Policies and Disclosures

Including: Notice of Privacy Policy, Overflow Disclosure, Business Continutity Plan, Margin and Day-Trading Risk Disclosures

Licensed in OK, CA, TX, AZ, NY, NM only.

Member of the FINRA/SIPC

Notices of Company Policies and Disclosure Statements

Notice of Privacy Policy

NAFA recognizes its responsibility and the responsibility of its employees to safeguard your financial and personal information. As financial service professionals entrusted with sensitive information, we respect the privacy of our customers and are committed to treating your information responsibly. Please read further about our approach to keep your financial and personal information private.

Order Flow Disclosure

In order to comply with Security & Exchange Commission rule 11ac-1-6, a rule dealing with order routing and execution procedures, NAFA and/or any affiliated subsidiaries thereof, acting as a securities broker/dealer, hereby discloses our fulfillment of said rule. Specifically, NAFA hereby discloses that we do not receive any compensation for order-flow arrangements.

Business Continuity Plan Disclosure Statement

NAFA Capital Markets, LLC (NAFA) has developed a Business Continuity Plan (BCP) on how we will respond to events that may significantly disrupt our business. Since the timing and impact of disasters and disruptions is unpredictable, we will have to be flexible in responding to actual events as they occur.

NAFA intends to stay in business during a disruption, as we have secured a temporary alternate location for our Oklahoma City, OK office in the event there is disruption to the building in which we operate. Estimates of how long it will take to recover from internal and external business disruptions will vary on the nature and intensity of the disruption.

Margin Disclosure Statement

Text Box: NAFA Capital Markets, LLC ("NAFA") is furnishing this document to you pursuant to NASD Notice to Members 01-31 and NASD Rule 2341 to provide some basic facts about purchasing securities on margin, and to alert you to the risks involved with trading securities in a margin account. Before trading stocks in a margin account, you should carefully review the margin agreement provided by us, and our clearing firm, Penson Financial Services, Inc., ("PFSI"), the margin lender. Consult your account executive regarding any questions or concerns you may have with your margin accounts.

Day-Trading Risk Disclosure Statement

NAFA Capital Markets, is furnishing you with this Day-Trading Risk Disclosure Statement to provide you with some basic facts concerning the risks inherent in day trading. You should consider the following points before engaging in a day-trading strategy. For purposes of this notice, a "day-trading strategy" means an overall trading strategy characterized by the regular transmission by a customer to his/her account executive of intra-day orders to effect both purchase and sale transactions in the same security or securities.