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TRADING

As an executing broker for OTR, OTA LLC offers experienced trading personnel and a state-of-the-art trading platform. Our trading relationships are based on trust and integrity. OTA™ generates commissions only one way — by giving clients quality information and executions.

Client Relationships

Our traders have an average of 15 years experience and relationships that have been built over time. We exercise the same principles of confidentiality in our trading relationship that we do with our sources.

Technological Strength

With a quantitative, proprietary trading unit that relies on state-of-the-art technology, OTA is able to provide its institutional customers increased efficiency in handling their orders on a variety of platforms:

• Multiple ECN networks
• DOT and NASDAQ workstations
• Electronic Option Market Access
• Customized client interface
• Traditional broker relations

We believe that our institutional accounts receive superior order execution and unique information relevant to equities derived from secondary markets.

Independent of OTA’s customer agency trading is a historical and highly skilled competence in a quantitative, analytical process that identifies arbitrage or hedge opportunities in the financial markets. This proprietary analysis is applied to listed and unlisted equity options, indices, futures, convertible bonds, preferred stock, warrants and other derivative securities.

Using proprietary trading applications, multiple ECN networks, DOT and NASDAQ direct access, traditional broker relations and customized client interfaces, OTA provides clients with access to the following services:

Options Activity Monitoring

• Timely notification of unusual options pricing or trading volume and spikes in implied volatility, identified by OTA’s proprietary systems.

Portfolio Monitoring

• Observation and identification of secondary market activity including volatility and volume spikes in specific portfolios or sectors that clients desire to be monitored.

Arbitrage and Hedge Insights

• OTA’s proprietary trading desk seeks to identify arbitrage and hedge opportunities in listed and OTC options, stocks, indices, futures, convertible bonds, preferred stock and warrants. Customers have access to this information as it applies to the equity market.

Electronic Single/Basket Stock Trading

• Accumulation of a position over a given time period with complete anonymity
• Price protection for trading a particular stock or basket
• Basket trades over a specified period of time
• Long and short balancing of a portfolio with continual market neutrality
• Volume-weighted average price (VWAP) trades

Electronic Pairs Trading

• Stat pairs trading: trade two stocks — whether listed, OTC or a combination — on any exchange at a given ratio
• Risk arbitrage trading: trade buyer and seller at a fixed ratio and spread
• Index basket pairs trading: trade a stock against a surrogate index of stocks

Market-Neutral Hedges

• Dynamic portfolio hedging with instruments such as QQQQ and SPY to minimize volatility exposure
• Sector portfolio neutralization