2017054878001 GBM International, Inc. CRD 28684 AWC jlg (2022-1642810821564).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2017054878001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: GBM International, Inc. (Respondent) Member Firm CRD No. 28684 Pursuant to FINRA Rule 9216, Respondent GBM International, Inc. (GBM) submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition that,

Regulatory Notice 21-45

Summary

FINRA is updating the imbedded text of Securities Exchange Act (SEA) financial responsibility rules in the Interpretations of Financial and Operational Rules to reflect the effectiveness of amendments the Securities and Exchange Commission (SEC) adopted1. The updated imbedded text relates to SEA Rules 15c3-1, 15c3-1a, 15c3-1b, 15c3-1d, 15c3-1e, 15c3-3, 15Fi-1 through 15Fi-5, 17a-3, 17a-4, 17a-5, 17a-11 and 18a-3.

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