Securities in accounts carried by NFS are protected by the Securities Investor Protection Corporation (SIPC) up to $500,000. This amount includes cash claims up to $100,000.

NFS has arranged for supplemental insurance protection for cash and securities. This covers total account net equity in excess of SIPC's $500,000/$100,000 limits. Please see your investment representative for the current status of this excess protection.

To learn more about SIPC, visit its Web site at www.sipc.org

Protection in an Emergency

Moors & Cabot has developed a comprehensive business continuity plan that is designed

to protect your interests in the event of an internal disruption—such as a fire in our

building—or an external disruption—such as a terrorist attack or a flood—that

affects many brokerage firms and/or U.S. securities market operations.

This carefully crafted, highly detailed plan allows us to recover critical systems and

business functions as quickly as possible, minimizing any impact on our ability to

communicate with you and meet your investment needs. The plan is managed by senior

personnel at our firm and is updated annually to capitalize on technological

enhancements and human resource changes.

Customer records, funds and securities are held by our clearing firm, National

Financial Services LLC (NFS). The firm's primary computer facilities are located in

geographically diverse parts of the country for added protection. NFS submits its

contingency plan to Moors & Cabot for review on a regular basis, and we are satisfied that 

the plan adequately protects your interests, including your ability to access your

records and assets in the event of an internal or external disruption.

Download a summary of the Moors & Cabot Business Continuity Plan (.pdf)