Securities Listed on New York Stock Exchange

SEC Rule 606 Disclosure of SEC-Required Order Routing Information OTA LLC

In accordance with Securities and Exchange Commission ("SEC") requirements, OTA 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 OTA 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.