Business Continuity Plan Disclosure and SEC Rule 606 Trade Execution Quality Disclosure
Business Continuity Planning Disclosure
M.E. Allison & Co., Inc. (the "Firm" or "M.E. Allison") is a full service independent broker/dealer. Our Firm operates as an introducing firm on a fully disclosed basis. Our Firm clears trades through National Financial Services, Inc.
Our Firm and our clearing firm use various mission critical systems to provide services to our customers.
We are a member of the Financial Industry Regulatory Authority ("FINRA") and the Securities Investor Protection Corporation ("SIPC"). You may obtain additional information relating to these entities at their respective website addresses as follows:
Our business continuity planning ("BCP") first insures the safety and security of our employees. The events of 9/11 emphasized the unique skills of personnel who work in our industry, and the need to put their safety first so that after an interruption they are available to continue serving our customers. In addition to protecting our personnel, our BCP and daily operations are focused on preserving our critical Firm and customer data through regular backups which are moved offsite either via media and/or real time and near real time electronic copies of our data at remote locations.
In the case of a business disruption at our building, our Firm has made arrangements to move our employees temporarily to the office of another broker/dealer. Our Firm expects to be able to conduct business within four (4) hours of a building shutdown.
Our Firm's site for resumption of business is outside of our local business district. Recovery time should be within four (4) hours.
Our Firm will notify customers they may contact their brokers at the following alternate phone numbers:
Or they may contact our clearing firm directly at the following (please have available all associated documents necessary to identify the account owner):
National Financial Services, Inc.
200 Seaport Blvd.
Boston, MA 02210
And this information is posted on our Firm's Website:
Customers will be notified that they may contact our clearing firm directly at the address above. Our clearing firm expects to be able to restore access to data within fifteen (15) minutes using backup generators. If they are required to activate their business resumption space, the planned recovery time for mission critical functions is four (4) hours.
Our planned recovery times for business disruptions may be negatively impacted by the unavailability of external resources and other circumstances beyond our control.
Trade Execution Quality
SEC Rule 606
The U.S. Securities and Exchange Commission's Rule 606 requires all broker/dealers that route orders in equity and option securities to publish quarterly reports that provide a general overview of their routing practices. This report must identify the venues to which non-directed customer orders in U.S. exchange-listed equity securities and options were routed for execution, and disclose the material aspects of the broker/dealer's relationship with such venues. The purpose of this report is to provide the public with information on how broker-dealers route orders, enable the evaluation of order routing practices and foster competition among market participants. Upon request, broker-dealers also must disclose to customers the venues to which their individual orders were routed. Each customer may request a written copy of the report be mailed to them at no charge.
M.E. Allison & Co., Inc. enters all equity orders through the order entry system of our primary custodian and clearing firm, National Financial Services, Member SIPC, a registered broker dealer and non-bank affiliate of Fidelity. With the exception of our clearing broker/introducing broker relationship with NFS, we have no material relationships with any of the venues referenced in the NFS reports. We do not receive any compensation or payment for order flow. The SEC Rule 606 requires broker dealers that route orders in certain equity and option securities to make available quarterly reports that present a general overview of their routing practices. If you would like to obtain further information regarding the primary market centers selected by NFS to handle orders, you may access NFS’s quarterly “Order Routing Report” by accessing this web link (Public Disclosure – SEC Rule 606 Reports).
M.E. Allison Quarterly Reports
2021 Q4 M.E. Allison Quarterly Report (PDF)
2021 Q2 M.E. Allison Quarterly Report (PDF)
2021 Q2 M.E. Allison Quarterly Report (XML)
2021 Q1 M.E. Allison Quarterly Report (PDF)
2021 Q1 M.E. Allison Quarterly Report (XML)
2020 Q4 M.E. Allison Quarterly Report (PDF)
2020 Q4 M.E. Allison Quarterly Report (XML)
2020 Q3 M.E. Allison Quarterly Report (PDF)
2020 Q3 M.E. Allison Quarterly Report (XML)
2020 Q2 M.E. Allison Quarterly Report (PDF)
2020 Q2 M.E. Allison Quarterly Report (XML)
2020 Q1 M.E. Allison Quarterly Report (PDF)
2020 Q1 M.E. Allison Quarterly Report (XML)
*Under SEC Rule 606(b)(1) customers can request details on NMS stock and option non-directed orders in NMS securities including the identity of the venue and the time of execution for the prior six months.
*Under SEC Rule 606(b)(3) broker-dealers are required, upon request of a customer that places not held orders, to provide specific disclosures regarding routing and execution of such orders for the prior six months.
Please note that we cannot accept or execute a securities transaction using instructions received via email.
Securities products and services offered through M.E. Allison & Co., Inc. a registered broker/dealer. Member FINRA/SIPC.
950 E. Basse Rd., Second Floor
San Antonio, Texas 78209
Telephone (210) 222-0111
Facsimile (210) 222-0216
M.E. Allison & Co., Inc. archives and reviews both outgoing and incoming electronic correspondence. Such correspondence may be required to be produced to the SEC or other regulators in a criminal investigation or in civil litigation. This is not an offer or solicitation of an offer to buy or sell any security investment or other product. Any opinion or estimate constitutes that of the sender only, and is subject to change without notice. E-mail transmission cannot be guaranteed to be secure or error-free. The sender does not accept liability for any errors or omissions in the contents of this message which arise as a result of e-mail transmission. Any review, re-transmission, dissemination or other use of or taking of any action in reliance upon this information by persons or entities other than the intended recipient is prohibited. If you received this in error please contact the sender and delete the material from any computer.
For your protection, do not include account numbers, social security numbers, passwords, or other non-public information in any e-mail. Email communications may contain viruses or other defects. M.E. Allison & Co., Inc. does not accept liability nor does it warrant that email communications are free of viruses.
Please note neither M.E. Allison & Co., Inc. nor its representatives provide legal or tax advice.
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