General Disclosures

SEC RULE 605 DISCLOSURE
Per SEC Rule 605 we track our customer’s best execution orders. Please click here for an analysis of our best execution report.

PAYMENT FOR ORDER FLOW DISCLOSURE
SEC Rule 11Ac1-3 requires the Firm to disclose its payment for order flow policies and practices at the time that the customer account is opened and annually thereafter. C. K. Cooper & Company does receive payment for order flow for routing certain orders to specific execution venues. The table below provides the compensation that C. K. Cooper & Company may receive by venue.

To understand the following table, please utilize the following definition;

• Adding Liquidity is defined as routing limit orders to an execution destination thereby adding liquidity to the market, whereas taking Liquidity is defined as routing market orders to the execution destination.

For further information regarding C. K. Cooper & Company's payment for order flow arrangements, please contact our offices at (888) 477-9301.

IMPORTANT INFORMATION REGUARDING PROCEDURES FOR OPENING A NEW ACCOUNT
To help the government fight the funding of terrorism and money laundering activities, Federal law requires all financial institution to obtain, verify, and record information that identifies each person who opens an account. What this means for you;

• When you open an account, we will ask for your name, address, date of birth and other information that will allow us to identify you.
• We may also ask to see your driver’s license or other identifying documents.

For any further information regarding these disclosures, please feel free to contact us.

BUSINESS CONTINUITY PLAN
C. K. Cooper & Company, Inc. ("CKCC") has developed a Business Continuity Plan on how we will respond to events that significantly disrupt our business. Since the timing and impact of disasters and disruptions is unpredictable, we will have to be flexible in responding to actual events as they occur. With that in mind, we are providing you with this information on our business continuity plan.

Contacting Us
If after a significant business disruption you cannot contact us as you usually do at 888-477-9301, you should call our alternative number (949) 477-9300 or (949) 279-1178 or go to our web site at www.CKCooper.com. If you cannot access us through either of those means, you should contact our clearing firm, Legent Clearing, at (866) 776-0218 or www.LegentClearing.com for instructions on how it may, execute orders on your behalf, distribute funds from your brokerage account, provide current account balances and information and or answer general questions about your brokerage account with CKCC.

Our Business Continuity Plan
We plan to quickly recover and resume business operations after a significant business disruption and respond by safeguarding our employees and property, making a financial and operational assessment, protecting the firm’s books and records, and allowing our customers to transact business. In short, our business continuity plan is designed to permit our firm to resume operations as quickly as possible, given the scope and severity of the significant business disruption.

Our business continuity plan addresses: data back up and recovery; all mission critical systems; financial and operational assessments; alternative communications with customers, employees, and regulators; alternate physical location of employees; critical supplier, contractor, bank and counter-party impact; regulatory reporting; and assuring our customers prompt access to their funds and securities if we are unable to continue our business.

Our clearing firm, Legent Clearing, backs up our important records in a geographically separate area. While every emergency situation poses unique problems based on external factors, such as time of day and the severity of the disruption, we have been advised by our clearing firm that its objective is to restore its own operations and be able to complete existing transactions and accept new transactions and payments within 24 hours your orders and requests for funds and securities could be delayed during this period.

Varying Disruptions
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. Within each of these areas, the severity of the disruption can also vary from minimal to severe. In a disruption to only our firm or a building housing our firm, we will transfer our operations to a local site when needed and expect to recover and resume business within 7 business days. In a disruption affecting our business district, city, or region, we will transfer our operations to a site outside of the affected area, and recover and resume business within 10 business days. In either situation, we plan to continue in business, transfer operations to our clearing firm if necessary, and notify you through our web site www.CKCooper.com or our customer emergency number, (949) 279-1178 how to contact us. If the significant business disruption is so severe that it prevents us from remaining in business, we will assure our customer’s prompt access to their funds and securities.

For More Information
If you have questions about our business continuity planning, you can contact us at 888-477-9301.

PRIVACY POLICY
Please click here to obtain a copy of the C. K. Cooper & Company Private Statement.