Disclosures

Routing Practices (Rule 606) Data

SEC Rule 11Ac1-6 (Rule 6) states that broker-dealers who route customer orders in equity securities must make publicly available quarterly reports that identify the venues to which customer orders are routed for execution. These statistics provide an overview on which venues receive customers' orders in New York Stock Exchange listed stocks, NASDAQ stocks, and AMEX stocks. The report provides this information for market, limit, and other orders.

Please note that the information you are about to view is hosted on the Market Systems, Inc. Web site. Rosenblatt Securities believes the information on the Market Systems, Inc. Web site to be reliable, but cannot guarantee its accuracy. Furthermore, Market Systems, Inc. may have privacy and security practices different from those of Rosenblatt Securities.

View Rosenblatt Securities' Rule 606 data for the current quarter.

Privacy Policy

Information We Collect
From time to time, we gain access to your personal information through

  • Our interaction with you on the telephone, in person or through e-mail or instant messaging
  • Account applications or other forms you complete
  • Transactions in your accounts or on your behalf
  • Trading tools or other information tools we may make available to you

Information We Disclose
It is Rosenblatt Securities' policy not to disclose any of your non-public personal information to third parties without your consent, unless those parties are providing services or support to us and have agreed to keep your non-public personal information confidential. Examples of these parties include the companies we use to clear and settle your trades, perform our internal auditing and maintain our billing system. Your ability to opt-out of any such disclosure can be discussed with Joe Gawronski at 212-607-3100 or at our toll free number 800-456-8810. You may also contact the firm at info@rblt.com. Even if you cease to transact business with Rosenblatt Securities, we will continue to apply the same protections to your nonpublic personal information as we did when you were an active client.

Protecting Your Information
Rosenblatt Securities protects your nonpublic information from access by third parties by maintaining physical, electronic and procedural safeguards. We limit access to your information to those employees who are trained in the proper handling of nonpublic client information and who need access to the information to perform their job functions.

Business Continuity Plan Disclosure

View the Rosenblatt Securities' Business Continuity Plan Disclosure Statement.

Clearing AgentS Continuity Plan

Goldman Sachs Clearing Firm Business Continuity Plan Disclosure Statement.

COMMUNICATIONS

The information contained in this communication is not intended as an offer or solicitation for the purchase or sale of any securities, futures, options, or any other investment product. This communication is not research, and does not contain enough information on which to make an investment decision. The information herein has been obtained from various sources. We do not guarantee its accuracy. Any opinion offered herein reflects Rosenblatt Securities Inc. current judgment and may change without notice. Member NYSE, SIPC, FINRA.