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Printer-Friendly Last Updated: 10/12/05 Regulatory Contacts

Please note that in following these links you will be leaving the FINRA Web Site.

Regulatory Agencies

Securities and Exchange Commission

U.S. Securities and Exchange Commission
100 F Street, NE
Washington, DC 20549
(202) 942-8088

U.S. Securities and Exchange Commission
Office of Investor Education and Assistance
(800) SEC-0330
(202) 551-6551

Commodity Futures Trading Commission
Three Lafayette Centre
1155 21st Street, NW
Washington, DC 20581
Phone: (202) 418-5000
Fax: (202) 418-5525

Other Regulatory Organizations

Investment Dealers Association of Canada
121 King Street West
Suite 1600
Toronto, Ontario (M5H 3T9) Canada
(416) 865-3038

Municipal Securities Rulemaking Board
1900 Duke Street
Suite 600
Alexandria, VA 22314-3412
(703) 797-6600

National Futures Association
200 West Madison, Suite 1400
Chicago, IL 60606
(800) 676-4NFA

North American Securities Administrators Association, Inc. (NASAA)
10 G Street, N.E., Suite 710
Washington, D.C. 20002

(202) 737-0900

FINRA
1735 K Street, NW
Washington, DC 20006-1500
(202) 728-8000

The Financial Services Authority
Individual Registration and Qualifications Department
25 The North Colonnade Canary Wharf
London E14 5HS United Kingdom
171-686-1000

Exchanges and Markets

American Stock Exchange
86 Trinity Place
New York, NY 10006-1872
(212) 306-1000

Boston Stock Exchange
100 Franklin Street
Boston, MA 02110
(617) 235-2000

Chicago Board Options Exchange
400 South LaSalle Street
Chicago, IL 60605
(312) 786-5600
Options Hotline - (800) OPTIONS

Chicago Stock Exchange
440 South LaSalle Street
Chicago, IL 60605
(312) 663-2980

Cincinnati Stock Exchange
400 South LaSalle Street
Chicago, IL 60605
(312) 786-8803

The NASDAQ Stock Market
One Liberty Plaza
165 Broadway
New York, NY 10006

New York Stock Exchange
11 Wall Street
New York, NY 10005
(212) 656-3000

NYSE Arca, Inc.
115 Sansome Street
San Francisco, CA 94104
(415) 393-4000

Philadelphia Stock Exchange
1900 Market Street
Philadelphia, PA 19103
(215) 496-5000
(800) THE-PHLX

Related Organizations 

SEC Historical Society
1001 Pennsylvania Ave., NW
Suite 810 South
Washington, DC, 20004-2505
Phone: (202) 585-6405
Fax: (202) 585-6404
E-mail: c.rosati@sechistorical.org