For any firm applying to become an NYSE Amex Options member firm.
Registered Trader Application
Individuals applying as a Registered Trader for NYSE Amex Options.
ATP Specialist/e-Specialist Application
This application is used for firms who wish to act as Specialists/e-Specialists on the NYSE Amex Options platform.
NYSE Amex Floor Broker Orientation
Floor Brokers are required to pass an exam established 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 email@example.com.
ATP Floor Broker Letter of Authorization
NYSE Amex Market Maker Orientation
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 firstname.lastname@example.org.
NYSE Amex Options Sponsored Participant Application
This application is used for those who wish to gain access to the NYSE Amex Options platform through sponsorship by an existing ATP Holder.
Form BD is the Uniform Application for Broker-Dealer Registration. Broker-Dealers must file this form to register with the U.S. Securities and Exchange commission (SEC), self-regulatory organizations (SROs), and jurisdictions through the Central Registration Depository (CRD) system, which is operated by the NASD.
Form U-4 Instructions
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 obligated to update information on their Form U-4 as changes occur.
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 Financial Industry Regulatory Authority (FINRA) 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:
FINRA Central Registration Depository
P.O. Box 9495
Gaithersburg , MD 20898-9495
At this time, retail investors do not have direct access to NYSE Amex. If you are a retail investor, please contact your brokerage firm to inquire whether it routes orders to NYSE Amex. You can gain entry to NYSE Amex through a direct-access brokerage firm.