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.nasdaqomxtrader.com |
| CRD Contacts | Susan Murray |
| Telephone | (215) 496-5322 |
| Fax | (215) 496-5567 |
| Email Address | Susan.Murray@nasdaqomx.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.nasdaqomxtrader.com |
| CRD Contacts | Susan Murray |
| Telephone | (215) 496-5322 |
| Fax | (215) 496-5567 |
| Email Address | Susan.Murray@nasdaqomx.com |
| Date Joined CRD | August 2006 |
National Stock Exchange (NSX)
| Address | 440 South LaSalle Street, Suite 2600 Chicago, IL 60605 |
| Telephone | (312) 786-8803 |
| Web Address | www.nsx.com |
| CRD Contacts | Susan Ameel |
| Telephone | (201) 499-0164 |
| Fax | (201) 209-1727 |
| Email Address | susan.ameel@nsx.com |
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@nasdaqomx.com |
| Date Joined CRD | October 1993 |