Alden Advisors Business Continuity Plan (BCP)

Firm Policy

Our firm’s policy is to respond to a Significant Business Disruption (SBD) by safeguarding employees’ lives and firm property, making a financial and operational assessment, quickly recovering and resuming operations, protecting all of the firm’s books and records, and allowing our customers to transact business.  In the event that we determine we are unable to continue our business, we will inform our customers to contact the issuers with any questions regarding funds and/or property.

General guidance and background:

  • Please see NASD Notice to Member (NtM) 04-37; General Accounting Office, “Report on Potential Terrorist Attacks:  Additional Actions Needed to Better Prepare Critical Financial Market Participants,” a Report Nos.  GAO-03-251 and GAO-03-414 (Feb.2003) (available at;
  • The Securities and Exchange Commission/Board of Governors of the Federal Reserve System/Office of the Controller of the Currency Joint White Paper on Business Continuity Planning (; and
  • Business continuity planning Web sites, including:;;;;

Emergency Contact Persons

  • Our firm’s emergency contact persons are:
  • Derrick Reagins

These names will be updated in the event of a material change and our Executive Representative will review them within 17 business days of the end of each quarter. (Rule: NASD Rule 3520)