Nasdaq Broker-Dealer Membership Application
This file is a Nasdaq Broker-Dealer Membership Application for organizations seeking membership to Nasdaq affiliated exchanges. It provides all necessary fields and detailed information needed to apply. The document includes sections about applicant profile, intended activities, and compliance information.
Edit, Download, and Sign the Nasdaq Broker-Dealer Membership Application
Form
eSign
Add Annotation
Share Form
How do I fill this out?
To complete the Nasdaq Broker-Dealer Membership Application, please read each section carefully and provide all requested information. Ensure that all required fields are filled in accurately to avoid processing delays. Refer to the supplemental material sections for any supporting documents that need to be attached.
How to fill out the Nasdaq Broker-Dealer Membership Application?
1
Read the entire application to understand the requirements.
2
Fill out the Applicant Profile section with your organization's details.
3
Indicate the nature of your intended activity and provide necessary supervision details.
4
Include all required clearing and compliance information.
5
Attach any supplemental material as outlined in the application.
Who needs the Nasdaq Broker-Dealer Membership Application?
1
Organizations seeking membership to a Nasdaq affiliated exchange need this application to apply.
2
Current members of one Nasdaq exchange looking to join additional Nasdaq exchanges require this form.
3
Firms wishing to update their membership information or business activities use this application.
4
FINRA members eligible to waive-in on Nasdaq exchanges need to submit this document.
5
Entities designating a new executive representative or compliance officer must complete this application.
How PrintFriendly Works
At PrintFriendly.com, you can edit, sign, share, and download the Nasdaq Broker-Dealer Membership Application along with hundreds of thousands of other documents. Our platform helps you seamlessly edit PDFs and other documents online. You can edit our large library of pre-existing files and upload your own documents. Managing PDFs has never been easier.
Edit your Nasdaq Broker-Dealer Membership Application online.
On PrintFriendly, you can edit this PDF by utilizing our robust PDF editor. Simply upload the document and make necessary changes directly within the editor. Save and download your updated file once completed.
Add your legally-binding signature.
You can sign the PDF on PrintFriendly by using our integrated signing feature. Upload the document, apply your signature in the designated areas, and save the signed version. Download the signed PDF for your records.
Share your form instantly.
With PrintFriendly, sharing PDFs is straightforward. Upload your document, make any necessary edits, and use our sharing tools to send the file via email or generate a shareable link. Easily distribute your PDF to colleagues or clients.
How do I edit the Nasdaq Broker-Dealer Membership Application online?
On PrintFriendly, you can edit this PDF by utilizing our robust PDF editor. Simply upload the document and make necessary changes directly within the editor. Save and download your updated file once completed.
1
Upload the Nasdaq Broker-Dealer Membership Application to PrintFriendly.
2
Open the PDF in our editor and fill out all required sections.
3
Make any necessary edits to the document for accuracy.
4
Attach any supplemental materials directly within the editor.
5
Save and download the updated version of the application.
What are the instructions for submitting this form?
Submit the completed Nasdaq Broker-Dealer Membership Application along with any required supplemental materials as outlined in the application. Email the completed form to membership@nasdaq.com or fax it to 202-496-2020. Alternatively, submit the application online through the Nasdaq membership portal or mail it to Nasdaq Membership Services, 805 King Farm Blvd, Rockville, MD 20850. Ensure that you include all required documents and information to avoid delays in processing.
What are the important dates for this form in 2024 and 2025?
The Nasdaq Exchange Broker Dealer Membership Application should be submitted by April 2024.
What is the purpose of this form?
The primary purpose of the Nasdaq Broker-Dealer Membership Application is to facilitate the process for organizations seeking membership to Nasdaq affiliated exchanges. This form gathers essential information about the applicant organization, including its legal name, address, business activities, and compliance officers. By providing this information, Nasdaq can ensure that all members meet regulatory requirements and maintain high standards of conduct.
Tell me about this form and its components and fields line-by-line.
- 1. Applicant Profile: Collects basic information about the applicant organization such as legal name, address, and contact details.
- 2. Application Type: Identifies whether the application is for initial membership, amendment, or waive-in membership.
- 3. Nature of Intended Activity: Specifies the types of activities the applicant intends to pursue, including equity, options, and floor participation.
- 4. Supervision: Requires the name and CRD number of the person responsible for overseeing trading activities.
- 5. Clearing Information: Gathers details about the applicant's clearing arrangements, including account numbers and clearing agents.
- 6. Executive Representative Designation: Designates the individual authorized to exercise voting and designation rights on behalf of the member.
- 7. Compliance Officer: Provides the name and contact details of the person responsible for compliance within the organization.
- 8. Billing Information: Designates the billing contact for receiving monthly invoices via email.
- 9. Emergency Management: Identifies primary and secondary contacts for emergency situations outside of normal business hours.
- 10. Statutory Disqualification Disclosure: Discloses whether any person associated with the applicant organization is subject to statutory disqualification.
What happens if I fail to submit this form?
Failure to submit the Nasdaq Broker-Dealer Membership Application can result in delays in obtaining membership approval or processing updates to existing memberships.
- Delayed Membership Approval: Submitting the application late may postpone the approval process.
- Incomplete Membership Records: Not submitting the required information can leave gaps in the organization's membership records.
How do I know when to use this form?
- 1. Initial Membership Application: Use this form to apply for membership to a Nasdaq exchange for the first time.
- 2. Amendment: Submit this form to update or amend existing membership information and business activities.
- 3. Waive-In Membership: Use this form if you are a FINRA member eligible to waive-in on a Nasdaq exchange.
- 4. Executive Representative Designation: Complete this form to designate a new executive representative.
- 5. Compliance Officer Designation: Use this form to appoint a new compliance officer within your organization.
Frequently Asked Questions
How do I upload the file to PrintFriendly?
Click on the upload button on PrintFriendly.com and select the Nasdaq Broker-Dealer Membership Application file from your computer.
Can I edit text fields within the PDF on PrintFriendly?
Yes, you can edit text fields directly within the PDF using our PDF editor.
Is it possible to add annotations or comments to the PDF?
Yes, PrintFriendly allows you to add annotations and comments to your PDF document.
Can I save the changes I make to the PDF?
Yes, you can save the changes made to the PDF and download the updated file.
How do I add my signature to the PDF?
Use PrintFriendly's signing feature to add your signature to designated areas within the PDF.
Is it possible to share the PDF after editing?
Yes, you can share the PDF via email or generate a shareable link to distribute it.
Do I need an account to edit PDFs on PrintFriendly?
No, you can edit PDFs on PrintFriendly without needing an account.
Can I attach supporting documents within the PDF editor?
Yes, you can attach supplemental materials directly within the PDF editor on PrintFriendly.
Is PrintFriendly's PDF editor accessible on mobile devices?
Yes, PrintFriendly's PDF editor is accessible and fully functional on mobile devices.
How can I ensure that my PDF edits are saved correctly?
After making your edits, click the save button and download the updated PDF to ensure all changes are saved.
Related Documents - Nasdaq Broker-Dealer App
Residential Lease Agreement Checklist for Tenants and Landlords
This document provides a detailed checklist of what both tenants and landlords need to know and include in a residential lease agreement. It covers key elements such as lease terms, rent payment schedules, and maintenance responsibilities. Use this guide to ensure all rights and obligations are clearly outlined in your lease agreement.
Residential Lease or Month-to-Month Rental Agreement
This file contains a comprehensive residential lease or month-to-month rental agreement used in California. It provides details on terms, obligations, and conditions for both landlords and tenants. Perfect for those seeking a standardized rental agreement form.
Civil Court of the City of New York Nonpayment Petition
This document is a Notice of Nonpayment Petition issued by the Civil Court of the City of New York. It details the actions that a landlord can take against a tenant for nonpayment of rent. It includes instructions on how the tenant can respond and their rights.
Form 1099-MISC: Miscellaneous Income for 2013
This file is a 2013 version of the IRS Form 1099-MISC used to report miscellaneous income. It includes fields for reporting various types of payments made to individuals or entities. The form is typically filed by payers to report income paid to recipients.
Instructions for Form 706 (Rev. September 2023)
This document provides detailed instructions for completing Form 706, the United States Estate (and Generation-Skipping Transfer) Tax Return for decedents dying after December 31, 2022. It includes information on revisions, general instructions, and specific filing requirements. The instructions also cover important updates and reminders related to the form.
PhilHealth Report of Employee-Members Form Instructions
This file provides instructions for employers on how to fill out and submit the PhilHealth Report of Employee-Members form. It is essential for employers to report new hires to PhilHealth to ensure proper coverage. Detailed instructions and requirements are included.
Copyright Registration Form TX Instructions
This form is used for the registration of nondramatic literary works, such as fiction, nonfiction, poetry, textbooks, and computer programs. It provides detailed information on how to complete the form, including what information is required for each section and how to submit the application. Use it to ensure your work is properly registered for copyright protection.
Plaintiff's Claim and Instructions for Small Claims Court
This file provides instructions and necessary forms for filing a Plaintiff's Claim in Small Claims Court. It includes details on filling out, submitting, and serving the forms. Ensure to follow the steps carefully to protect your rights.
Ohio Sales and Use Tax Contractor's Exemption Certificate
This document is the Ohio Sales and Use Tax Contractor's Exemption Certificate. Contractors use this form to claim exemptions on certain taxable goods for specified exempt uses. It's crucial for contractors working with tax-exempt entities or on tax-exempt projects.
Lease Agreement for University of Florida Premises
This lease agreement file outlines the terms and conditions for renting a property owned by the Landlord to the University of Florida Board of Trustees. It covers key aspects such as lease term, rent details, improvements, and permitted use. Ideal for landlords and tenants involved in leasing agreements.
Return of Private Foundation Form 990-PF 2023
Form 990-PF is a return for private foundations required by the IRS. It includes information on revenue, expenses, and other financial details. Avoid entering social security numbers on this form.
Application Form for Divorce Certificate - Andhra Pradesh State Wakf Board
This form is used to apply for a Divorce Certificate from the Andhra Pradesh State Wakf Board in Hyderabad. The form requires details of both bride and groom as per recorded information. It also includes fields for verification and office use only.
