GTS Securities LLC

03/13/2024: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019064352201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: GTS Securities LLC (Respondent) Member Firm CRD No. 149224 Pursuant to FINRA Rule 9216, Respondent GTS Securities LLC (GTS) 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, if accepted, FINRA will not bring any future actions against Respondent alleging violations based on the same factual findings described in this AWC.

Reference 2019064352201data-portal.finra.orgfinra.org

11/24/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE. WAIVER AND CONSENT NO. 2016051549205 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: GTS Securities LLC, Respondent Member Firm CRD No. 149224 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent GTS Securities LLC (GTS) 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

Reference 2016051549205data-portal.finra.orgfinra.org

02/13/2025: From May 2019 through March 2021, GTS published 23 inaccurate monthly reports of executions of covered orders in National Market System (NMS) securities required under Regulation NMS Rule 605 of the Securities Exchange Act of 1934. As a result, GTS violated Regulation NMS Rule 605 and FINRA Rule 2010. In addition, from May 2019 through July 2021, GTS’s supervisory system, including its written supervisory procedures, was not reasonably designed to achieve compliance with Rule 605. As a result, GTS violated FINRA Rules 3110 and 2010. For these violations, GTS is censured and fined $150,000.

Reference 2021071797801data-portal.finra.orgfinra.org

10/26/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20150457981-03 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: GTS Securities LLC, Respondent Broker-Dealer CRD No. 149224 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, GTS Securities LLC ("GTSX", the "Firm" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement

Reference 2015045798103finra.orgdata-portal.finra.org