	Matching System Order Types Direct Access Server Market Data 50 Most Active Issues Historical Volume Traded Issues Tape A Tape B Tape C Trading Updates System Status CHX Notices Participant Services Notifications Customer Service Notifications Technical Notifications CHXConnect CHXConnect Issues Shared Trading Space Listing Program CHX-listed Issues Gov. Listing Standards Min. Listing Standards Technical Documents Execution Quality Threshold Securities Participant Services Application For Trading Permit Information Institutional Brokers Market Makers Contact Participant Services Rules CHX Rules CHX Fee Schedule Rule Filings MCC Rules MSTC Rules Market Regulation Surveillance Enforcement Compliance & Examinations Comment Letters Information Memos Disciplinary Orders Arbitration Decisions Weekly Bulletins Legal Notices General History FAQ Executives Holiday Schedule Press Release Archives Governance Board Structure Types of Directors Current Directors Committees Careers Opportunities I-Board Stockholder Information Charter Bylaws CHX Holdings Governance Executives Board Annual Reports

Section 2: Application Forms Index

Please refer to Section 1 for additional information regarding which forms applicants are required to file

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Trading Permit Application Forms	To Be Filed By
Cover letter containing full description of applicant’s securities business and business to be conducted on the CHX	All Applicants
Application for Registration (Word) updated August 2007	All Applicants
Certified Copy of Corporate Resolution (Word) updated August 2007	Corporate Applicants
Statement of Financial Condition Affirmation (Word) updated August 2007	All Applicants
Balance Sheet (Guideline) (Word) updated August 2007	All Applicants
Form 15b 1-2 for Partnership, Corporation, or Limited Liability Company (Word) updated August 2007	Partnership,Corporation, or Limited Liability Company Applicants
Form 15b 1-2 for Sole Proprietor (Word) updated August 2007	Sole Proprietor Applicants
Designation of Recipient (Word) updated August 2007	All Applicants
Form BD – Uniform Application for Broker/Dealer (Refer to FINRA Uniform Registration Forms to download forms: http://www.finra.org/RegulatorySystems/CRD/ FilingGuidance/p005235)	All Applicants
Form U4 – Uniform Application for Securities Industry (Refer to FINRA Uniform Registration Forms to download forms: http://www.finra.org/RegulatorySystems/CRD/ FilingGuidance/p005235)	All Applicants
Letter of Purpose and Intent – Trading Participant Agreement (Refer to the guideline provided: Trading Participant Agreement Guideline (Word) updated October 2007)	Applicants designated to the CHX
A copy of the applicant’s Written Supervisory Procedures (WSP) and WSP Checklist (Refer to the CHX Information Memorandum MR-05-24 pertaining to Supervisory Systems, and the checklist guideline provided: CHX Information Memorandum MR-05-24 (PDF) published December 27, 2005 Written Supervisory Procedures Review Checklist Guideline (Excel) updated May 2007)	Applicants designated to the CHX
Institutional Broker (IB) Letter of Guarantee (Word) Refer to sample letter provided	All Applicants
A copy of Letter from the Applicant to their DEA, granting the DEA permission to provide information to the CHX, pursuant to their application for a trading permit	Applicants NOT designated to the CHX
A copy of the FINRA Membership Agreement	Applicants designated to the FINRA
Market Maker Application (Word) updated August 2007	Market Makers

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Introduction to the Application for a Trading Permit

Section 1: Participant Information

Section 2: Application Form Index

Section 3: Additional Information Index

Access Entire Application Package in PDF