Regulatory Disclosure

IMPORTANT INFORMATION REGARDING ORDER FLOW

The Securities and Exchange Commission requires all brokerage firms, including Allen and Company of Florida, Inc., to inform their client's as to whether such firms receive payment for order flow.  Order flow refers to the process by which your orders are executed.   Seeking to execute a client's order into the best available market, a brokerage firm may execute the order as principal, or may route the order to an affiliated or non-affiliated broker-dealer or exchange specialist for execution.

Allen & Company of Florida, Inc., would like its clients to be aware that the firm does not receive any payments for order flow from any broker or dealer, national securities exchange, registered securities association or exchange member to which it routes customer's orders for execution.

For more information please contact Allen & Company's Compliance Officer.

BEST EXECUTION

SEC Rule 606 - The SEC has adopted rules to improve public disclosure of order execution and routing practices.  Under Rule 606, Allen & Company is required to make publicly available quarterly reports that, among other things, identify the venues to which customer orders are routed for execution.  Allen & Company routes all eligible OTC and Listed orders directly to our Clearing Firm, First Clearing Corporation for execution.  In addition, Allen & Company is required to disclose to customers, upon written request, the venues to which their individual orders were routed.  By making visible the execution quality of the securities markets, the rules are intended to spur more vigorous competition among market participants to provide the best possible prices for investor orders. 

Current Information

SIPC PROTECTION

Securities and cash in client accounts have two sources of protection. Our firm is a member of the Securities Investor Protection Corporation (SIPC). SIPC protects the clients of its member firms against the loss of their securities in the event of the member’s insolvency and liquidation. Each client is insured up to a maximum of $500,000 (including $100,000 for claims for cash). For more information on SIPC coverage, please see the explanatory brochure at www.sipc.org or contact SIPC at (202) 371-8300. In addition, our firm maintains a program of excess protection. Under this program, cash and fully paid securities receive net equity protection not subject to a dollar amount limitation. The additional protection is through Customer Asset Protection Company. SIPC and the additional protection do not insure the quality of investments or protect against losses from fluctuating market value.

Allen & Company of Florida, Inc, member FINRA and SIPC.

BUSINESS CONTINUITY PLAN

In the event of an internal or external significant business disruption, if telephone service is available, our registered associates will take customer orders or instructions and contact our clearing firm, First Clearing, LLC on their behalf.  In the event that our offices cannot be reached directly, our clients may contact First Clearing, LLC directly at 1-877-496-3223 or the mutual fund company directly using the number provided on the statement.