Corporate Governance

Working in one of the world’s most highly regulated industries, FBR Capital Markets strives for full compliance, in both letter and spirit, with all of the laws and regulations governing its securities industry businesses.

We firmly believe that our commitment to ethical practices and compliance is vital to our long-term success and to our mission of maximizing the value of the company for shareholders.

FBR Capital Markets has clear policies regarding business ethics, insider trading, confidential and proprietary information, investor relations, equal opportunity, sexual harassment, substance abuse and other vital workplace issues. All of our employees are made aware of our policies and are issued an employee handbook that outlines them. To ensure appropriate conduct, employees have access to training, an on-call Compliance department and supervisor review. In addition, employees of regulated subsidiaries are provided with specialized training and are given compliance manuals that cover the particular legal and regulatory environments in which they operate.

FBR Capital Markets operates under a Statement of Business Principles that provides further guidance regarding our corporate commitment to legal, ethical and respectful conduct.

From this page you may access charters for the Board of Directors Audit, Compensation and Nominating and Governance committees, our Articles of Incorporation and Bylaws, a listing of FBR Capital Market's Directors and Executive Officers, and Section 16 reports on our Directors and Officers.

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