Application For Trading Permit Introduction
The Chicago Stock Exchange, Inc. (“CHX” or “Exchange”) is pleased to provide to interested parties this Application to obtain a CHX Trading Permit. The application is divided into three sections.
Section One: Participant Information
Identifies the various types of CHX applicants and lists the CHX requirements to obtain a Trading Permit. Contained within Section One are step-by-step instructions, which, when followed, should simplify what appears to be a complicated application process.
Section Two: Forms
Contains all necessary forms. The form index in Section Two is cross-referenced to Section One to assist in identifying the required forms.
Section Three: Additional Information
This section provides information on items such as fees, net capital requirements, CHX contact telephone numbers, etc.
Completed applications and all required documentation should be submitted to the following address:
There are various examination requirements for CHX participants and registered persons of CHX participant firms. Examination requirements for Institutional Brokers, Market Maker Traders and associated persons are noted in Section One, Additional Requirements. Examination requirements for certain registered persons, securities traders and other associated persons of participant firms engaging in proprietary or agency trading are noted in Section Three.
Thank you for your interest in the Chicago Stock Exchange. If you have questions about the Exchange or any of the Trading Permit requirements please call the Participant Services Department at (312) 663-2581.
Access the entire package in PDF (to save or print; opens in a new browser window)
Note: Accessing the entire package at once will only allow you to view or print the necessary forms; to access each individual document or to complete a form and save the data electronically, you may access the individual document/form from the appropriate index in Sections 2 or 3.
Access this page in PDF (to save or print; opens in a new browser window)
You will need Adobe Acrobat to download membership application
files. Adobe® Acrobat® Reader™ is free software that
lets you view and print Adobe Portable Document Format (PDF) files.
You can obtain Adobe Acrobat Reader at adobe.com.
