Steps to join CBSX for CBOE TPHs:
- Complete the Application for a CBOE Trading Permit Holder (TPH) (below).
For each designated Responsible Person (Item 4 on the Organization Application):
- Obtain an Individual Consent to Jurisdiction.
- Investigate the Individual by submitting a completed Form U-4 (sections 1, 8, 9, 10, 11, 12, 14 and 15a) unless the person is an effective Permit Holder of CBOE.
- Fingerprint the Individual or obtain evidence (available on CRD) of cleared prints taken within the last 12 months.
- There is a $500 Fee for a Non-CBOE Responsible Person.
- Provide CBOE Registration Services Department with a completed Clearing TPH Connectivity Guarantee (below).
Individual Application for a CBOE TPH (PDF)
Organization Application for a CBOE TPH (PDF)
Application to Qualify to Transact Business with the Public (PDF) - (This step is not applicable if an approved application is on file with CBOE and no revisions required)
Permit Holder - Individual Consent to Jurisdiction (PDF) (This step is not applicable if a signed CBOE Individual Consent to Jurisdiction form is on file with CBOE for the Responsible Person(s) and the Authorized Signatory on the application)
Clearing TPH Connectivity Guarantee (PDF)
Login Request Form
Stan Leimer, Director
Regina Millison, Manager