SRO Directory

The following information is provided as a courtesy and is derived from information received from these other regulators. FINRA makes no representation regarding its accuracy and the information should not be relied upon for any regulatory purpose. For additional information, please visit the regulators’ websites.

 

NYSE MKT (AMEX)
(Formerly known as American Stock Exchange/NYSE Euronext )

 

Address 11 Wall Street
New York, NY 10005
Telephone (212) 656-6000
Web Address www.amex.com
CRD Contacts Juan Vazquez: (212) 858-4250
Fax (212) 858-4265
Date Joined CRD April 1988

 

NYSE Arca, Inc. (ARCA)
(Formerly known as Pacific Stock Exchange)

 

Address 100 S. Wacker Drive Suite 1800
Chicago, IL 60606
Telephone (312) 960-1696
Web Address www.nyse.com
CRD Contacts Client Registration Services
Telephone (888) 689-7739, option 3
Fax (312) 960-1369
Email Address crs@nyse.com
Date Joined CRD April 1981

 

BATS Exchange (BATS)

 

Address 8050 Marshall Drive Suite 120
Lenexa, KS 66214
Telephone (913) 815-7000
Web Address www.batstrading.com
CRD Contacts Membership Services
Telephone (913) 815-7002
Fax (913) 815-7119
Email Address membershipservices@batstrading.com
Date Joined CRD June 2008

 

BOX Options Exchange (BOX)

 

Address 101 Arch Street, Suite 610
Boston MA 02110
Telephone 402-932-3203
Web Address www.boxexchange.com
CRD Contacts Christine Young
Email Address CYoung@boxregulation.com
Date Joined CRD May 2012

 

Nasdaq OMX BX Group (BX)
(Formerly known as Boston Stock Exchange – BSE)

 

Address 1900 Market Street
Philadelphia, PA 19103
Telephone (215) 496-5322
Web Address www.nasdaqtrader.com
CRD Contacts Susan Murray
Telephone (215) 496-5322
Fax (215) 496-5567
Email Address Susan.Murray@nasdaq.com
Date Joined CRD June 2008

 

C2 Options Exchange (C2)

 

Address 400 South LaSalle Street
Chicago, IL 60605
Telephone (312) 786-5600
Web Address www.cboe.com
CRD Contacts Regina Millison
Telephone (312) 786-7452
Fax (312) 786-8140
Email Address Registration@cboe.com
Date Joined CRD June 2011

 

Chicago Board Options Exchange (CBOE)

 

Address 400 South LaSalle Street
Chicago, IL 60605
Telephone (312) 786-5600
Web Address www.cboe.com
CRD Contacts Regina Millison
Telephone (312) 786-7452
Fax (312) 786-8140
Email Address registration@cboe.com
Date Joined CRD April 1981

 

Chicago Stock Exchange (CHX)

 

Address 440 South LaSalle Street
Chicago, IL 60605
Telephone (312) 663-2980
Web Address www.chx.com
CRD Contacts Eileen Daut
Telephone (312) 663-2581
Fax (312) 663-2023
Email Address edaut@chx.com
Date Joined CRD April 1981

 

EDGA Exchange (EDGA) and EDGX Exchange (EDGX)

 

Address 545 Washington Boulevard, 6th Fl.
Jersey City, NJ 07310
Telephone (201) 942-8220
Web Address www.directedge.com
CRD Contacts Membership Services
Telephone (201) 942-8220 (Option 3)
Fax (201) 942-8251
Email Address memberservices@directedge.com
Date Joined CRD March 2011

 

FINRA (NASD consolidated with NYSE Member Regulation to form FINRA in 2007)

 

Address 1735 K Street, NW
Washington, DC 20006-1500
Telephone (202) 728-8000
Web Address www.finra.org
General Information (301) 590-6500
Email Address Firm Gateway

 

International Securities Exchange (ISE)

 

Address 60 Broad Street, 26th Floor
New York, NY 10004
Telephone (212) 943-2400
Web Address www.ise.com
Fax (212) 635-0210
Regulatory Services Contacts Ronan Cahill
Telephone (212) 897-8152
Email Address RCahill@ise.com
Date Joined CRD 2008

 

National Futures Association (NFA)

 

Address 300 S. Riverside Plaza
Suite 1800
Chicago, IL 60606
Telephone (800) 621-3570
Web Address www.nfa.futures.org
CRD Contacts Information Center
Telephone (800) 621-3570
Fax (312) 781-1459
Email Address information@nfa.futures.org

 

NASDAQ Stock Market (NQX)

 

Address One Liberty Plaza
165 Broadway
New York, NY 10006
Telephone (301) 590-6000
Web Address www.nasdaqtrader.com
CRD Contacts Susan Murray
Telephone (215) 496-5322
Fax (215) 496-5567
Email Address Susan.Murray@nasdaq.com
Date Joined CRD August 2006

 

NASDAQ OMX PHLX (PHLX)
(Formerly known as Philadelphia Stock Exchange)

 

Address 1900 Market Street
Philadelphia, PA 19103
Telephone (215) 496-5000
Web Address www.nasdaqtrader.com
CRD Contacts Susan Murray
Telephone (215) 496-5322
Fax (215) 496-5567
Email Address Susan.Murray@nasdaq.com
Date Joined CRD October 1993

 

Topaz Exchange (d/b/a ISE Gemini)

 

Address 60 Broad Street, 26th Floor
New York, NY 10004
Telephone (212) 943-2400
Web Address www.isegemini.com
Fax (212) 635-0210
Regulatory Services Contacts Ronan Cahill
Email Address RCahill@ise.com
Date Joined CRD 2013

 

Last Updated: 8/1/2013