(formerly known as Rule 11Ac1-6)
Pursuant to SEC Rule 606 of Regulation NMS, OTA LLC hereby provides an annual notice concerning customer rights to information concerning the routing of their orders for execution.
Customer orders are routed by OTA LLC to one or more of several market centers for execution. Additionally, the order may be filled internally from the Firm's inventory. Each customer has the right to request of OTA LLC the identity of the venue to which the customer's orders were previously routed for execution. Each customer also has the right to request whether the orders were directed (that is, requested to go to a particular trading venue) or non-directed, as well as the time of the resulting transactions.
Pursuant to Rule 606, broker-dealers must retain this information for a period of six months following each customer transaction. Please be advised that, because of the volume of data retained by the Firm, the response to a specific customer request may be presented within a standardized monthly report that covers trading within a period of up to six months, as opposed to being presented within an individualized response.
All such customer inquiries on order routing should be directed to:
Mr. Kevin Heneghan
Chief Compliance Officer
OTA LLC
1 Manhattanville Road
Purchase, N.Y. 10577
Telephone: (914) 460-4075
Email: compliance@ox.com
You should also be aware that the Firm publishes on its web site a quarterly report of its order routing that is prepared in accordance with SEC Rule 606. You may access this information at SEC Rule 606.
OTA LLC is a SEC registered institutional broker-dealer and a member
of FINRA.
OTA LLC does not provide services to the general public as a retail
broker.