MUNICIPAL SECURITIES RULEMAKING BOARD® (MSRB®) Rule G-10 INVESTOR EDUCATION AND PROTECTION

Rothschild Investment Corporation is registered as a broker-dealer with the U.S. Securities and Exchange Commission (SEC) and the MSRB. The MSRB website address is www.msrb.org. An investor brochure that describes the protections available under the MSRB rules and how to file a complaint with an appropriate regulatory authority may be obtained on the MSRB website.