Abbreviations and Acronyms

Amex or ASE

American Stock Exchange 

BDW

Broker-Dealer Withdrawal 

BSE

Boston Stock Exchange 

CBOE

Chicago Board Options Exchange 

CMA

Continued Membership Application 

CRD

Central Registration Depository 

CROP

Compliance Registered Options Principal 

CHX

Chicago Stock Exchange 

DRP

Disclosure Reporting Page 

FAQS

Firm Access Query System 

MI

Membership Interview 

MSRB

Municipal Securities Rulemaking Board 

NASAA

North American Securities Administrators Association 

NMA

New Membership Application 

NYSE

New York Stock Exchange 

OSJ

Office of Supervisory Jurisdiction 

PHLX

Philadelphia Stock Exchange 

PME

Pre-Membership Examination 

PCX

Pacific Exchange 

SEC

Securities and Exchange Commission 

SIA

Securities Industry Association 

SIC

Securities Information Center
(for Lost and Stolen Securities) 

SIPC

Securities Investor Protection Corporation 

SRO

Self-Regulatory Organization 

SROP

Senior Registered Options Principal