NYSE and NYSE Amex Equity Membership
Overview Member Organization Directory Mnemonic Request
Types of Members 

Broker Dealers interested in obtaining NYSE and NYSE Amex Equities Membership must complete the customary application and agreements in order to trade on the NYSE Market, Inc. A Trading License issued by the NYSE is required to effect transactions on the floor of the Exchange and to obtain NYSE Membership with direct connectivity to the Exchange.

Applications for Trading Licenses for calendar year 2009 are a fixed price of $40,000 per year. Detailed information regarding Trading Licenses and the application to acquire one are found below. Please note: NYSE Euronext completed its acquisition of the American Stock Exchange (Amex) on October 1, 2008, now called NYSE Amex Equities. Membership for direct access to the NYSE Amex Equities market is governed by the process that applies to NYSE members.

If your firm is an existing FINRA Member or is interested in becoming a FINRA Member and would like to apply for NYSE and NYSE Amex Equity Membership you will need to complete the Short Form Application for Membership and purchase a Trading License.

  NYSE and NYSE Amex Equity Membership Application (pdf)

If your firm is interested in becoming an NYSE and NYSE Amex Equity Only Member Organization you will need to complete the NYSE and Amex Equity Only Application 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 only 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)

Additional Required Application Forms

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

Related Information

  NYSE Price List  (pdf)
  NYSE Amex Equities Price List (pdf)
  Global Pricing Structure (pdf)
  Common Access Point (CAP) Agreement (pdf)

Individual Investors
Retail participants cannot become direct participants of NYSE. To participate in the NYSE Market, contact a NYSE member organization. Refer to the Member Organization Directory for a list of current members.