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Get Print Form Nyse Amex Llc Specialist / Especialist Application Application For
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How to fill out the Print Form NYSE Amex LLC Specialist / ESpecialist Application APPLICATION FOR online
This guide provides clear instructions on filling out the Print Form NYSE Amex LLC Specialist / ESpecialist Application APPLICATION FOR. Designed for a broad audience, it ensures that users with little to no legal experience can easily navigate the application process.
Follow the steps to successfully complete your application.
- Click ‘Get Form’ button to obtain the form and open it in your editor.
- Fill in the General Information section with details such as the name of your Applicant ATP Firm, business address, contact name, and email address. Make sure to provide accurate and complete information.
- In the ATP Approval Status section, confirm that your organization is an approved Amex Trading Permit Holder and Market Maker with NYSE Amex Options. This is a crucial requirement for processing your application.
- Provide details in the Net Capital section, including the amount and sources of net capital. It can be helpful to submit your most recent Quarterly FOCUS report here to simplify this entry.
- Identify the number of issues your applicant intends to become registered as a Specialist or e-Specialist. This allows the Exchange to understand the scope of your application.
- Complete the Other Affiliations section by indicating if the Applicant is associated with any registered national securities exchange or association and provide the required details.
- Complete Section 4 on the responsibilities and obligations of Specialists/e-Specialists to ensure compliance with state and federal laws. Provide any necessary supporting documentation.
- Finish with Section 5 by acknowledging and agreeing to the responsibilities outlined in the application related to compliance, financial requirements, and operational procedures.
- Once all sections are filled out, review the entire application for accuracy. Then, save your changes, download, print, or share your completed application as required.
Complete your application online to expedite the process and ensure compliance with NYSE Amex requirements.
NYSE Listing Requirements Distribution Standards Rule 102.01A-BIPOs, Spin-offs, Carve-outsTransfer or QuotationShareholders400 round lot500 round lotPublicly held shares1.1 million1.1 millionMarket Value of Publicly Held Shares$40 million$100 millionMinimum Share Price$4.00$4.001 more row
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