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NYSE Equities Membership provides broker-dealers the high-tech solutions needed to make rapid, automated, and anonymous executions. Industry-leading member services experts discover and improve prices, dampen volatility, and add liquidity. Membership brings access to opening and closing auctions for primaries, brand visibility and direct connectivity.
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 our Connectivity page 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
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 MEMBER AND FLOOR CLERK APPLICATION
NYSE FLOOR EMPLOYEE APPLICATION
NYSE SECURITIES LENDING REPRESENTATIVE AGREEMENT
NYSE TRADING LICENSE APPLICATION
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:
COMMON ACCESS POINT (CAP) AGREEMENT
ALGORITHMIC ROUTING ACCESS AGREEMENT
ADDITIONAL INFORMATION
NYSE TRADING LICENSE FEE CHANGE FOR JULY 1, 2016
INFORMATION MEMO 16-05 NEW REGISTRATION AND EXAM REQUIREMENTS FOR FLOOR CLERKS
Information Memo 12-10 Amendments of Approved Persons
Membership Types
Our unique next-generation trading model includes the following key market participants: Designated Market Makers, Trading Floor Brokers, Supplemental Liquidity Providers and Retail Liquidity Providers.
Designated Market Makers (DMMs) are the only market participants that assume true accountability for maintaining a fair and orderly market:
NYSE DESIGNATED MARKET MAKER FIRMS
TRADING FLOOR BROKERS
Brokers on the NYSE Trading Floor combine flexibility, judgment, automation and anonymity with state-of-the-art technology and order management tools.
FACT SHEETS
SUPPLEMENTAL LIQUIDITY PROVIDERS
Supplemental Liquidity Providers (SLPs) are high-volume trading members who add liquidity to the NYSE. The SLP program rewards aggressive liquidity suppliers who complement and add competition to existing quote providers.
APPROVED NYSE SUPPLEMENTAL LIQUIDITY PROVIDING (SLP-PROP) FIRMS
APPROVED NYSE SUPPLEMENTAL LIQUIDITY PROVIDING (SLMM) FIRMS
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