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Business Continuity

Security Distributors, Inc. ("SDI")
Business Continuity Plan Disclosure Statement

 

The Financial Industry Regulatory Authority ("FINRA"), formerly the National Association of Securities Dealers, has adopted rules requiring firms to implement plans for the continuation of business in the event of a significant disruption. "Significant disruption" refers to local or regional events such as natural disasters, fires, power outages, acts of malice, and technical or infrastructure disruptions.

 

In accordance with the rules, SDI has developed and implemented a business continuity plan. Among other steps, we have created a network of secondary business sites as backups to our normal business location and have arranged backup communications capabilities for connectivity both internally and to our account holders.

 

Our purpose is to ensure that we are able to continue our business activities and continue serving our account holders with the least possible impact in the event of any of the disruptive events described above or other unforeseen circumstances.

 

If you have questions about SDI's business continuity planning, please contact us at 800.888.2461.

This information is provided by Security Distributors in connection with the NEA Retirement Program for retirement plans sponsored by school districts and other employers of NEA members and individual retirement accounts established by NEA members. Security Distributors and certain of its affiliates (collectively, “Security Benefit”) make products available under the NEA Retirement Program, directly or through authorized broker/dealers, pursuant to an agreement with NEA’s wholly owned subsidiary, NEA Member Benefits Corporation (“MBC”), NEA and MBC are not affiliated with Security Benefit. Neither NEA nor MBC is a registered broker/dealer. All securities brokerage services are performed exclusively by your sales representative’s broker/dealer and not by NEA or MBC.

NEA, NEA Member Benefits and the NEA Member Benefits logo are registered service marks of NEA’s Member Benefits Corporation.