Rockfleet's Business Continuity Plan

Rockfleet's business continuity plan is designed to permit our firm to resume operations as quickly as possible, given the scope and severity of the significant business disruption.

Overview

We plan to quickly recover and resume business operations after a significant business disruption and respond by safeguarding our employees and property, making a financial and operational assessment, protecting the firm's books and records, and allowing our customers to transact business. In short, our business continuity plan is designed to permit our firm to resume operations as quickly as possible, given the scope and severity of the significant business disruption. Our business continuity plan addresses data back up and recovery; all mission critical systems; financial and operational assessments; alternative communications with customers, employees, and regulators; alternate physical location of employees; critical supplier, contractor, bank and counter-party impact; and regulatory reporting.

For Customers

As you may know, Rockfleet Financial Services, Inc. ("Rockfleet") and First Southwest Company ("FSC") have an agreement in which FSC provides trade execution, clearing, and other related services for your brokerage account. We want you to know that FSC has an extensive plan in place to complete your transactions with us, and to protect your account information in the event of a business disruption. Please review FSC's Business Continuity Statement, available at www.firstsw.com/regulatory-disclosures/, for more details. Communication with our customers is critical to our business. We have multiple means of accessing our systems so we can continue to provide superior service, even in the event of a business disruption. In the event of a serious emergency where you cannot reach us to resolve trading discrepancies, you may reach our clearing firm directly at (800) 678-3792 or www.firstsw.com.

For Municipal Issuers

Rockfleet has redundant facilities, with the ability to underwrite in multiple locations, as well as redundant technological means to access our underwriting system. These safeguards ensure that in the event of a business disruption in any of our locations, we will be able to bring your new issue to market. And, as noted above, we will be able to maintain contact with our institutional buyers during such an event.

First Southwest's Business Continuity Plan

Through its clearing firm, Rockfleet offers taxable and tax-exempt products and services designed to meet the needs of institutions and individuals. Accounts are carried by First Southwest Company, Member FINRA/SIPC.

Read First Southwest's Business Continuity Plan Statement.