Get Nasdaq Futures Participant Application 2016-2026

This guide provides clear, step-by-step instructions on how to complete the NASDAQ Futures Participant Application online. Whether you are new to the application process or just need a refresher, this comprehensive overview will assist you in filling out each section of the form accurately.

Follow the steps to complete your NASDAQ Futures Participant Application.

1. Use the ‘Get Form’ button to obtain the NASDAQ Futures Participant Application and open it for editing.
2. Begin by filling out the Applicant Information section. Provide the full legal name of the organization, main office address, and contact details including phone number and email address.
3. In the Qualification section, answer whether the Applicant is engaged in a futures business. Additionally, check if the Applicant is registered with the National Futures Association (NFA) and the Financial Industry Regulatory Authority (FINRA). Include the NFA registration number if applicable.
4. Specify if the Applicant is a Futures Commission Merchant (FCM) and provide the related CRD registration number if applicable.
5. Next, provide Clearing Futures Participant Information, including whether the Applicant is a direct member of the Options Clearing Corporation (OCC) and fill out Clearing Futures Participant details such as name, account number, and contact information.
6. In the Access section, indicate your preference for Direct Access or Indirect Access to the Exchange for authorized customers, ensuring you understand the definitions and requirements associated with each type of access.
7. Designate an Executive Representative for the Futures Participant, including their name, title, phone number, and email address.
8. Fill out the Compliance Contact details, providing a name, title, phone number, and email address.
9. List at least one Emergency Contact, including their name, title, phone number, and email address.
10. Complete the Disclosures section by answering questions related to any past regulatory issues. If you answer 'Yes' to any question, provide supporting documentation as required.
11. In the Fees, Fines, Dues and Penalties section, enter the contact details of the person responsible for these obligations.
12. Review the Signatures section, ensuring the appropriate representative signs, prints their name, includes the date, and states their title.
13. Gather and attach all necessary Supplemental Material as outlined in the application.
14. Finally, submit the application and all required materials via email to the indicated membership contact.

Complete your NASDAQ Futures Participant Application online today to ensure timely processing.