NYSE Group U.S. Forms Library |
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NYSE Group U.S. Membership Forms Library
Welcome to the NYSE Group U.S. Membership Forms Library! This page has been created to offer easy access to all forms necessary to apply for Membership with any of our U.S. based Exchanges. Whether you want to trade Equities, ETPs, Options, Bonds, Futures, and/or any other derivatives products, you can do it all with Membership to one of our Exchanges. Additional details concerning relevant Membership information is available at www.nyse.com on the Markets respective Membership web pages -- please refer to those referenced below.
If at any time you require assistance, the Client Relationship Services department may be reached directly at 1.888.689.7739 (option #3) or at crs@nyx.com.
NYSE Group U.S. Exchanges
NYSE and NYSE Amex Equities
NYSE Amex Options
NYSE Arca Equities
NYSE Arca Options
NYSE Liffe U.S.
For additional important information please visit: www.nyse.com/nysemembership
General Application Forms:
If your firm is an existing FINRA Member and would like to apply for NYSE and NYSE Amex Equity Membership please complete the below Short Form Application for Membership, the Form AP-1 and purchase a Trading License.
NYSE and Amex Equity Membership Application for FINRA Members (pdf)
If your firm is a proprietary trading firm, is not a FINRA Member and is interested in becoming an NYSE and NYSE Amex Equity Only Member Organization you will need to complete the below NYSE and NYSE Amex Equity Only Application, the Form AP-1 and purchase a Trading License. If your firm is not a FINRA Member, it must be a member of another Self Regulatory Organization (SRO). Firms conducting a floor business and/or a public-dealing customer business are NOT eligible for this type of Membership. Only proprietary trading firms can apply for NYSE and NYSE Amex Equity Only Membership. Firms conducting a floor business and/or a public-dealing customer business must be members of FINRA.
NYSE and Amex Equity Membership Application for Non-FINRA Members (pdf)
Other Required Forms:
Form AP-1 for Entity (pdf)
Form ADG 2 & 3 for AP-1 Individuals (pdf)
NYSE Trading License Information and Forms (pdf)
Additional Information:
NYSE Price List
NYSE Amex Equity Price List
Common Access Point (CAP) Agreement (pdf)
Information Memo 00-21 Form AP-1 (pdf)
For additional important information please visit: www.nyse.com/nyseamexoptionsmembership
General Application Forms
ATP Application (pdf)
Individuals applying as a Nominee of an NYSE Amex Options Trading Permit (ATP) Firm
Registered Trader Application (pdf)
Individuals applying as a Registered Trader for NYSE Amex options. If you have questions regarding the application please e-mailcrs@nyx.com.
ATP Specialist / eSpecialist Application (pdf) This application is used for firms who wish to act as Specialists / eSpecialists on the NYSE Amex options platform. NYSE Amex Floor Broker Orientation (pdf)Floor Brokers are required to pass an exam prescribed by the Exchange. This Orientation Manual covers the topics tested on the exam.
NYSE Amex Market Maker Orientation (pdf)Market Makers are required to pass a new member exam. This Orientation Manual covers the topics tested on the new member exam.
NYSE Amex Options Sponsored Participant Application (pdf)This application is used for persons who wish to gain access to the NYSE Amex options platform through sponsorship by an existing ATP Holder.
NYSE Amex Clerk Registration Request (pdf)
ATP Request Form (pdf)
ATP Market Maker Termination Form (pdf)
ATP Floor Broker Termination Form (pdf)
ATP Floor Broker Letter of Authorization (pdf)
ATP Floor Broker Letter of Authorization Revocation (pdf
NYSE Arca ETP Applications and Agreements (pdf)
NYSE Arca Equities ETP Short Form Application (pdf)
NYSE Arca Equities Sponsored Participant Application (pdf)
Application for Market Maker* Registration (pdf)
*Includes Market Maker and Lead Market Maker
Application to Become a Lead Market Maker* In a Particular NYSE Arca Primary Listed Security (pdf)
*Must be an existing Lead Market Maker ETP in order to submit this application for a green sheet posting
General Application Forms:
Form 1 - Nominee Application (pdf)
Individuals applying as a Nominee of an OTP Firm. (Firms applying for the NYSE Arca trading facility need not complete this form)
Form 2 - OTP Firm Application (pdf)
(Partnership, Corporation, Limited Liability Company, Sole Proprietor) Broker-Dealers (Corporations, LLCs, Partnerships, or Sole Proprietors) applying for an OTP at NYSE Arca.
NYSE Arca Options OTP Short Form Application (pdf)
Form 3 - NYSE Arca Lead Market Maker Application (pdf)
This is an application to become a registered Lead Market Maker. Prior to submitting the application; an applicant Broker-Dealer must have completed the Options Trading Permit ("OTP") application.
Allied Person / Approved Person Application (pdf)
This application is used for persons required to be approved as Allied Persons or Approved Persons with the exchange, and for whom the required disclosure information is not available on Web CRD.
Market Maker Orientation (pdf) Market Makers are required to pass a new member exam. This Orientation Manual covers the topics tested on the new member exam.
NYSE Arca Options Sponsored Participant Application (pdf)
This application is used for persons who wish to gain access to the NYSE Arca Options platform through sponsorship by an existing OTP Holder.
OTP Registered Trader Application (pdf)
OTP Request Form (pdf)
OTP Market Maker Letter of Guarantee (pdf)
OTP Floor Employee Registration Request Form (pdf)
OTP Market Maker Termination Form (pdf)
OTP Market Maker Letter of Guarantee Revocation (pdf)
OTP Floor Broker Letter of Guarantee Revocation (pdf)
OTP Floor Broker Termination Form (pdf)
General Application Forms
New Member Application Form (pdf)NYSE Liffe U.S. Trading Forms:
Member Connectivity Administrator (MCA) Form
Responsible Person Form
User ID Registration Form
View Only Keys Form
Form BD(pdf)The Form BD is the Uniform Application for Broker-Dealer Registration. Broker-Dealers must file this form to register with the SEC, self-regulatory organizations (SROs) and jurisdictions through the Central Registration Depository (CRD) system, operated by FINRA.
Form U-4(pdf)The Form U-4 is the Uniform Application for Securities Industry Registration or Transfer. Representatives of broker-dealers, investment advisers, or issuers of securities must use this form to become registered in the appropriate jurisdictions and/or SROs. A full Form U-4 is required when filing for the first time. An applicant is under a continuing obligation to update information on their Form U-4 as changes occur.
Form U-4 Instructions (pdf)