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Bats Global Markets, Inc. Nonmember Clearing Firm Information Document To be completed by the Nonmember Clearing Firm of Members of Bats BOX Exchange, Inc. (BOX), Bats BYX Exchange, Inc. (BYX), Bats

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How to fill out non-member clearing firm information

How to fill out non-member clearing firm information:

01

Gather all necessary documents and information: Before filling out the non-member clearing firm information form, make sure you have all the required documents and information handy. This may include the company's legal name, contact information, financial statements, and any other relevant details.

02

Review the instructions: Carefully read the instructions provided with the non-member clearing firm information form. These instructions will guide you through the process and provide specific details on what information should be included in each section.

03

Complete the form accurately: Fill out the form accurately and legibly, ensuring that all the required fields are properly filled. Double-check your entries to avoid any errors or mistakes that could delay the processing of your application.

04

Provide supporting documentation: In addition to the form, you may be required to submit supporting documentation, such as financial statements, bank references, or regulatory filings. Make sure to include these documents as instructed, ensuring they are current and accurate.

05

Submit the completed form: Once you have filled out the non-member clearing firm information form and gathered all the necessary supporting documentation, submit the completed application to the appropriate entity or organization. This may be a regulatory body, a financial institution, or any other entity that requires this information.

Who needs non-member clearing firm information?

Non-member clearing firm information is typically required by regulatory bodies, financial institutions, and other entities involved in the clearing and settlement of financial transactions. This information helps to ensure transparency, compliance, and risk management within the financial system.

Financial exchanges, broker-dealers, clearing organizations, and other market participants often require non-member clearing firm information to establish relationships, assess risks, and comply with regulatory obligations. By providing accurate and up-to-date information, non-member clearing firms can demonstrate their credibility and suitability for engaging in financial activities.

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