Business Continuity Plan Disclosure

Pursuant to FINRA Rule 4370, in the event of a significant business interruption, Prager & Co., LLC (the “Firm”) and its clearing firm, Hilltop Securities Inc., have developed business continuity plans in order to protect the interests of our clients. This Disclosure summarizes our Firm's plan to minimize the risks associated with a disruption to our facilities.

Communications with our Clients and Employees in the event of a Disruption

In the event of a significant business disruption, clients may continue to contact us by telephone at (415) 403-1900 or (212) 661-6600, or by email. General information concerning the outage will be available by telephone and at the Firm's website,

The Firm has established plans to ensure the safety and well being of our employees. Employees have received emergency plan instructions.

Mission Critical Information Systems and Office Relocation for Trading, Sales and Operations

The Firm has identified its mission critical systems and applications, some of which are supported by our clearing firm's business continuity plan and other vendors. The Firm maintains its trading, sales, operations and information technology platforms in geographically distant locations. In the event that the primary facility has an outage exceeding an established time threshold, personnel will work remotely.

The Firm has plans for routinely testing and updating our systems as deemed necessary.

Clients may request a copy of our Business Continuity Plan, which will be furnished upon request.