Tech / Trade / Intel / List NASDAQOMX.COM /NASDAQ-FUTURES A completed Futures Participant Application Executed Nasdaq Futures, Inc. Services Agreement Executed Clearing Letter of Guarantee for each Contract that Applicant intends to submit Orders or Quotes for on the Exchange (Appendix A) Authorized Risk Officer Designation Form (Appendix B) Authorized Trader Designation Form (Appendix C) The appropriate Authorized Trader Consent Form for each Authorized Trader (Exhibits 1 and 2 of Appendix C) Summary of Applicant’s business plan A copy of Applicant’s Written Supervisory Procedures with respect to its futures business activities A copy of Applicant’s Pre-Trade Risk Controls A copy of Applicant’s business continuity plan A copy of Applicant’s Ant-Money Laundering policy Statement of financial condition as of a date not greater than 45 days from the date of application Written explanation detailing the events for any matter that caused a “Yes” answer in Section I of the Futures Participant Application A complete set of applicable formation documents: MEMBERSHIP / Nasdaq Futures, Inc. (NFX) Membership Checklist Ensure you are ready to trade on NFX by referencing the member checklist below. For questions, contact Nasdaq Futures Membership at +1 215 496 5322. Contacts © Copyright 2015. All rights reserved. Nasdaq and Nasdaq are registered trademarks of The Nasdaq Group, Inc. 0737-Q15 Nasdaq Membership Email: membership@nasdaq.com / Phone: +1 215 496 5322 Nasdaq Market Operations Email: nfxops@nasdaq.com / Phone: +1 800 846 0477 CONNECTIVITY & MARKET DATA / Complete the optional Futures Port Request Form Complete the optional Nasdaq Global Data Agreement Complete the optional Data Feed Request Form Corporations (Include the following) • Articles of Incorporation or Formation • By-Laws Partnerships (Include the following) • Partnership Agreement Limited Liability Companies (Include the following) • Operating Agreement • Articles of Organization or Certificate of Formation Market Overview And Technical Specifications 

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Membership Checklist - Nasdaq Futures, Inc. (NFX).pdf

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