Steps to join CBSX for Non-CBOE TPHs:
- Complete the Non-CBOE Trading Permit Holder Application (below).
- Provide the CBOE Registration Services Department with a copy of your organization's Operating Agreement/Articles of Incorporation, State Certificate of Formation and most recent financial statements along with the Permit Holder Application.
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For every individual on the Organizations' Form BD, Schedule A, who 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
- 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 a Consent form, investigate and fingerprint all Responsible person(s) of the Organization.
- Provide CBOE Registration Services Department with a completed Clearing 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)
Permit Holder - Individual Consent to Jurisdiction (PDF)
Permit Holder - Organization Consent to Jurisdiction (PDF)
Clearing TPH Connectivity Guarantee (PDF)
Contacts:
Stan Leimer, Director
leimer@cboe.com
312-786-7299
Regina Millison, Manager
millison@cboe.com
312-786-7452