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Broker Dealer Applications

Be duly registered with the SEC as a Broker-Dealer under Section 15 of the 1934 Exchange Act and, at all times remain a registered broker-dealer. DBOT ATS will confirm this registration through the Financial Industry Regulatory Authority (“FINRA”) Broker Check facility.

Be a member of FINRA and/or applicable SRO and at all times utilize and will remain a member of FINRA and/or an applicable SRO. DBOT ATS will confirm this registration through FINRA or applicable authority.

Satisfy technical and systems requirements prescribed by DBOT ATS to include, but not limited to: connectivity certification, the ability to send and cancel orders, execute trades, view information, receive rejects and trade breaks. DBOT ATS will confirm this through testing with the subscriber

Have adequate clearing and settlement systems and/or arrangements in place to support participation on the ATS. DBOT ATS will confirm this with the subscriber’s clearing broker or any other registered clearing agency, as applicable.

Satisfactory completion and execution, of the DBOT Subscriber’s Application, which requests the following:

Provide contact information for: key business, trading, operational, compliance, billing, technology, clearing and authorized personnel using the system

Connectivity

Subscribers of the ATS and/or Service Bureaus on behalf of a Subscriber are permitted to electronically, send orders to buy and sell securities on DBOT ATS, through the use of one or more application protocol interfaces (“API”). The DBOT ATS does not accept orders via telephone, email or instant message.

The ATS has designed its system to allow Subscribers to individually determine the best method for accessing the ATS. Subscribers may utilize the DBOT Web Trading Portal, they may develop their own customized front-end software (Order Management or Execution Systems), or may use third party vendors to route orders to the ATS via front-end or Service Bureau configuration. Subscribers and Service Bureaus will be able to access the ATS remotely through the Financial Information Exchange (“FIX”) connectivity, which supports a minimum data exchange rate, as determined by the ATS.

Direct access to the DBOT ATS is available to Subscribers at an Internet Protocol (“IP”) address via communications that are compliant with the FIX API provided by the ATS. Specifically, the ATS supports FIX 4.2 standard for Subscribers communication with the system.

Forms Access

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