NYSE Arca Regulatory Forms

All forms are provided in an Adobe Acrobat (.pdf) format. You must have Adobe® Acrobat® Reader installed on your computer to view and download forms. The forms may be downloaded and submitted to your broker-dealer's Finance Coordinator. Original documents must also be forwarded to the following address: NYSE Arca, Inc., c/o FINRA.
Contact your Firm’s assigned Regulatory Coordinator for submission information.

Annual Compliance Acknowledgement Form
The Annual Compliance Acknowledgement Form must be completed and submitted annually with the December 31 FOCUS Report.

Financial Arrangement Disclosure Form
All DEA broker-dealers must disclose financial arrangements using the Financial Arrangement Disclosure Form.

Notice of Equity Withdrawal Form
All DEA broker-dealers must report qualified equity withdrawals using the Notice of Equity Withdrawal Form.

Notice of Material Change in Financial Condition Form
All DEA broker-dealers must report changes in capitalization greater than 5% of total assets using the Notice of Material Change in Financial Condition Form.

Notice Pursuant to SEC Rule 17a-5(f)(2) Form
All DEA broker-dealers must report the existence of an agreement between the broker-dealer and an independent public accountant and/or accounting firm using the Notice Pursuant to SEC Rule 17a-5(f)(2) Form.

Notification of Electronic Storage Media Form
DEA broker-dealers that employ electronic storage media to maintain and preserve records required by the Securities Exchange Act of 1934 Rules 17a-3 and 17a-4 must submit a Notification of Electronic Storage Media Form.

Outside Brokerage Securities Account ID Form
All DEA broker-dealers may use this form to disclose outside brokerage securities accounts for associated persons.

Transfer of Positions Form
Pursuant to NYSE Arca, Inc. Rule 6.78(d)(2), a broker-dealer who intends to transfer certain securities positions from one trading account to another account in a manner other than trading on the floor of a national securities exchange must obtain approval via the submission of Transfer of Positions Form.