BROKER APPLICATION REQUIREMENTS
In order to be licensed as a broker on the Trinidad and Tobago Stock Exchange (TTSE), an applicant must meet the requirements stipulated in TTSE Rule 100. The Stockbroker licence is valid for a period of three (3) years or until the applicant’s employment at the Member Firm is terminated. The broker’s license may be renewed pursuant to the submission of a renewal application to the TTSE before the expiry of the three-year period. The annual licence fee is TT $3,000.00 and is payable on January 1st of each year. Note that the full annual fee is applicable before June 30th and is prorated on a monthly basis after June 30th.
In order to obtain a license, the following is required:
- The proposed applicant may be required to sit and pass the “Broker-Trader Examination”; and
- Submit an application in the prescribed form to the TTSE.
Application Requirements
- 1. Cover letter which shall include a confirmation from the Broker/Dealer Firm that the applicant:
- a. is a full-time employee of the firm;
- b. has been employed for at least six (6) months; and
- c. has received internal training on the Exchange’s electronic trading system
- 2. If the Certificate of Character is pending, a certified copy of the receipt requesting same and Statutory Declaration signed by the applicant will be accepted in the interim.
- 3. Schedule 8 to be completed by the applicant.
- 4. Appendix IV – Form of application for Licensing as a Stockbroker to be completed by the applicant
- 5. Proof of payment of licence fee.
- 6. Evidence of registration as a Brokering Representative with Trinidad and Tobago Securities and Exchange Commission.
- 7. Certified copy of a valid government issued photo identification.
- 8. Applicant's resume
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