Trading Permits

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Non-CBOE TPHs

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.
  1. 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:
    1. Obtain an Individual Consent to Jurisdiction
    2. Investigate the Individual by submitting a completed Form U-4 (sections 1, 8, 9, 10, 11, 12, 14 and 15a)
    3. Fingerprint the Individual or obtain evidence (available on CRD) of cleared prints taken within the last 12 months
  2. 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
  3. 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



Contacts:

Stan Leimer, Director
leimer@cboe.com
312-786-7299

Regina Millison, Manager
millison@cboe.com
312-786-7452

Registration Specialist
registration@cboe.com
312-786-7449