Business Continuity Plan

Business Continuity Plan Disclosure

Emmett A. Larkin Company, Inc. (the Firm) is committed to providing uninterrupted service and support to our clients and customers in the event of an emergency or significant disruption of normal business operations.

The Firm maintains two primary facilities in different parts of the United States with back-up and redundant capabilities for trading, operations and information technology. The focus is protecting client assets, and to assure the ability to access those assets. By having the facilities in different parts of the country, it is assuring that the firm will be able to continue business operations in the event of an emergency or significant business interruption.

The functionality of the two primary facilities is reviewed on a regular basis. Periodic testing is done to determine that they are effective. Part of the review process involves reassessing risk. This may require updating and integrating changes to systems.

The Firm's business continuity plan is designed to protect client assets. However, it is impossible to anticipate every possible scenario that may result in an emergency or business interruption. Therefore, the plan is subject to change without notice. Any changes will be posted on our website as soon as possible. The statements contained in this disclosure statement are for informational purposes only. Nothing in this statement constitutes a change in the terms and conditions of any customer agreement or other agreement with the Firm.

8/10/2004