Mandatory notifications to GTN

Please be aware that you are required to immediately inform Electronic Transaction Clearing, Inc. (“GTN”) of:


  • Accounts under Common Control. If you (or an entity that you are affiliated with) open, or become a control person of, another account at GTN, you must provide notification to GTN prior to opening or becoming affiliated with that account.  This is applies to any account that in the custody of GTN, whether the account is a direct customer of GTN or introduced to GTN through an introducing broker-dealer.


  • Control Person of a Stock. If you own, have acquired or looking to acquire 5% or more of a single security, you must provide notification to GTN immediately. This includes the aggregate of holdings in a security across all accounts, including all accounts at GTN as well as other broker-dealers. Owners of certain holdings of companies are required to file particular forms or reports with the SEC.


  • Exchange affiliation. If you, or any principals or authorized individuals affiliated with You, are or become employed by a stock exchange member or if You become members of an exchange or FINRA, You must provide notification to GTN immediately.


Should you have any questions or need to provide notification to GTN regarding one of the items described above, please contact Client Services at 919-605-5179 or


Contact Us

If you have any questions about this policy, please write, call, or email us.

4509 Creedmoor Road, Suite 201

Raleigh, NC 27612 United States


Call us: +1 332 230 1184