General Application Forms
Form 1 - Nominee Application
Individuals applying as a Nominee of an OTP Firm.
Form 2 - OTP Firm Application
Broker-Dealers (Corporations, Limited Liability Companies, Partnerships, or Sole Proprietors) applying for an OTP at NYSE Arca.
OTP Short Form Application
Form 3 - NYSE Arca Lead Market Maker Application
This is an application to become a registered Lead Market Maker. Prior to submitting the application, an applicant Broker-Dealer must complete the Options Trading Permit (OTP) application.
NYSE Arca AP Form
This application is used for persons required to be Approved Persons with the Exchange for NYSE Arca DEA applicant firms, and for whom the required disclosure information is not available on Web CRD.
NYSE Arca Options Sponsored Participant Application
This application is used for those who wish to gain access to the NYSE Arca Options platform through sponsorship by an existing OTP Holder.
Market Maker Orientation
Market Makers are required to pass a new member exam. This Orientation Manual covers the topics tested on the new member exam.
OTP Request Form
OTP Registered Trader Application
OTP Floor Employee Registration Request Form
OTP Market Maker Letter of Guarantee
OTP Floor Broker Letter of Authorization
OTP Floor Broker Letter of Authorization for FLEX Equity Options
OTP Market Maker Termination Form
OTP Order Sending and Clearing Firm Termination Form
OTP Market Maker Letter of Guarantee Revocation
OTP Floor Broker Letter of Guarantee Revocation
OTP Floor Broker Termination Form
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