Plan

To address interruptions to our normal course of business, Loop Capital maintains a business continuity plan, which includes alternate processing facilities. Loop Capital has set up its Chicago and New York offices to act as the Disaster Recovery Site for the other. The Business Continuity Plan is reviewed annually and updated as necessary.

The Plan outlines the actions Loop Capital will take in the event of a building, city, or regional incident, including:

• Continuous processing support by personnel located in unaffected facilities; 
• Switching technology data processing to the alternate office; and
• Deploying technology or operational personnel to alternate facility, as needed.

Significant business disruptions can vary in their scope, such as only our firm, a single building housing our firm, the business district where our firm is located, the city where we are located, or the whole region.  Based upon the situation, we plan to continue our business, transfer operations to the alternate office.  If after a significant business disruption you cannot contact us as you usually do at 312.913.4900, you should call our alternate number 212.619.2250 or go to our website at www.loopcap.com for instructions. If the significant business disruption is so severe that it prevents us from remaining in business, we will assure our customers’ prompt access to their funds and securities. If you cannot access us through any of the foregoing means, you may contact our clearing firm Pershing, LLC directly to process limited trade-related transactions, cash disbursements, and security transfers. For additional information about how to request funds and securities when Loop Capital cannot be contacted due to a significant business interruption, please call Pershing, LLC at (201) 413-3635 for recorded instructions. 

For more information – If you have questions about our Business Continuity Plan, you can contact Loop Capital’s Compliance Department at the email address compliance@loopcap.com. 

New Account Procedures

To help the government fight the funding of terrorism and money laundering activities Federal law requires all financial institutions to obtain, verify, and record information that identifies each person or entity that opens an account. What this means for you: when you open an account, at a minimum we must be provided with your name, street address, tax identification number, and any other information that will allow us to establish the identity of our customers.

SIPC

Loop Capital, a member of the Securities Investor Protection Corporation ("SIPC"), provides account protection for the net equity of a customer's funds and securities positions. Visit www.sipc.org for more information about SIPC Coverage.

FINRA

The Board of Governors of the Financial Industry Regulatory Authority has adopted a public disclosure policy that provides certain types of disciplinary information on FINRA Member Firms and their Associated Persons in response to written inquiries via the FINRA Regulations Broker Check Program web site address (www.finra.org) or telephone inquiries via FINRA Regulation's toll-free telephone listing (1-800-289-9999). The Broker Check Program gives you access to information that may help you determine whether to conduct business with a FINRA Member Firm or with its Associated Persons and for other uses consistent with the FINRA Broker Check Program. A brochure describing the Broker Check Program is available to you upon request by contacting FINRA.