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Broker Dealers interested in obtaining NYSE Amex options Membership must complete the customary application and agreements in order to trade on the NYSE Amex options trading platform and become an Amex Trading Permit (ATP) Holder.
Trading rights are granted through Amex Trading Permits (ATPs); market participants are not required to purchase or lease seats. These permits entitle holders of ATPs to trade options on the options trading facilities of the Exchange, including the electronic platform and the physical trading floor. The NYSE Amex platform provides for five types of Market Participants: Specialist, Floor Market Makers, Remote Market Maker, Agency Floor Brokers, and Order Flow Providers.
Every individual or organization applying to become the holder of an ATP must complete an Exchange prescribed application. To expedite the process, applications and forms may be faxed to Client Relationship Services at (312) 960-9647. Original documents must also be forwarded to the following address:
NYSE Amex, LLC
c/o Client Relationship Services
20 Broad Street 10th Floor
New York, NY 10005
Applicants must complete the ATP Application Form. Other forms listed may be completed based on the applicant's organizational structure and intentions in trading on the facilities of the Exchange.
General Application Forms
 ATP Application (pdf)
Individuals applying as a Nominee of an ATP Firm for NYSE Amex options. (Firms applying for the NYSE Arca trading facility need not complete this form.
Registered Trader Application (pdf)
Individuals applying as a Registered Trader for NYSE Amex options. If you have questions regarding the application please e-mail crs@nyx.com .
NYSE Amex Floor Broker Orientation (pdf)
Floor Brokers are required to pass an exam prescribed by the Exchange. The exam is multiple choice and applicants must achieve a score of 75% or higher to pass. This Orientation Manual covers the topics tested on the exam. If you have questions regarding the application or testing process, please e-mail crs@nyx.com .
NYSE Amex Market Maker Orientation (pdf)
Market Makers are required to pass a new member exam. The exam is multiple choice and applicants must achieve a score of 75% or higher to pass. This Orientation Manual covers the topics tested on the new member exam. If you have questions regarding the application or testing process, please e-mail crs@nyx.com.
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 and existing ATP Holder.
ATP Clerk Registration Request (pdf)
ATP Market Maker Letter of Guarantee (pdf)
ATP Request Form (pdf)
ATP Market Maker Letter of Guarantee Revocation (pdf)
ATP Market Maker Termination Form (pdf)
ATP Floor Broker Termination Form (pdf)
SEC Forms
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 the NASD.
Form U-4 (pdf)
Form U-4 Instructions (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.
Broker Dealers
Broker-dealer applicants must file a hard-copy version of the Form BD to the Securities and Exchange Commission. Once the initial filing is received, all pertinent broker-dealer information will be entered in the Central Registration Depository ("Web-CRD"). The Web-CRD is a database operated by the National Association of Securities Dealers for the purpose of maintaining registration information regarding broker-dealers for use by the Securities and Exchange Commission, self-regulatory organizations and state securities regulators. In order to file subsequent amendments to the Form BD, broker-dealers must complete a User Account Acknowledgment Form (UAAF) designating a representative as an Account Administrator. Once entitlement has been established for the Account Administrator, they will be responsible for accessing the broker-dealer account on Web-CRD and filing subsequent amendments to their Form BD. The account administrator will serve as the contact person between the broker-dealer and Web-CRD.
For the Initial Registration, mail your Form BD to the following Address:
NASD Central Registration Depository
P.O. Box 9495
Gaithersburg , MD 20898-9495
Individual Investors
Retail participants cannot become direct participants of NYSE Amex. Retail investors may contact their brokerage firm to inquire if that firm routes orders to NYSE Amex. A retail investor can gain entry to NYSE Amex only through a direct-access brokerage firm.
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