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When applying for membership on NYSE American you obtain reciprocity of membership on NYSE for equities as well, and vice versa. NYSE American Membership provides broker-dealers with a price-time priority execution model similar to NYSE Arca. Membership brings access to features designed to facilitate increased midpoint trading such as a delay on incoming orders and proprietary market data and a Discretionary Peg Order that executes up to the midpoint if the quote is deemed stable or rests passively if deemed unstable.
Membership Process
BECOME A NYSE/NYSE AMERICAN EQUITY MEMBER
STEP 1: QUALIFY
Membership is available to registered and new U.S. based broker-dealers who obtain a Self Regulatory Organization (SRO) and have an established connection to a clearing firm. Individual investors are not eligible. When applying for membership on NYSE you obtain reciprocity of membership on NYSE American for equities as well, and vice versa.
STEP 2: FILL OUT RELEVANT, MARKET-SPECIFIC FORMS
To expedite the process, please email forms and applications directly to Client Relationship Services at crs@nyse.com.
STEP 3: CONNECT
Once you have submitted the Membership Application and Agreements, you can begin the connectivity process right away. Firms can connect to our markets directly or through a Service Bureau in a number of different ways. Review the Connectivity forms below and contact us to explore your options.
How to Join
For questions regarding the application, supporting documentation, or process, please contact Client Relationship Services using the "Contact Us" button below.
The application and all supporting documentation should be sent via email to Client Relationship Services at crs@nyse.com. Please ensure all attachments are clearly labeled.
The appropriate application fee should be submitted directly to the Exchange. Mail the application fee to:
New York Stock Exchange, LLC
Client Relationship Services
11 Wall Street, 15th Floor
New York, NY 10005
Forms and Applications
FINRA MEMBER FIRMS
Firms that are FINRA members may apply for NYSE and NYSE American Membership by completing the Membership Application, AP Form and purchasing a Trading License.
APPLICATION FOR NYSE AND AMERICAN MEMBERSHIP FOR FINRA MEMBERS
NON-FINRA FIRMS
Proprietary trading firms that are not existing FINRA Members, and are interested in becoming an NYSE and NYSE American Equity Member Organization, should complete the Membership Application, AP Form and purchase a Trading License. Additionally, firms that are not FINRA members must obtain membership with another Self Regulatory Organization (SRO). Please note that only proprietary trading firms can apply for NYSE and NYSE American Equity Membership under this application. Firms conducting a floor business and/or a public-dealing customer business are NOT eligible for this type of Membership, and must be members of FINRA.
APPLICATION FOR NYSE AND AMERICAN MEMBERSHIP FOR NON-FINRA MEMBERS
FOR NYSE MEMBER FIRMS WHO WANT TO OBTAIN NYSE AMERICAN MEMBERSHIP
NYSE AMERICAN EQUITY SHORT FORM APPLICATION
OTHER REQUIRED FORMS
(Please refer to Information Memo 12-10 provided below under Additional Information for details regarding our Approved Person Rule requirements)
FORMS FOR INDIVIDUALS
NYSE FLOOR EMPLOYEE APPLICATION
NYSE SECURITIES LENDING REPRESENTATIVE AGREEMENT
CONNECTIVITY
ACCESS DETAILS ON CONNECTING TO OUR MARKETS
To directly connect to NYSE and NYSE American the Member Firm must hold a Trading License and then complete the below required documents to directly connect:
Native Gateway Session Request Form
ADDITIONAL INFORMATION
NYSE TRADING LICENSE FEE CHANGE FOR JULY 1, 2016
INFORMATION MEMO 16-05 NEW REGISTRATION AND EXAM REQUIREMENTS FOR FLOOR CLERKS
Membership Types
The NYSE American equities platform provides for two types of participants: Market Maker/Market Maker Authorized Traders (MMATs) and Electronic Designated Market Makers (eDMMs).
MARKET MAKERS (MMAT)
A Market Maker is an ETP holder or firm that has registered with NYSE American to trade securities. Market Makers are obligated to maintain continuous two-sided Q Orders in all registered securities.
ELECTRONIC DESIGNATED MARKET MAKERS (EDMM)
Any registered Market Maker may apply to become an Electronic Designated Market Maker (eDMM). eDMMs may operate on or off-the-exchange trading with more stringent quoting obligations and in some cases, participation guarantees. eDMMs must maintain specified cash or liquid assets based upon the number of issues traded.
NYSE American Electronic DESIGNATED MARKET MAKER FIRMS (EDMMS)
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