NASDAQ OMX PHLX Membership
Overview | Forms and Documents
Overview
A member is the holder of a Series A-1 Permit who is associated with a duly qualified and registered member organization and shall be entitled to all the rights, privileges and obligations of a member of the Exchange. Permits shall only be issued to a natural person who meets the eligibility and application requirements set forth in the By-Laws and rules of the Exchange. The member confers membership privileges upon the broker-dealer, partnership or corporation with which he or she is affiliated, by registering that entity with the NASDAQ OMX PHLX as a member organization. NASDAQ OMX PHLX members are not permitted to function as sole proprietors, they must be affiliated with and conduct their broker/dealer business as a partnership or corporation.
Forms and Documents
Membership application materials have been grouped in the categories listed below. Select the appropriate category and download materials in the Adobe Acrobat PDF file format by clicking the links.
Complete applications should be mailed or faxed to:
Membership Services
1900 Market Street
Philadelphia, PA 19103-3584
Fax: (215) 496-5399
New Organization Membership
- Organization Application and Instructions
- Organization Application Checklist
- Corporate Exhibits
- Form BD - Uniform Application for Broker Dealer Registration
New Individual Membership
Existing Members
- Cell Phone Registration
- Application for Remote New Specialist
- Status Change
- Application for New Specialist
