How to Become a Trading InstitutionThe process of becoming a Trading Institution on the NASD OTC Securities Exchange is easy and straightforward.
Trading Institutions are required to forward duly completed Form 1a – Registering a Trading Institution and 1b - Registration an Authorized Trader and the necessary fees needed for the registration from the list NASD Registration Fees.
There are three categories of Trading Institutions on the platform
|Category||Trade on behalf of Clients||Trade on behalf of itself|
Other relevant documentation includes:
• Trading Rules:
• Securities Admission:
Other relevant documents can be found here