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.

• USA Patriot Act/Anti-Money Laundering Procedures and Customer Identification Program:
• Regulation S-P – Roth Privacy Statement
• ANNUAL MARGIN DISCLOSURE STATEMENT
• Execution Quality and Order Routing
• SEC Rule 606
• Payment for Order Flow
• Held or Not Held Orders
• Business Continuity Plan Disclosure Statement
• FINRA’s BrokerCheck Program
• Information on the Securities Investor Protection Corporation (“SIPC”)