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AP Form NYSE MKT LLC and New York Stock Exchange, LLC This Form is to be completed by Unnatural Persons seeking Approved Person status and for whom the required disclosure information is not available

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How to fill out ap form - nyse

How to fill out AP form - NYSE:

01

Obtain the AP form - NYSE from the official website of the New York Stock Exchange (NYSE) or from a licensed broker-dealer affiliated with NYSE.

02

Provide your personal information on the form, including your full name, address, contact details, and social security number.

03

Indicate your employment status and provide details of your current employer, including the company name, address, and contact information.

04

Specify whether you are applying as an individual or as a representative of a firm.

05

If applying as a representative of a firm, provide the firm's name, address, and contact details.

06

Declare any affiliations or associations you have with other broker-dealers or market participants.

07

Disclose any disciplinary actions, customer complaints, or legal judgments against you or your firm.

08

Provide information about your educational background and professional qualifications related to the securities industry.

09

Sign and date the AP form, acknowledging the accuracy and completeness of the information provided.

10

Submit the completed AP form - NYSE to the appropriate authority or your affiliated broker-dealer for further processing.

Who needs AP form - NYSE?

01

Individuals seeking to become Associated Persons (APs) of broker-dealers who are members of the New York Stock Exchange (NYSE) need to fill out AP form - NYSE.

02

Licensed brokers or professionals in the securities industry who want to become registered representatives or work in a capacity that requires affiliation with NYSE member firms will need to complete the AP form.

03

Individuals applying to work in roles such as traders, salespersons, compliance officers, or financial advisers associated with broker-dealers on the NYSE will require the AP form to demonstrate their qualifications and suitability for such positions.

Note: It is important to consult the official guidelines and requirements provided by the NYSE, as the process and specific details may vary.

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