Disclosures and Policies

Business Continuity Plan – Fixed Income Trading

Rice Securities, LLC (“Rice”) 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

If after a significant business disruption you cannot contact us as you usually do at 212-908-9260, you should call our alternative number 212-908-9200 or go to our web site at www.ricefinancialproducts.com. If you cannot access us through either of those means, you should contact our clearing firm, Axos Clearing, LLC, at 866-774-0218 or https://axosclearing.com for instructions on how it will provide prompt access to funds and securities, enter orders and process other trade-related, cash, and security transfer transactions for your account.

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, given the scope and severity of the significant business disruption. Our business continuity plan addresses: data backup 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.

Our clearing firm, Axos Clearing, LLC, backs up our important records in a geographically separate area. While every emergency situation poses unique problems based on external factors, such as time of day and the severity of the disruption, we have been advised by our clearing firm that its objective is to restore its own operations and be able to complete existing transactions and accept new transactions and payments within twenty four hours in most instances. Your orders and requests for funds and securities could be delayed during this period.

Varying Disruptions

Significant business disruptions can vary in their scope, such as only our firm, a single building housing our firm, the business district where our firm is located, the city where we are located, or the whole region. Within each of these areas, the severity of the disruption can also vary from minimal to severe. In a disruption to only our firm or a building housing our firm, we will transfer our operations to a local site when needed and expect to recover and resume business within two hours. In a disruption affecting our business district, city, or region, we will transfer our operations to a site outside of the affected area, and recover and resume business within one day. In either situation, we plan to continue in business, and notify you through our web site www.ricefinancialproducts.com or our customer emergency number, Lisa-Sheri Torrence, 917-684-1460 how to contact us. 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.

For more information, please visit our website at www.ricefinancialproducts.com. If you have questions about our business continuity planning, you can contact us at 212-908-9200 or lisa.torrence@ricefin.com

Business Continuity Plan – Equity Trading

Rice Securities, LLC (“Rice”) 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

If after a significant business disruption you cannot contact us as you usually do at 212-908-9282, you should call our alternative number 212-908-9200 or go to our web site at www.ricefinancialproducts.com. If you cannot access us through either of those means, you should contact our clearing firm, RBC Correspondent Services at 612-371-7830 or www.rbccorrespondentservices.com for instructions on how it will provide prompt access to funds and securities, enter orders and process other trade-related, cash, and security transfer transactions for your account.

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, given the scope and severity of the significant business disruption. Our business continuity plan addresses: data backup 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.

Our clearing firm, RBC Correspondent Services, backs up our important records in a geographically separate area. While every emergency situation poses unique problems based on external factors, such as time of day and the severity of the disruption, we have been advised by our clearing firm that its objective is to restore its own operations and be able to complete existing transactions and accept new transactions and payments within twenty four hours in most instances. Your orders and requests for funds and securities could be delayed during this period.

Varying Disruptions

Significant business disruptions can vary in their scope, such as only our firm, a single building housing our firm, the business district where our firm is located, the city where we are located, or the whole region. Within each of these areas, the severity of the disruption can also vary from minimal to severe. In a disruption to only our firm or a building housing our firm, we will transfer our operations to a local site when needed and expect to recover and resume business within two hours. In a disruption affecting our business district, city, or region, we will transfer our operations to a site outside of the affected area, and recover and resume business within one day. In either situation, we plan to continue in business, and notify you through our web site www.ricefinancialproducts.com or our customer emergency number, Lisa-Sheri Torrence, 917-684-1460 for how to contact us. 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.

For more information, please visit our website at www.ricefinancialproducts.com. If you have questions about our business continuity planning, you can contact us at 212-908-9200 or lisa.torrence@ricefin.com.

Firm Structure

Firm Structure: June 10, 2010

Services related to tax-exempt municipal bond and taxable bond underwriting, sales and trading, and financial advisory services are offered through Rice Securities, LLC, d/b/a Rice Financial Products Company. Rice Securities, LLC, is a member of SIPC, MSRB and FINRA. Rice Securities, LLC, is a wholly owned subsidiary of Rice Derivative Holdings, LP.

Rice Capital Access Program, LLC, a subsidiary of Rice Securities, LLC, serves as the Designated Bonding Authority for the U. S. Department of Education Historically Black College and University Capital Financing Program, providing loan servicing services.

Privacy Policy

Customer ID Program

Terms of Use

Welcome to www.ricefinancialproducts.com, the Web site of Rice Financial Products Company (RFPC). As used in these Terms and Conditions, the term “Web site” refers to the Web site located at www.ricefinancialproducts.com. You agree that your use of the Web site is subject to the following Terms and Conditions. These Terms and Conditions may be modified at any time and from time to time; the date of the most recent changes or revisions will appear on this page. Continued access to the Web site by you will constitute your acceptance of any changes or revisions to the Agreement. If you do not agree with the Terms and Conditions, you may not use this Web site.
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LINKS
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RFPC recognizes the importance of protecting information we may collect from users on the web site. Our policy is to use the information we acquire from users through the career or contact form process for internal business purposes only, and we maintain appropriate security measures to keep this information private. If you have any questions about this User Agreement, contact contact@ricefin.com.

SEC Rule 606

SEC Rule 606 requires all broker-dealers that route orders in equity and option securities to make quarterly reports available that present a general overview of their routing practices for those two products. Please visit the links below for these reports.

 

Global Execution Brokers LP Reports (RICJ)

Global Execution Brokers LP Reports (RICD)

SEC Rule 11Ac1-3 Disclosure

Form CRS