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Floor Position Transfer Form Overview & Instructions NYSE American Rule 997.1NY(d) and NYSE Area Rule 6.78AO(d) require that an American Trading Permit Holder (ATP Holder), Options Trading Permit

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How to fill out off-floor position transfer form

01

Obtain a copy of the off-floor position transfer form from the HR department.

02

Fill out the personal information section, including your name, employee ID, and contact information.

03

Indicate the current position you are transferring from and the new position you are transferring to.

04

Provide a brief explanation for the transfer request, outlining the reasons for the change.

05

Obtain signatures from both your current supervisor and the supervisor of the new position.

06

Submit the completed form to the HR department for processing.

Who needs off-floor position transfer form?

01

Employees who are transferring from one off-floor position to another within the same company.

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What is off-floor position transfer form?

Off-floor position transfer form is a document used to request the transfer of ownership or control of a position between parties where the transfer does not occur on the trading floor of an exchange.

Who is required to file off-floor position transfer form?

Any party involved in transferring ownership or control of a position off the trading floor of an exchange is required to file the off-floor position transfer form.

How to fill out off-floor position transfer form?

The off-floor position transfer form must be completed with details of the positions being transferred, the parties involved, and any supporting documentation required. The form should be submitted according to the instructions provided by the relevant exchange or regulatory authority.

What is the purpose of off-floor position transfer form?

The purpose of the off-floor position transfer form is to ensure transparency and regulatory compliance in the transfer of positions between parties outside of the trading floor of an exchange.

What information must be reported on off-floor position transfer form?

The off-floor position transfer form typically requires details of the positions being transferred, the parties involved, the reason for the transfer, and any supporting documentation as requested.

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