Compliance & Legal 

GFI Group’s brokerage operations are subject to regulations in the United States, the United Kingdom and elsewhere.

In North America, GFI Group's subsidiary GFI Securities LLC is principally regulated by the SEC and FINRA, and is a registered broker/dealer pursuant to rule 15 of the Securities and Exchange Act of 1934. GFI Securities LLC is also a member of the NFA and CFTC.

GFI’s UK brokerage entities (GFI Securities Limited and GFI Brokers Limited) are duly authorised and regulated to conduct investment business by the Financial Services Authority (“FSA”) with Part IV permission under the provisions of the Financial Services and Markets Act 2000. All investment business conducted by GFI Group in the UK is subject to the rules of the FSA. See our European compliance page for more information

Report Regarding Order Routing Information 

GFI Securities, LLC is required by the U.S. Securities and Exchange Commission to make publicly available quarterly reports on their order routing practices. The report provides information on the routing of “non-directed orders” — any order that the customer has not specifically instructed to be routed to a particular venue for execution. For these non-directed orders, GFI Securities, LLC has selected the execution venue on behalf of its customers.

The report is divided into four sections: one for securities listed on the New York Stock exchange, one for securities listed on The Nasdaq Stock Market, one for securities listed on the American Stock Exchange or regional exchanges, and one for exchange-listed options. For each section, this report identifies the venues most often selected by GFI Securities, LLC, sets forth the percentage of various types of orders routed to the venues, and discusses the material aspects of GFI’s relationship with the venues.
Click the following link to access the report: www.tagaudit.com/r6viewpub.asp

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