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Non-member / Clerk Registration
All trading floor personnel, including clerks,
interns, stock execution clerks and any other associated
persons, of member or participant organizations not required
to register pursuant to Rule 620(a), (Trading Floor Member
Registration) must register as such with the Exchange by
completing the appropriate form(s) for non-registered persons
(with periodic updates submitted by the member or participant
organization, as determined by the Exchange). Further, the
Exchange may require successful completion of an examination,
in addition to requirements imposed by other Exchange rules.
The Exchange may also require periodic examinations due to
changes in trading rules, products or automated systems.
Following the termination of, or the initiation of a change
in the status of any such personnel of a member/participant
organization who has been issued an Exchange access card
and a trading floor badge, the appropriate Exchange form
must be completed, approved and dated by a member or participant
organization principal, officer, or member of the member
or participant organization with authority to do so, and
submitted to Membership Services as soon as possible, but
no later than 9:30 A.M. the next business day.
In the event of a termination, every effort should be made
to obtain the person's access card and trading floor badge
and to submit these to Membership Services.
Non-Member, On-Floor Personnel Application for Registration -
All new employees must complete this form in its entirety.
It must be signed and dated by the employee and an authorized
signer for the firm and delivered to Membership Services.
Building access and floor badges will not be issued unless
this form is filed.
Non-Member, On-Floor Personnel Information Change
Notification - If there is a change to the information
that appeared on the original application, this form should
be completed
by the employee. Only those fields that changed are to
be completed and the employee must sign the form and deliver
it to Membership Services.
Non-Member, On-Floor Personnel Firm Transfer Notification – In
the event that an employee transfers from one firm to another
this form must be completed and signed by the employee and
both member firms and delivered it to Membership Services.
Non-Member, On-Floor Personnel Termination Notification -
This form must be completed and submitted to terminate
an employee’s association with a member organization.
This form and the person's access card and trading floor
badge must be delivered to Membership Services.
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