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 January 2009 |
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 (PDF) updated August 2011) |
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 December 2011) |
Applicants designated to the CHX |
| Institutional Broker (IB) Letter of Guarantee (Word) Refer to sample letter provided |
Institutional Brokers |
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. Provide
DEA contact name, email address and phone number. |
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 |
| Application to Aggregate Trading Activity of Affiliated Participants (PDF) updated March 2010 |
As Applicable |
