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.
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)
Stan Leimer, Director
Regina Millison, Manager