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 )

 

Address11 Wall Street
New York, NY 10005
Telephone(212) 656-6000
Web Addresswww.amex.com
CRD ContactsJuan Vazquez: (212) 858-4250
Fax(212) 858-4265
Date Joined CRDApril 1988

 

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

 

Address100 S. Wacker Drive Suite 1800
Chicago, IL 60606
Telephone(312) 960-1696
Web Addresswww.nyse.com
CRD ContactsClient Registration Services
Telephone(888) 689-7739, option 3
Fax(312) 960-1369
Email Addresscrs@nyse.com
Date Joined CRDApril 1981

 

BATS Exchange (BATS)

 

Address8050 Marshall Drive Suite 120
Lenexa, KS 66214
Telephone(913) 815-7000
Web Addresswww.batstrading.com
CRD ContactsMembership Services
Telephone(913) 815-7002
Fax(913) 815-7119
Email Addressmembershipservices@batstrading.com
Date Joined CRDJune 2008

 

BOX Options Exchange (BOX)

 

Address101 Arch Street, Suite 610
Boston MA 02110
Telephone402-932-3203
Web Addresswww.boxexchange.com
CRD ContactsChristine Young
Email AddressCYoung@boxregulation.com
Date Joined CRDMay 2012

 

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

 

Address1900 Market Street
Philadelphia, PA 19103
Telephone(215) 496-5322
Web Addresswww.nasdaqomxtrader.com
CRD ContactsSusan Murray
Telephone(215) 496-5322
Fax(215) 496-5567
Email AddressSusan.Murray@nasdaqomx.com
Date Joined CRDJune 2008

 

C2 Options Exchange (C2)

 

Address400 South LaSalle Street
Chicago, IL 60605
Telephone(312) 786-5600
Web Addresswww.cboe.com
CRD ContactsRegina Millison
Telephone(312) 786-7452
Fax(312) 786-8140
Email AddressRegistration@cboe.com
Date Joined CRDJune 2011

 

Chicago Board Options Exchange (CBOE)

 

Address400 South LaSalle Street
Chicago, IL 60605
Telephone(312) 786-5600
Web Addresswww.cboe.com
CRD ContactsRegina Millison
Telephone(312) 786-7452
Fax(312) 786-8140
Email Addressregistration@cboe.com
Date Joined CRDApril 1981

 

Chicago Stock Exchange (CHX)

 

Address440 South LaSalle Street
Chicago, IL 60605
Telephone(312) 663-2980
Web Addresswww.chx.com
CRD ContactsEileen Daut
Telephone(312) 663-2581
Fax(312) 663-2023
Email Addressedaut@chx.com
Date Joined CRDApril 1981

 

EDGA Exchange (EDGA) and EDGX Exchange (EDGX)

 

Address545 Washington Boulevard, 6th Fl.
Jersey City, NJ 07310
Telephone(201) 942-8220
Web Addresswww.directedge.com
CRD ContactsMembership Services
Telephone(201) 942-8220 (Option 3)
Fax(201) 942-8251
Email Addressmemberservices@directedge.com
Date Joined CRDMarch 2011

 

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

 

Address1735 K Street, NW
Washington, DC 20006-1500
Telephone(202) 728-8000
Web Addresswww.finra.org
General Information(301) 590-6500
Email AddressFirm Gateway

 

International Securities Exchange (ISE)

 

Address60 Broad Street, 26th Floor
New York, NY 10004
Telephone(212) 943-2400
Web Addresswww.ise.com
Fax(212) 635-0210
Regulatory Services ContactsRonan Cahill
Telephone(212) 897-8152
Email AddressRCahill@ise.com
Date Joined CRD2008

 

National Futures Association (NFA)

 

Address300 S. Riverside Plaza
Suite 1800
Chicago, IL 60606
Telephone(800) 621-3570
Web Addresswww.nfa.futures.org
CRD ContactsInformation Center
Telephone(800) 621-3570
Fax(312) 781-1459
Email Addressinformation@nfa.futures.org

 

NASDAQ Stock Market (NQX)

 

AddressOne Liberty Plaza
165 Broadway
New York, NY 10006
Telephone(301) 590-6000
Web Addresswww.nasdaqomxtrader.com
CRD ContactsSusan Murray
Telephone(215) 496-5322
Fax(215) 496-5567
Email AddressSusan.Murray@nasdaqomx.com
Date Joined CRDAugust 2006

 

National Stock Exchange (NSX)

 

Address440 South LaSalle Street, Suite 2600
Chicago, IL 60605
Telephone(312) 786-8803
Web Addresswww.nsx.com
CRD ContactsSusan Ameel
Telephone(201) 499-0164
Fax(201) 209-1727
Email Addresssusan.ameel@nsx.com

 

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

 

Address1900 Market Street
Philadelphia, PA 19103
Telephone(215) 496-5000
Web Addresswww.nasdaqtrader.com
CRD ContactsSusan Murray
Telephone(215) 496-5322
Fax(215) 496-5567
Email AddressSusan.Murray@nasdaqomx.com
Date Joined CRDOctober 1993

 

Topaz Exchange (d/b/a ISE Gemini)

 

Address60 Broad Street, 26th Floor
New York, NY 10004
Telephone(212) 943-2400
Web Addresswww.isegemini.com
Fax(212) 635-0210
Regulatory Services ContactsRonan Cahill
Email AddressRCahill@ise.com
Date Joined CRD2013

 

Last Updated: 8/1/2013