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2015048311501 GFI Securities LLC CRD 19982 AWC sl (2020-1586650771040).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015048311501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: GFI Securities LLC, Respondent Member Firm CRD No. 19982 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent GFI Securities LLC 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

Webinar: Move Over Firm Gateway; FINRA Gateway is Coming Soon

Register to attend an upcoming webinar which will introduce FINRA Gateway, the new FINRA reporting and compliance user experience, which will roll out over the coming months. The new system, powered by FINRA's Digital Experience Transformation (DXT) initiative, is designed to streamline the FINRA compliance and reporting experience by providing a more flexible solution that can be customized to hone in on your needs. These webinars will include a demonstration of the new platform, a discussion of the rollout plan for users, and provide time for Q&A.