AmexTrader - Membership - Forms & Applications

For information on becoming a member of the American Stock Exchange, contact Sonia Stewart, Assistant Director, Membership and Registration, at 212-306-1413 or sonia.stewart@amex.com.

Membership application materials have been grouped in the categories listed below. Select the appropriate category and download materials in Adobe Acrobat PDF, Microsoft Word or Excel file formats.

Complete applications should be mailed or faxed to:

American Stock Exchange
Membership and Registration
86 Trinity Place, 12th Floor
New York, NY 10006
Fax: 212-306-1372


Application processing fee	$2,000
Initiation fee	$2,500 for a purchased seat or $1,500 for a leased seat/nominal transfer
Gratuity Fund assessment	$112
Fingerprinting fee (member)	$45.00
Fingerprinting fee (non-broker/dealer)	$25.50

Organizations Applying for Membership: Member Organization Application; Membership Owner Application; Approved Person Application; Allied Member Application; Acknowledgement of Gratuity Fund Non-eligibility - Organization; Approved Person Organization Application; Application for Associate Membership; Application for Assignment as a Supplemental Registered Options Trader (SROT); Clearing Services; Application for Designation as an RROT; Notice of RROT Transfer; RROT Option Selection Form

Prospective Members: Membership Application Requirements; Uniform Application for Securities Industry Registration or Transfer (Form U-4); Membership Application Individual; Sponsor's Statement; Model Special Transfer Agreement (Lease); Seminar & Exam Schedule

Current Member Transfers: Model Special Transfer Agreement (Lease); Membership Application Individual; Change of Trading Status Application Individual

Other Membership Transfers: Membership Transfer of a Deceased Member; Lease Renewal Agreement; Lease Termination Agreement; Gratuity Fund Participation Worksheet; Gratuity Fund Designation; Nominee Authorization and Agreement; Nominee Authorization and Agreement Cancellation; Rule 342; Transfer Agreement Executors or Trustees

Bidding Paperwork: Membership Owner Application; Authorization to Purchase; Transfer Agreement; Acknowledgement of Gratuity Fund Non-eligibility - Individual; Deposit - Membership Purchase; Personal Financial Statement; Oral Authorization Form

Offering Paperwork: Transfer Agreement; Authorization to Sell; Authorization to Distribute Proceeds; Oral Authorization Form; Questions to be asked Transferor

Connectivity: Application for Proprietary Systems on the Amex Trading Floor; Colocation Application; Connectivity Guide; Customer Testing Environment Connectivity Provisioning Form; Amex Production Connectivity Provisioning Form; Electronic Communications Application