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The Trading Permit Application

Each Participant Firm must hold a valid Trading Permit to transact business on the Exchange. A Trading Permit may be issued to a sole proprietor, partnership, corporation, limited liability company or other organization which is a registered broker or dealer pursuant to Section 15 of the Exchange Act.

All applicants must complete the Trading Permit Application.

Applicants who are not already members of another NYSE Entity must complete the NYSE Master User Agreement (MUA).

If the Applicant is already a member of another NYSE entity, please complete the MUA - Additional Platform Agreement.

If the Applicant intends to act as an Institutional Broker or a Market Maker, please complete the Registered Trader Application for applicable individuals.

Completed applications and all required documentation should be submitted electronically to crs@nyse.com.

The application review process at the CHX will begin when all required documentation is received. Failure to include all required documents or submission of incomplete documents can delay the approval process.

Thank you for your interest in the Chicago Stock Exchange, Inc. If you have questions about the Exchange or any of the Trading Permit requirements, please contact Client Relationship Services at crs@nyse.com or 212-896-2830.