Uniform Application For Securities Industry Registration Or Transfer Page 3
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8OF Officer
CO Compliance Official (S14)
CF Compliance Official Specialist (S14A)
PM Floor Member Conducting Public Business
REGISTRATION CATEGORY
PC Floor Clerk Conducting Public Business
SC Specialist Clerk (S21)
TA Trading Assistant (S25)
FP Municipal Fund (S51)
IF InFirm Delivery Proctor
MM Market Maker Authorized TraderOptions (S56)
FB Floor Broker (S56)
MB Market Maker acting as Floor Broker
OT Authorized Trader (S7)
MT Market Maker Authorized TraderEquities (S7)
REGISTRATION CATEGORY
IB Investment Banking Representative (S79)
OS Operations Professional (S99)
AF Floor Broker Options (S56)
AO Market Maker Options (S56)
AC Floor Clerk Options
CT Proprietary Trader Compliance Officer (S14)
PT Proprietary Trader (S56)
TP Proprietary Trader Principal (S24)
Other ________________ (Paper Form Only)
5. JURISDICTION REGISTRATION
Check appropriate jurisdiction(s) for brokerdealer agent (AG) and/or investment adviser representative (RA) registration requests.
JURISDICTION
AG
RA
JURISDICTION
AG
RA
JURISDICTION
AG
RA
JURISDICTION
AG
RA
Alabama
Illinois
Montana
Puerto Rico
Alaska
Indiana
Nebraska
Rhode Island
Arizona
Iowa
Nevada
South Carolina
Arkansas
Kansas
New Hampshire
South Dakota
California
Kentucky
New Jersey
Tennessee
Colorado
Louisiana
New Mexico
Texas
Connecticut
Maine
New York
Utah
Delaware
Maryland
North Carolina
Vermont
District of Columbia
Massachusetts
North Dakota
Virgin Islands
Florida
Michigan
Ohio
Virginia
Georgia
Minnesota
Oklahoma
Washington
Hawaii
Mississippi
Oregon
West Virginia
Idaho
Missouri
Pennsylvania
Wisconsin
Wyoming
AGENT OF THE ISSUER REGISTRATION (AI) Indicate 2 letter jurisdiction code(s):__________
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Parent category: Financial