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OTA LLC

OTA LLC (CRD #25816, Purchase, New York) received a censure and fine of $15,000. According to the findings, the firm failed to report to ACT the correct symbol indicating whether it executed transactions in eligible securities in a principal or agency capacity. Additionally, the firm failed to report to ACT the correct symbol indicating whether it represented the Market Maker side or the Order Entry side in transactions in eligible securities. The firm accepted the fine and censure but did not admit or deny the accusations. (NASD Case #CMS030061)

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