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.

The Nasdaq Exchange Broker Dealer Membership Application should be submitted by April 2024.

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.

• 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.

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.

• 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.