Business Continuity Plan

Disclosure to Clients for Compliance with FINRA Rule 4370 – Business Continuity Plan

Rialto Markets LLC (“Rialto”) has a Business Continuity Plan that is designed to permit our firm to resume operations as quickly as possible, given the scope and severity of a Significant Business Disruption (SBD).

Our Firm’s policy is to respond to a Significant Business Disruption (SBD) by safeguarding employee’s lives and firm property, make a financial and operational assessment, swiftly recovering and resuming operations; thus, allowing our customers to transact business.

The firm will conduct periodic training for all employees and testing of the BCP plan to ensure the continued support of critical functions and staff during an SBD.

For further information, please contact your Rialto account representative. The Business Connectivity Plan of Rialto is subject to change without notice. A written summary of the firm’s BCP is provided to customers upon account opening.

If after a significant business disruption, you cannot contact us as you usually do, you may e-mail us at support@rialtomarkets.com or call us at 877-774-2586.