American Stock Exchange (ASE)

Address

86 Trinity Place
New York, NY 10006-1872

Telephone

(212) 306-1000

Web Address

http://www.amex.com

CRD Contacts

Lori Mahoney
Sonia Stewart

Telephone

Lori Mahoney: (212) 306-1428
Sonia Stewart: (212) 306-1413

Fax

(212) 306-1372

Email Address

Date Joined CRD

4/88

Boston Stock Exchange (BSE)

Address

100 Franklin Street
Boston, MA 02110

Telephone

(617) 235-2000

Fax

(617) 235-2200

Web Address

http://www.bostonstock.com

Executive Vice President of Regulation Services

Alden Adkins

CRD Contact

Kerri Dixon

Telephone

(617) 235-2318

Fax

(617) 235-2200

Email Address

Kerri.dixon@bostonstock.com

Date Joined CRD

Chicago Board Options Exchange (CBOE)

Address

400 South LaSalle Street
Chicago, IL 60605

Telephone

(312) 786-5600

Options Hotline - general information

1-800-OPTIONS

Web Address

http://www.cboe.com

Regulatory Services Contacts

Registration: Emily Schmitz (312) 786-7056
Compliance: Barry Szurgot (312) 786-7756

Fax

Emily Schmitz (312) 786-7288

Date Joined CRD

4/81

Chicago Stock Exchange (CHX)

Address

440 South LaSalle Street
Chicago, IL 60605

Telephone

(312) 663-2980

Web Address

http://www.chx.com

Senior Vice President and Chief Regulatory Officer

David C. Whitcomb, Jr.

CRD Contact

Eileen Daut

Telephone

(312) 663-2581

Fax

(312) 663-2782

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

http://www.finra.org/

General Information

(301) 590-6500

Email Address

Gateway Web

Date Joined CRD

1/39

The Financial Services Authority (FSA)

Address

Individual Registration & Qualifications Department
25 The North Colonnade Canary Wharf
London E15 5HS United Kingdom

Telephone

011 44 171 676 1000

Fax

011 44 171 676 1099

Web Address

http://www.fsa.gov.uk

Chief Executive

Richard Farrant

CRD Contact

Pam Brown or Pam Chambers

Telephone

011 44 171 378 5507

Fax

011 44 171 403 6864

Email Address

Date Joined CRD

International Securities Exchange (ISE)

Address

60 Broad Street, 26th Floor
New York, NY 10004

Telephone

(212) 943-2400

Web Address

http://www.iseoptions.com

Fax

(212) 635-0210

Email Address

regulation@iseoptions.com

Regulatory Services Contacts

Ronan Cahill (212) 897-8152

NASDAQ Stock Market (NQX)

Address

One Liberty Plaza
165 Broadway
New York, NY 10006

Telephone

(301) 590-6000

Web Address

http://www.nasdaq.com/

CRD Contacts

David Parina

Telephone

(301) 978-8428

Fax

(301) 978-4900

Email Address

david.parina@nasdaq.com

Date Joined CRD

8/06

National Futures Association (NFA)

Address

200 West Madison
Suite 1400
Chicago, IL 60606

Telephone

(800) 676-4632

Web Address

http://www.nfa.futures.org

President

Robert Wilmouth

CRD Contact

Information Center

Telephone

(800) 676-4632

Fax

(312) 781-1459

Email Address

inquiry@nfa.futures.org

Date Joined CRD

National Stock Exchange (NSX)

Address

440 South LaSalle Street, Suite 2600
Chicago, IL  60605

Telephone

(312) 786-8803

Web Address

http://www.nsx.com

Chief Regulatory Officer

James Yong

CRD Contact

Paul Smith

Telephone

(312) 786-7562

Fax

(312) 939-7239

Email Address

smithpa@nsx.com

Date Joined CRD

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

http://www.nyse.com

CRD Contact

Client Registration Services

Telephone

(888) 689-7739, option 3

Fax

(312) 960-1369

Email Address

crs@nyse.com

Date Joined CRD

4/81

Philadelphia Stock Exchange (PHLX)

Address

1900 Market Street
Philadelphia, PA 19103

Telephone

(215) 496-5000

Web Address

http://www.phlx.com

Executive Vice President & Chief Regulatory Officer

Charlie Rodgers

CRD Contact

Robert Kreszswick

Telephone

(215) 496-5109

Fax

(215) 496-5567

Email Address

Date Joined CRD

10/93

Agent Registration Fee

$55