Notice of Important Policies and Regulatory Disclosures

REGULATORY DISCLOSURES – Roth Capital Partners, LLC

The U.S. Securities and Exchange Commission (“SEC”), the Financial Industry Regulatory Authority, Inc. (“FINRA”), and other regulators have various rules and regulations that require broker-dealers to disclose certain policies and procedures including, but not limited to, client identification, business continuity, order routing and investor protection.

In accordance with these various regulatory requirements and industry best practices, Roth Capital Partners (“Roth” or the “Firm”), is providing the following regulatory disclosures to its clients.