OTC Futures, LLC.


The purpose of this document is to provide you with information about some of the material conflicts of interest that may arise between you and OTC Futures LLC in connection with OTC Futures LLC performing services for you with respect to futures, options on futures, swaps, or other commodity derivatives. Conflicts of interests can arise in particular when OTC Futures LLC has an economic or other incentive to act, or persuade you to act, in a way that favors OTC Futures LLC or its principals or associated persons.

OTC Futures LLC receives commissions charged to customers. Although OTC Futures LLC is not in a position to direct the frequency and type of trading for customers, these commissions are for the benefit of OTC Futures LLC.

As an independent introducing broker, OTC Futures LLC may maintain separate clearing agreements with multiple Futures Commission Merchants (“FCMs”). OTC Futures LLC may establish different commission, clearing and execution costs with the FCMs. It may be financially advantageous for OTC Futures LLC to recommend one particular FCM over another FCM. In addition, OTC Futures LLC may not maintain an existing clearing agreement with an FCM of your choice and therefore may have an incentive to persuade you to use an FCM that OTC Futures LLC has an existing clearing relationship.

Principals and/or Associated Persons of OTC Futures LLC may hold additional registrations and may need to devote their time amongst several activities.

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