Business Continuity Plan

This document addresses the Business Continuity Plan of T3 Trading Group, LLC. (“T3 Trading Group”). The purpose of this plan is to help ensure T3 Trading Groups’ continuing operations and/or the restoration of its business and operations in the most efficient and timely manner in case of an internal or external Significant Business Disruption (SBD). T3 Trading Group clears its securities business through Velocity Clearing, LLC (Velocity).

Velocity represents that they back up our important records in a geographically separate area from where they and the Firm conduct business. While every emergency situation poses unique problems based upon external factors, such as time of day and the severity of the disruption, we have been advised by Velocity that its objective is to restore its own operations and be able to complete existing transactions and accept new transactions and payments within a reasonable period of time. Due to the fact that not all potential factors that cause an SBD can be anticipated, your orders and requests for funds and securities could be delayed during an SBD.


A disruption can be caused by any accidental, natural or man-made malicious event that threatens to or actually disrupts normal operations or services for sufficient time to significantly affect an organization.

Business disruptions, by their nature, can vary greatly in size, scope and duration. In a disruption to only our firm or a building housing an office of our firm, we will recover our backed-up data and transfer our operations to a local site as needed and expect to recover and resume business without a significant delay.. 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 as soon as practicable. In either situation, we plan to continue in business and notify you through our website.


Our goal is to quickly recover and resume business operations after an SBD and respond by safeguarding our employee’s lives and property, making a financial and operational assessment, recovering and resuming operations as quickly as possible, protecting all of the Firm’s books and records, and allowing our customers to transact business and withdraw available funds.

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; critical suppliers, contractors, banks and counterparty impact; regulatory reporting; and assuring our customers prompt access to their funds and securities if there is a significant delay in resuming our business.


If after a significant business disruption you cannot contact us as you usually do by calling our office telephone at (646)-346-1700 or by email at, you should look for more information at our website, If you cannot contact us through either of these means, you should contact us through our clearing firm:

Velocity Clearing, LLC at 1-866-397-0126, or go to The clearing firm will provide instructions on how it can provide access to your accounts, securities, accept trade orders or provide other services related to your account. In the event of an SBD, you may still be able to view your account holdings through the Internet or you may contact the clearing firm for information.

Contact Us with any of your questions