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.

  • Step 1

    In a disruption to only our firm or a building housing our firm, we will transfer our operations to a local site (if necessary) and would expect to recover and resume business quickly.

  • Step 2

    In a disruption affecting our business district, city, or region, we will most likely transfer our operations to a site outside of the affected area, and then attempt to promptly recover and resume business.

  • Step 3

    Under all scenarios, we plan to continue in business and to notify you regarding how to contact us. If the business disruption is so severe that it prevents us from remaining in business, we will arrange notification for our customers relative to how they might be affected.

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 or call us at 877-774-2586.