Formerly known as Rule 11Ac1-6
Pursuant to SEC Rule 606 of Regulation NMS, OTR Global Trading LLC hereby provides an annual notice concerning customer rights to information concerning the routing of their orders for execution.
Customer orders are routed by OTR Global Trading LLC to one or more of several market centers for execution. Each customer has the right to request of OTR Global Trading 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. Thomas Hickey
Chief Operating Officer and Chief Compliance Officer
OTR Global Trading LLC
4 Manhattanville Road
Purchase, N.Y. 10577
Telephone: 914-908-3994
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.
OTR Global Trading LLC is a SEC registered institutional broker-dealer and a member of FINRA.
OTR Global Trading LLC does not provide services to the general public as a retail broker.
