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 Info. 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.