Steps to join CBSX for Non-CBOE TPHs:
- Complete the Non-CBOE Trading Permit Holder (TPH) Application (below).
- Provide the CBOE Registration Services Department with a signed copy of your organization's Operating Agreement/Articles of Incorporation, Registration Certificate of Incorporation, Limited Partnership or Formation and most recent financial statements or Focus Report.
For every person on Form BD, Schedule A, that is either a control person, has a 5% or more interest in the Organization, or is an executive officer:
- 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)
- Fingerprint the Individual or obtain evidence (available on CRD) of cleared prints taken within the last 12 months
- Obtain an Organization Consent to Jurisdiction for an entity listed as either a Control person or having a 5% or more interest in the Organization
- Obtain an Individual Consent to Jurisdiction form, investigate and fingerprint all Responsible Person(s) of the Organization.
- Provide CBOE Registration Services Department with a completed Clearing TPH Connectivity Guarantee (below).
- The application fee is $5,000.
- CBOE recently filed with the SEC a rule filing regarding licensing requirements. Click here for the link.
Permit Holder Application Non-CBOE TPH Organization (PDF)
Permit Holder Application Non-CBOE TPH Sole Proprietor (PDF)
Application to Qualify to Transact Business with the Public (PDF)
Permit Holder - Individual Consent to Jurisdiction (PDF)
Permit Holder - Organization Consent to Jurisdiction (PDF)
Clearing TPH Connectivity Guarantee (PDF)
Login Request Form
Stan Leimer, Director
Regina Millison, Manager