The Washington Securities Corporation Business Continuity Plan is designed to assist the Firm and its affiliated persons with the assurance of continued operations in the event of any disaster or cause of serious disruption to business, such as fire, flood, electrical failures, telephone strikes or other outages, terrorism, or death of a principal. Our purpose will be to safeguard lives, and essential firm records, and establish a means whereby all routine operations are handled at an alternate location, enabling routine communications with customers, access to account information, and placement of client orders as is essential in the case any catastrophic event.

Washington Securities Corporation uses RBC Correspondent Services, a division of RBC Capital Markets Corporation, ("RBC CS") in Minneapolis, MN and St. Louis, MO as its clearing firm. RBC CS makes all client account information available online, through multiple servers, and provides various other business continuity services as part of our arrangement with them. RBC CS's Business Continuity Plan has been reviewed, and a copy is retained in our files.  A copy can also be found on their website  http://www.rbc-cs.com/.

After review of all essential systems and records, the following contingent arrangements have been deemed to adequately fulfill our purpose.

1. Data Backup and Recovery

a. Client Accounts and Records

i. RBC CS maintains for a period of six years, records of all client statements, tax reporting documents, all client account information, including copies of W-9’s, margin agreements, trust or corporate certifications, and any written correspondence regarding accounts.ii. RBC CS’s account and information access is web-based to enable access to records from remote locations.

iii. Account statements are provided monthly by RBC CS and are kept in a transportable carrier for off-site access and storage.

iv. Registered representatives are also provided with copies of monthly client statement files for review at off-site locations.

v. An off-site location in Bluemont, VA has DSL service, three phone lines with additional call-forwarding and conferencing capabilities, and remote access to all client accounts for order entry, and account review.

b. Financial and Operations Records

i. Backup disks are routinely made, and kept in off-site location for reconstruction of the firm’s records.

ii. Bank account records are also maintained by the depository banks for purpose of reconstruction.

a. All mission critical systems are available online through RBC CS.

b. At least one principal will have a portable laptop that can wirelessly connect to the internet.

c. The Bluemont, VA location will have a computer capable of connecting to the internet.

d. The Bluemont, VA location has a backup generator in case of electrical failure.

e. The Bluemont, VA location is 110 miles from Chevy Chase office to avoid regional disruption in services or terrorist attempts in the Washington, DC area.

a. Several individuals are registered financial principals to ensure continued financial reporting in the event of loss of personnel.

b. Bank account records are also maintained by the depository banks for purpose of reconstruction.

a. A notice will be posted at www.washingtonsecurities.com in the event of a serious disruption to business.

b. Telephone system provides call forwarding and remote call pickup in the event of telephone or electrical failure to systems in Chevy Chase office.

c. Off-site location in Bluemont, VA has DSL service, three phone lines with additional call-forwarding and conferencing capabilities, and remote access to all client accounts for order entry, and account review.

d. At least one firm principal with the necessary regulatory licenses to maintain business operations will report to the backup location in Bluemont, VA during business hours.

e. The Bluemont, VA office location is sufficiently equipped to provide desks and phones for up to five individuals, if desired.

f. Telephone system provides call forwarding and remote call pickup in the event of telephone or electrical failure to systems in Chevy Chase office.

a. Employees will report to the Bluemont, VA location during business hours or establish temporary non-OSJ branch offices in their homes.

b. Employees will communicate their location to a principal at the Bluemont, VA office. The principal at that site will relay that information to the necessary regulatory agencies.

b. Employees will report to the Bluemont, VA location during business hours or establish temporary non-OSJ branch offices in their homes.

c. Employees will communicate their location to a principal at the Bluemont, VA office. The principal at that site will relay that information to the necessary regulatory agencies.

a. WSC uses outside service for e-mail system.

b. WSC contracts with outside service for firm element training sessions.

c. WSC retains RBC CS for all clearing and record-keeping of client accounts. Please refer to the RBC CS business continuity plan for more information on their backup procedures.

a. At least one principal will have a portable laptop that can wirelessly connect to the internet.

b. The principal(s) at the Bluemont, VA location will be responsible for maintaining continuity of FINRA reporting.

a. Telephone system provides call forwarding and remote call pickup in the event of telephone or electrical failure.

b. The Principal at Bluemont, VA will relay all contact information to the necessary regulatory agencies in the event of a serious disruption.

c. WSC shall designate two emergency contact persons to the FINRA as required by Rule 3520.

a. In the event that Washington Securities Corporation is unable to continue its business, contact information to RBC CS will posted to our website at: http://www.washingtonsecurities.com/. This information is also available on client account statements.

b. Clients can access their accounts online through RBC CS’s Investor Connect. A link to Investor Connect is available on the WSC website.

c. Clients will be able to request transactions (order taking, entry, and execution), distributions, and other access to their funds and securities through RBC CS.

a. Washington Securities maintains a number of individuals with extensive experience and all required principals licenses to function in the event of death or disability of a principal officer.

b. Several of these individuals are active in the daily activities of the business to sufficiently ensure continuity.

a. WSC’s CSO will review and update this plan at least annually and whenever there are significant business changes that will affect this plan.

b. A current copy of the Business Continuity Plan is available on our website, and available in hard copy upon reques