SEC Rule 606 Disclosure of SEC-Required Order Routing Information OTR Global Trading LLC Q4 2016

In accordance with Securities and Exchange Commission ("SEC") requirements, OTR Global Trading LLC is publishing statistical information about our routing of certain customers' orders in Nasdaq and listed stocks and listed options.

The required statistics in this quarterly report are intended to provide only an overview of our order routing practices. Please note that based on SEC requirements, the statistics in this report capture only a portion of our order flow. Accordingly, the statistics do not create a reliable basis on which to assess whether OTR Global Trading LLC or any other trading venue has satisfied its duty of best execution.

We have made every attempt to prepare these statistics in compliance with SEC rules. However, these statistics have not been audited and may contain errors.

Securities Listed on New York Stock Exchange

Summary Statistics:

Non-directed orders as percentage of total customer orders

100%

Market orders as percentage of total non-directed orders

0%

Limit orders as percentage of total non-directed orders

0%

Other orders as percentage of total non-directed orders

100%

 

Venues Receiving Significant Percentage of Total Non-Directed Orders:

ATM EXECUTION LLC 50.748%
UBS 24.218%
Bloomberg Tradebook 15.262%
KCG Holdings 7.340%
Bank of America 1.857%
Alternet Securities Inc 0.479%

Information Concerning Significant Venues:

NYSE

Types of Orders Routed to Venue:

Market orders as percentage of total market orders

0%

Limit orders as percentage of total limit orders

0%

Other orders as percentage of total other orders

100%

Material Aspects of Relationship with Venue:

We have no material relationship with this venue.

ARCA

Types of Orders Routed to Venue:

Market orders as percentage of total market orders

0%

Limit orders as percentage of total limit orders

0%

Other orders as percentage of total other orders

100%

Material Aspects of Relationship with Venue:

We have no material relationship with this venue.

Securities Listed on NASDAQ Stock Market

Summary Statistics:

Non-directed orders as percentage of total customer orders

100%

Market orders as percentage of total non-directed orders

0%

Limit orders as percentage of total non-directed orders

0%

Other orders as percentage of total non-directed orders

100%

Venues Receiving Significant Percentage of Total Non-Directed Orders:

ATM EXECUTION LLC 51.486%
UBS 23.164%
Bloomberg Tradebook 17.598%
KCG Holdings 4.334%
Bank of America 2.506%
Alternet Securities Inc 0.822%

Information Concerning Significant Venues:

ARCA

Types of Orders Routed to Venue:

Market orders as percentage of total market orders

0%

Limit orders as percentage of total limit orders

0%

Other orders as percentage of total other orders

100%

Material Aspects of Relationship with Venue:

We have no material relationship with this venue.

NASDAQ

Types of Orders Routed to Venue:

Market orders as percentage of total market orders

0%

Limit orders as percentage of total limit orders

0%

Other orders as percentage of total other orders

100%

Material Aspects of Relationship with Venue:

We have no material relationship with this venue.

 

Securities Listed on AMEX Stock Market

Summary Statistics:

Non-directed orders as percentage of total customer orders

100%

Market orders as percentage of total non-directed orders

0%

Limit orders as percentage of total non-directed orders

0%

Other orders as percentage of total non-directed orders

100%

 

Venues Receiving Significant Percentage of Total Non-Directed Orders:

Information Concerning Significant Venues:

AMEX

Types of Orders Routed to Venue:

Market orders as percentage of total market orders

0%

Limit orders as percentage of total limit orders

0%

Other orders as percentage of total other orders

100%

Material Aspects of Relationship with Venue:

We have no material relationship with this venue.

The firm may generate profits as a result of its trading as principal with customer orders.

ARCA

Types of Orders Routed to Venue:

Market orders as percentage of total market orders

0%

Limit orders as percentage of total limit orders

0%

Other orders as percentage of total other orders

100%

Material Aspects of Relationship with Venue:

We have no material relationship with this venue.

Securities Listed on ARCA Stock Market

Summary Statistics:

Non-directed orders as percentage of total customer orders

100%

Market orders as percentage of total non-directed orders

0%

Limit orders as percentage of total non-directed orders

0%

Other orders as percentage of total non-directed orders

100%

 

Venues Receiving Significant Percentage of Total Non-Directed Orders:

ATM EXECUTION LLC 49.659%
UBS 40.161%
Bloomberg Tradebook 6.709%
KCG Holdings 1.793%
Nasdaq Exchange 0.804%
Bank of America 0.754%
Belzberg 0.121%

Information Concerning Significant Venues:

ARCA

Types of Orders Routed to Venue:

Market orders as percentage of total market orders

0%

Limit orders as percentage of total limit orders

0%

Other orders as percentage of total other orders

100%

Material Aspects of Relationship with Venue:

We have no material relationship with this venue.

Exchange-Listed Options

Summary Statistics:

Non-directed orders as percentage of total customer orders

100%

Market orders as percentage of total non-directed orders

0%

Limit orders as percentage of total non-directed orders

0%

Other orders as percentage of total non-directed orders

100%

 

Venues Receiving Significant Percentage of Total Non-Directed Orders:

BELZ 33.333%
MLCO 33.333%
BOOK 33.333%

Annual Notice