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.

NYSE and NYSE Amex Equity Membership Forms

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.

pdf NYSE and NYSE Amex Equity Membership Application (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 NYSE Amex ONLY Equity Membership Application (pdf)

Other Required Forms:

pdf Form AP-1 (pdf)
pdf NYSE Trading License Information and Forms (pdf)

Additional Information:

pdf NYSE Price List (pdf)
pdf NYSE Amex Equity Price List (pdf)
pdf Common Access Point (CAP) Agreement (pdf)

NYSE Amex Options Membership Forms

 
For additional important information please visit: www.nyse.com/nyseamexoptionsmembership

General Application Forms
pdf ATP Application (pdf)
Individuals applying as a Nominee of an NYSE Amex Options Trading Permit (ATP) Firm

pdf 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.
pdf ATP Specialist / eSpecialist Application (pdf)  This application is used for firms who wish to act as Specialists / eSpecialists on the NYSE Amex options platform.

pdf 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.

pdf 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.
 
pdf 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.

pdf ATP Market Maker Termination Form (pdf)

pdf ATP Floor Broker Termination Form (pdf)

NYSE Arca Equities Membership Forms

 
For additional important information please visit: www.nyse.com/nysearcaequitymembership
The NYSE Arca document checklist outlines the relevant forms and documents that apply to different entities.

General Application Forms:

pdf NYSE Arca ETP Applications and Agreements (pdf)

pdf NYSE Arca Equities ETP Short Form Application (pdf)

pdf NYSE Arca Equities Sponsored Participant Application (pdf)

pdf Application for Registration of Market Makers, Lead Market Makers, Odd Lot Dealers and Market Maker Authorized Traders (pdf)

NYSE Arca Options Membership Forms

 
For additional important information please visit: www.nyse.com/nysearcaoptionsmembership

pdf NYSE Arca Options User's Manual (pdf)

General Application Forms:
pdf 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)

pdf 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.

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.

pdf 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.

pdf Market Maker Orientation (pdf) Market Makers are required to pass a new member exam.  This Orientation Manual covers the topics testes on the new member exam.

pdf 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.

pdf OTP Request Form (pdf)

pdf OTP Market Maker Letter of Guarantee (pdf)

pdf OTP Access Badge Application (pdf)

pdf OTP Clerk Registration Request (pdf)

pdf OTP Market Maker Termination Form (pdf)

pdf Market Maker Letter of Guarantee Revocation (pdf)

NYSE Liffe U.S. Membership Forms

 
For additional important information please visit: www.nyse.com/nyseliffeusmembership

General Application Forms
pdf New Member Application Form (pdf)

NYSE Liffe U.S. Trading Forms:
word Member Connectivity Administrator (MCA) Form
word Responsible Person Form
word User ID Registration Form
word View Only Keys Form

SEC Forms


pdf 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.

pdf 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.

pdf Form U-4 Instructions (pdf)