Markets & Products | Resources
Forms and agreements | Rules and regulations
Regulatory forms and 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.
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Application to trade in a suspended security
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When issued dealing application form
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Buying-in request manual form
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Registration information form
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Persons Authorised to Amend Pre-Trade Risk Control Limits
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Form 1 - Application for admission of securities to trading (effective from 27 February 2023)
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Restricted instrument list request
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.
AIM Secondary Market Registered Organisation applications
Parties interested in becoming an AIM Secondary Market Registered Organisation should contact Capital Markets Compliance: securitiescm@lseg.com to obtain an application pack.
