SEC Rule 15c3-5 Market Access Controls

SEC Rule 15c3-5 requires broker-dealers with access to exchanges or Alternative Trading Systems (“ATS”) to establish, document and maintain a system of risk management controls and supervisory procedures that is reasonably designed to systematically limit financial exposure of the broker dealer. For direct clients of GTN, GTN has assigned certain pre-trade thresholds through its risk systems in order to rejects certain orders that exceed those thresholds. The thresholds have been assigned based on a risk assessment done by GTN of your firm. GTN’s systems may pause or reject certain orders that exceed certain pre-determined risk parameters. GTN may intervene and review paused orders so that we may manage the overall risk and financial exposure of the Firm.


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