SRO Directory
NYSE Euronext (AMEX)
(Formerly known as American Stock Exchange)
| Address | 11 Wall Street New York, NY 10005 |
| Telephone | (212) 656-6000 |
| Web Address | www.amex.com |
| CRD Contacts | Edgar Russell: (646) 315-8672 Juan Vazquez: (646) 315-8670 |
| Fax | (646) 315-8677 |
| Date Joined CRD | 4/88 |
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 | 4/81 |
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 | 2008 |
Nasdaq OMX BX Group (BSE)
(Formerly known as Boston Stock Exchange)
| Address | 100 Franklin Street Boston, MA 02110 |
| Telephone | (617) 235-2000 |
| Fax | (617) 235-2200 |
| Web Address | www.bostonstock.com |
| CRD Contacts | Susan Murray |
| Telephone | (215) 496-5322 |
| Fax | (215) 496-6729 |
| Email Address | Susan.Murray@nasdaqomx.com |
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) 786-8140 |
| Fax | (312) 786-8140 |
| Email Address | members@cboe.com |
| Date Joined CRD | 4/81 |
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 | 4/81 |
FINRA
| 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 |
| Date Joined CRD | 1/39 |
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 |
National Futures Association (NFA)
| Address | 200 West Madison Suite 1400 Chicago, IL 60606 |
| Telephone | (800) 676-4632 |
| Web Address | www.nfa.futures.org |
| CRD Contacts | Information Center |
| Telephone | (800) 676-4632 |
| Fax | (312) 781-1459 |
| Email Address | inquiry@nfa.futures.org |
NASDAQ Stock Market (NQX)
| Address | One Liberty Plaza 165 Broadway New York, NY 10006 |
| Telephone | (301) 590-6000 |
| Web Address | www.nasdaq.com |
| CRD Contacts | Susan Murray |
| Telephone | (215) 496-5322 |
| Fax | (215) 496-6729 |
| Email Address | Susan.Murray@nasdaqomx.com |
| Date Joined CRD | 8/06 |
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 | Paul Smith |
| Telephone | (312) 786-7562 |
| Fax | (312) 939-7239 |
| Email Address | smithpa@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) 496-6729 |
| Email Address | Susan.Murray@nasdaqomx.com |
| Date Joined CRD | 10/93 |
