Membership Process

Broker Dealers interested in obtaining NYSE Amex Options Membership must complete the 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). 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, you may submit your application and accompanying forms to Client Relationship Services via the email link below.

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.

For questions regarding the application, supporting documentation, or process, please feel free to contact Client Relationship Services using the “Contact Us” button below.

Application and all supporting documentation are preferred electronically and should be sent via email to Client Relationship Services at crs@nyse.com, or by using the “Contact Us” button below. Please ensure all attachments are clearly labeled.


How to Join

For any firm applying to become an NYSE Amex Options member firm.

Individuals applying as a Registered Trader for NYSE Amex Options.

This application is used for firms who wish to act as Specialists/e-Specialists on the NYSE Amex Options platform.

Floor Brokers are required to pass the Series 56 exam. If you have questions regarding the application or testing process, please contact Client Relationship Services using the Contact Us button below.

Market Makers are required to pass the Series 56 exam. If you have questions regarding the application or testing process, please contact Client Relationship Services using the Contact Us button below.

Individual Investors

At this time, retail investors do not have direct access to NYSE Amex Options. If you are a retail investor, please contact your brokerage firm to inquire whether it routes orders to NYSE Amex Options. You can gain entry to NYSE Amex Options through a direct-access brokerage firm.


Membership Types

Specialist

A Specialist is an assigned floor-based market maker who provides two-sided quotes on the NYSE Amex market. Specialists receive a guaranteed participation right if quoting at the National Best Bid and Offer (NBBO), subject to customer order priority. They are also required to provide continuous two-sided quotes 90% of the time the NYSE Amex market is open for trading. Only one Specialist may be identified for each underlying product.

Floor Market Maker

A Floor Market Maker (FMM) has certain obligations. Each FMM can choose the number of issues they want to trade, restricted only by the number of ATPs they purchase. In addition, FMMs must select a Trading Zone on the Floor as part of their Primary Appointment. Trades affected by open outcry in the appointed Trading Zone are included in calculating the Primary Trading requirement. FMMs need to provide continuous two-sided quotes in their selected electronic primary appointment issues 60% of the time the NYSE Amex market is open for trading.

Remote Floor Maker

A Remote Market Maker (RMM) is an ATP Holder registered with NYSE Amex to make transactions from a location off the trading floor. RMM transactions that are executed through NYSE Amex facilities are deemed to be Market Maker transactions. Like FMMs, RMMs have a 60% quoting obligation.

Agency Floor Broker

An Agency Floor Broker (AFB) represents orders on the trading floor. The AFB must report all orders to the Options Price Reporting Authority (OPRA) within the guidelines established by NYSE Amex.

Order Flow Providers

An Order Flow Provider is any ATP member or member organization that acts as an agent to submit orders to NYSE Amex.

Contact Us


Membership Directory

Name Address Phone/Fax
ABN AMRO Clearing Chicago LLC
www.abnamroclearing.com/en
175 West Jackson Blvd. 4th Floor
Chicago, IL 60604
+1 312 604 8000
Akuna Securities LLC
www.akunacapital.com
36 S. Wabash Avenue
Suite 310
Chicago IL 60603
+1 312 994 4640
Albert Fried & Company, LLC
www.albertfried.com
45 Broadway 24th Floor
New York, NY 10006
+1 212 542 8266
Amerivest Partners, LLC
www.amerivestpartners.com
40 Wall Street 45th Floor
New York, NY 10005
+1 212 422 0404
Andrie Trading LLC
 
440 South LaSalle Street Suite 1910
Chicago, IL 60605
+1 312 431 7393
Apex Clearing Corporation
www.apexclearing.com
1700 Pacific Avenue Suite 1400
Dallas, TX 75201
+1 214 765 1100
Archipelago Securities, LLC
www.tradearca.com
100 South Wacker Drive Suite 1800
Chicago, IL 60606
+1 312 960 1696
Automated Trading Desk Financial Services, LLC
www.atdesk.com
11 East Wall Street
Mount Pleasant, SC 29464
+1 843 789 2080
Name Address Phone/Fax
Barclays Capital Inc.
www.barcap.com
745 Seventh Avenue
New York, NY 10019
+1 212 526 7000
Belvedere Trading LLC
www.belvederetrading.com
10 South Riverside Drive Suite 2100
Chicago, IL 60606
+1 312 893 3750
BlueFin Trading LLC
www.bluefintrading.com
3 Park Avenue 37th Floor
New York, NY 10016
+1 212 457 9150
Blue Vase Securities, LLC 8 Livingston Street, Suite 10
Rhinebeck, NY 12575
 
BMO Capital Markets Corp.
www.bmocm.com
3 Times Square 27th Floor
New York, NY 10036
+1 212 702 1200
BNP Paribas Securities Corp.
www.bnpparibas-us-info.com
787 Seventh Avenue
New York, NY 10019
+1 212 841 3000
BNP Paribas Securities Corp.
www.bnpparibas-us-info.com
787 Seventh Avenue
New York, NY 10019
+1 212 841 3000
Bullaro Securities Corp.
 
25-19 Steinway Street
Astoria, NY 11103
+1 718 204 2300
Name Address Phone/Fax
Capital Institutional Services, Inc.
www.capis.com
1601 Elm St. Suite 3900
Dallas, TX 75201
+1 214 720 0055
Citadel Securities LLC
www.citadelgroup.com/securities/about-securities.php
131 South Dearborn Street 32nd Floor
Chicago, IL 60603
+1 312 395 3116
Citigroup Derivatives Markets, Inc.
 
130 Cheshire Lane Suite 102
Minnetonka, MN 55305
+1 952 475 5607
Compass Professional Services, LLC
 
111 West Jackson Blvd
Chicago, IL 60604
+1 310 692 5910
Consolidated Trading LLC
www.consolidatedtrading.com
440 South LaSalle Street Suite 3100
Chicago, IL 60605
+1 312 260 5440
ConvergEx Execution Solutions, LLC
www.convergex.com
1633 Broadway 48th Floor
New York, NY 10019
+1 212 468 7500
Credit Suisse Securities (USA) LLC
www.credit-suisse.com
11 Madison Avenue
New York, NY 10010-3629
+1 212 325 2000
CTC (Chicago Trading Company), LLC
www.chicagotrading.com
440 S. LaSalle Street 4th Floor
Chicago, IL 60605
+1 312 863 8113

Cutler Group, LP 

www.cutlergrouplp.com  

101 Montgomery Street, Suite 700, San Francisco, CA 64104 + 415 781 7430
Name Address Phone/Fax
DART Executions, LLC
www.dartexecutions.com
350 N. Orleans Street Suite 2N
Chicago, IL 60654
+1 312 244 5900
De Paola Trading, Inc.
 
40 Wall Street Suite 1703
New York, NY 10005
+1 212 306 8953
Dash Financial, LLC
 
910 W. Van Buren St
Chicago, IL 60607
P: (888) 569-3374
Deutsche Bank Securities Inc.
www.db.com
60 Wall Street
New York, NY 10005
+1 212 250 2500
Diffusion Markets, LLC
 
1166 Avenue of the Americas 9th Floor
New York, NY 10036
+1 212 478 0000
DLB Securities, LLC
 
20 Lakewood Drive
Denville, NJ 07834
+1 973 207 5957
DND Trading, LLC
 
60 Bacon Road
Old Westbury, NY 11568
+1 917 689 6877
Name Address Phone/Fax
Name Address Phone/Fax
First Clearing, LLC
www.firstclearing.com
901 East Byrd Street, 12th Floor Mail Code WS2491
Richmond, VA 23219
+1 804 965 2200
Name Address Phone/Fax
G&L Partners, Inc.
www.gandlpartners.com
10 Liberty Street Suite 21F
New York, NY 10005
+1 212 217 0074
GI Brokerage, Inc.
 
c/o Gettenberg Consulting 20 Wall Street, 34th Floor
New York, NY 10005
+1 212 306 1990
Global Execution Brokers, LP
 
401 City Avenue
Bala Cynwyd, PA 19004
+1 610 617 2661
Goldman, Sachs & Company
www.gs.com
200 West Street
New York, NY 10282-2198
+1 212 902 1000
Goldman Sachs Execution & Clearing, LP
www.gs.com
30 Hudson Street
Jersey City, NJ 07302
+1 212 433 2266
Group One Trading, LP
www.group1.com
2 Rector Street Suite 1001
New York, NY 10006
+1 646 827 6000
Name Address Phone/Fax
Hamilton Executions L.L.C.
www.hamiltonex.com
71 Broadway Suite 12J
New York, NY 10006
+1 917 974 0034
HAP Trading, LLC
 
33 Whitehall Street 6th Floor
New York, NY 10004
+1 212 380 5115
Hardcastle Trading USA LLC
 
755 Secaucus Road Suite F1110
Secaucus, NJ 07094
+1 201 305 8888
Heights Partners, Inc.
 
250 West Street, Suite 3L
New York, NY 10013-3093
+1 212 809 7444
HRT Financial LLC
www.hudson-trading.com
32 Old Slip 30th Floor
New York, NY 10005
+1 212 293 1444
HSBC Securities (USA) Inc.
www.hsbcnet.com
452 Fifth Avenue
New York, NY 10018
+1 212 525 5000
Name Address Phone/Fax
IMC Financial Markets
www.imc-trading.com
233 South Wacker Drive Suite 4610
Chicago, IL 60606
+1 312 362 3713
Instinet, LLC
www.instinet.com
Three Times Square
New York, NY 10036
+1 212 310 9500
Integral Derivatives, LLC
 
2 Rector Street 16th Floor
New York, NY 10006
+1 212 655 3147
Interactive Brokers LLC
www.interactivebrokers.com
One Pickwick Plaza 1st Floor
Greenwich, CT 06830
+1 203 618 5700
Israel A. Englander & Co, LLC
www.iaenglander.com
666 Fifth Avenue 9th Floor
New York, NY 10103
+1 212 841 4500
ITG Derivatives LLC
www.itg.com
601 South LaSalle Street Suite 300
Chicago, IL 60605
+1 312 334 8000
Name Address Phone/Fax
J.P. Morgan Clearing Corp.
www.globalclearing.com
One Metrotech Center North
Brooklyn, NY 11201
+1 347 643 1000
J.P. Morgan Securities LLC
www.jpmorgan.com
383 Madison Avenue
New York, NY 10179
+1 212 272 2000
Jane Street Options, LLC
 
One New York Plaza Floor 33
New York, NY 10004
+1 212 651 6070
Jefferies LLC
www.jefferies.com
520 Madison Avenue 11th Floor
New York, NY 10022
+1 212 284 2300
Name Address Phone/Fax
Knight Capital Americas LLC
www.knight.com
545 Washington Blvd.
Jersey City, NJ 07310
+1 201 222 9400
Name Address Phone/Fax
Lek Securities Corporation
www.leksecurities.com
1 Liberty Plaza 165 Broadway 52nd Floor
New York, NY 10006
+1 212 509 2300
Lime Brokerage LLC
www.limebrokerage.com
625 Broadway 12th Floor
New York, NY 10012
+1 212 824 5000
Name Address Phone/Fax
Merrill Lynch, Pierce, Fenner & Smith, Inc.
www.ml.com
1 Bryant Park
New York, NY 10036
+1 212 449 1000
Merrill Lynch Professional Clearing Corp.
 
222 Broadway 6th Floor
New York, NY 10038
+1 212 670 2000
MF Global Inc.
www.mfglobal.com
440 South LaSalle Street 20th Floor
Chicago, IL 60605
+1 312 663 7500
Morgan Stanley & Co. LLC
www.ms.com
1585 Broadway 4th Floor
New York, NY 10036
+1 212 761 4000
Morgan Stanley Smith Barney LLC
www.morganstanleysmithbarney.com
2000 Westchester Avenue
Purchase, NY 10577
+1 914 225 5510
Name Address Phone/Fax
Nasdaq Execution Services, LLC
www.nasdaqtrader.com
One Liberty Plaza 165 Broadway, 51st Fl.
New York NY 10006
P: +1 212 401 8982
National Financial Services LLC
www.nationalfinancial.com
200 Seaport Boulevard
Boston, MA 02110
(800) 800 6890
Natixis Securities Americas LLC
www.natixisblr.com
1251 Avenue of the Americas
New York, NY 10020
+1 212 698 3000
Nomura Securities International, Inc.
www.nomura.com
2 World Financial Center Building B, 18th Floor
New York, NY 10281-1198
+1 212 667 9000
Name Address Phone/Fax
Oppenheimer & Co. Inc.
www.opco.com
125 Broad Street 15th Floor
New York, NY 10004
+1 212 668 8000
Optiver US, LLC
www.optiver.com
130 E. Randolph Street Suite 1300
Chicago, IL 60601
+1 312 821 9500
Oscar Gruss & Son, Incorporated
www.oscargruss.com
292 Madison Avenue 14th Floor
New York, NY 10017
+1 212 514 2400
Name Address Phone/Fax
PEAK6 Capital Management LLC
www.peak6.com
141 West Jackson Blvd. Suite 500
Chicago, IL 60604
+1 312 362 2401
Pershing LLC
www.pershing.com
One Pershing Plaza
Jersey City, NJ 07399
+1 201 413 2301
PTR, Inc.
 
1900 Market Street Suite 616
Philadelphia, PA 19103
(215) 405 7146
Name Address Phone/Fax
Quantlab Securities LP
www.quantlab.com
4200 Montrose Blvd. Suite 200
Houston, TX 77006
(713) 333 3700
Raymond James & Associates, Inc.
www.rjf.com
880 Carillon Parkway P.O. Box 12749
Saint Petersburg, FL 33716
(727) 573 3800
RBC Capital Markets, LLC
www.rbccm.com
One Liberty Plaza 165 Broadway
New York, NY 10006
+1 212 858 7000
Remington Group, LLC
 
71 Broadway Suite 12D
New York, NY 10006
+1 212 968 7770
Roepe Rosenfeld Trading LLC
 
3 Taft Street
Hastings on Hudson, NY 10706
+1 914 478 0464
Name Address Phone/Fax
Sanford C. Bernstein & Co., LLC
www.bernstein.com
1345 Avenue of the Americas 15th Floor
New York, NY 10105
+1 212 486 5800
SG Americas Securities, LLC
www.sgcib.com
1221 Avenue of the Americas
New York, NY 10020
+1 212 278 6000
Southwest Securities Inc.
www.swst.com
1201 Elm Street Suite 3500
Dallas, TX 75270
+1 214 859 9164
Spot Trading, LLC
www.spottradingllc.com
440 South LaSalle Street Suite 2800
Chicago, IL 60605
+1 312 352 4569
Stifel Nicolaus & Company Incorporated
www.stifel.com
501 North Broadway
St. Louis, MO 63102
(314) 342 2000
Stuyvesant Trading Group, L.L.C.
 
2 Rector Street Suite 306
New York, NY 10006
+1 212 659 3886
Sumo Capital, LLC
 
141 West Jackson Blvd. Suite 1280
Chicago, IL 60604
+1 312 604 6602
Susquehanna Securities
 
401 City Avenue Suite 220
Bala Cynwyd, PA 19004
+1 212 709 5363
Name Address Phone/Fax
Taylor Execution Service LLC
 
260 Silver Hill Road
Easton, CT 06612
+1 203 268 6455
TD Ameritrade Clearing Inc.
www.amtd.com
4211 South 102nd Street
Omaha, NE 68127
+1 402 970 5656
Telemetry Securities, L.L.C.
 
111 Eighth Avenue Suite 207
New York, NY 10011
+1 212 425 9700
Timber Hill LLC
www.interactivebrokers.com
One Pickwick Plaza
Greenwich, CT 06830
+1 203 618 5800
TMT East, LLC
 
120 Broadway 20th Floor, Suite 2070-17
New York, NY 10271
+1 917 834 8105
TradeStation Securities, Inc.
www.tradestation.com
8050 Southwest 10th Street Suite 2000
Plantation, FL 33324
+1 954 652 7900
Name Address Phone/Fax
UBS Financial Services Inc.
www.ubs.com/financialservicesinc
1000 Harbor Boulevard
Weehawken, NJ 07086
+1 201 352 3000
UBS Securities LLC
www.ubs.com
1285 Ave of the Americas
New York, NY 10019
+1 203 719 3000
Virtu Financial BD LLC
www.vfinllc.com
645 Madison Avenue 16th Floor
New York, NY 10022
+1 212 418 0116
Vista Capital LLC
 
120 Broadway Suite 2040-04
New York, NY 10271
+1 212 433 7606
Volant Liquidity, LLC
www.volanttrading.com
7 World Trade Center Suite 3301
New York, NY 10007
+1 646 484 3000
Name Address Phone/Fax
Walleye Trading, LLC
www.walleyesoftware.com
14601 27th Ave N Suite 102
Plymouth, MN 55447
+1 952 345 6611
Wedbush Securities, Inc.
www.wedbush.com
1000 Wilshire Blvd. P.O. Box 30014
Los Angeles, CA 90030
+1 213 688 8000
White Bay PT, LLC
whitebaygroup.com
140 Broadway 38th Floor
New York, NY 10005
P: +1 646 651 4380
F: +1 718 732 2033
Wolverine Capital Markets, LLC
www.wolve.com
175 West Jackson Blvd. Suite 200
Chicago, IL 60604
+1 312 884 3879
Wolverine Execution Services LLC
www.tradewex.com
175 West Jackson Blvd. Suite 200
Chicago, IL 60604
+1 312 884 3689
Wolverine Trading, LLC
www.wolve.com
175 West Jackson Blvd. Suite 200
Chicago, IL 60604
+1 312 884 3788
Name Address Phone/Fax

Account Name

Primary Street

Phone

X-Change Financial Access
www.x-fa.com
440 South LaSalle Street Suite 2900
Chicago, IL 60605
+1 312 235 0320
Name Address Phone/Fax