Compliance

• ITG’s Policy for NYSE Extreme Market Volatility
• ITG’s Policy Regarding Circuit Breaker Halts
• The SEC’s Rule 201: The Alternative Uptick Rule
• The SEC’s Rule 204
• Regulatory Information for the United States
• Regulatory Information for Europe
• Regulatory Information for Canada

Financial Industry Regulatory Authority, Inc.

ITG Inc. is a member in good-standing with FINRA, the Financial Industry Regulatory Authority, Inc. The main FINRA telephone number is (301) 590-6500 and the website address is www.finra.org.

Securities Investor Protection Corporation

ITG Inc. is a member of Securities Investor Protection Corporation (“SIPC”). The SIPC telephone number is (202) 371-8300 and the website address is www.sipc.org

Customer complaints should be directed to the following:

ITG Inc.
Attn: Patrick Chi
4th Floor
380 Madison Avenue
New York, NY 10017

Compliance Department (212) 588-4000