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Regulatory forms & agreements

Below you will find a number of forms commonly used by member firms for regulatory purposes. You can download, print, complete and return forms to the relevant Exchange departments.

Application to trade in a suspended security (file pdf - 88 KB)
When issued dealing application form (file doc - 491 KB)
Buying-In Request Manual Form (file xls - 60 KB)
Registration Information Form (file xls - 49 KB)

Global Lending Agreement (file pdf - 175 KB)
Admission and disclosure application - Form 1 (file doc - 304 KB)
Restricted Instrument List Request - (file doc - 57 KB)
Liquidity Provider Form(file xls - 131 KB)

Settlement Arrangement Declaration Forms

For use by applicant and member firms in order to confirm to the London Stock Exchange their settlement arrangements with third party providers. Firms should complete one or both depending on the settlement arrangements in place. Each declaration must be fully completed and signed by both the firm and its settlement provider.

Settlement Agent Declaration Form (file pdf - 22 KB)
Model B Settlement Agreement Declaration Form (file pdf - 23 KB)

AIM Secondary Market Registered Organisation applications

Parties interested in becoming an AIM Secondary Market Registered Organisation should contact Rules & Compliance Team on +44 (0)20 7797 2190 or STX 32190 to obtain an application pack.