Business Continuity Plan

B. Riley FBR, Inc. has developed a Business Continuity Plan on how we will respond to events that 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. With that in mind, we are providing you with this information on our business continuity plan.

Contacting Us – In case of an emergency, you should attempt to contact our home office in Los Angeles, CA first. If you are unable to reach someone in Los Angeles, you should attempt to contact someone in our other offices.

Our Business Continuity Plan – 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.

The plan addresses, among other things: 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; regulatory reporting; and assuring our customers prompt access to their funds and securities if we are unable to continue our business. The plan also covers disruptions that may affect each office across the country.

Varying Disruptions – Significant business disruptions and its degree of severity can vary in their size and scope. We plan to continue business operations, transfer operations to our clearing firm if necessary, and notify you through our web site or our customer emergency number, (310) 966-1444, on how to contact us and the time frame that we expect to resume business operations. If the significant business disruption is so severe that it prevents us from remaining in business, we will assure our customer’s prompt access to their funds and securities.

If you have questions about our business continuity planning, please contact the Compliance Department at (310) 966-1444 or email .(JavaScript must be enabled to view this email address).