1 A. Applicant Information Full legal name of NFX Futures Applicant (“Applicant”) ( must be an organization ): Main office address: Contact (for questions concerning this application): Email address: Phone: B. Qualifications Is Applicant actively engaged in a futures business? __ No __ Yes Is Applicant registered with NFA? __ No __ Yes NFA registration # __________________ (NOTE: Applicants handling US customer business are required to be registered with NFA as a Futures Commission Merchant (“FCM”)). Is Applicant registered with FINRA? __ No __ Yes CRD registration # __________________ Select the exchange(s) for which Applicant has been granted membership or at which Applicant is currently pending membership:  CBOT – Chicago Board of Trade  CEI – Commodity Exchange, Inc.  CFE – CBOE Futures Exchange LLC  CME – Chicago Mercantile Exchange  ICE – ICE Futures US Inc.  KCBT – Kansas City Board of Trade  MGE – Minneapolis Grain Exchange  NYME – New York Mercantile Exchange Provide name of Applicant’s Designated Self-Regulatory Organization (“DSRO”): ____________________________________ C. Clearing Information Is Applicant a direct member of The Options Clearing Corporation (“OCC”)? __ Yes Provide OCC clearing account number(s): __ No, Provide clearing information below. Please also complete the clearing guarantee attached as Appendix A . Clearing Member organization: OCC clearing account numbers: Clearing contact: Phone: Email address: Please note that NFX requires all Futures Participants to provide an account number with OCC for purposes of direct debit pursuant to Exchange Rules. Please provide the OCC account number which can be utilized for purposes of direct debit: OCC direct debit account number: __________________ 

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Nasdaq NFX application.pdf

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