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.

BATS Global Markets, Inc.

(BATS BYX Exchange, Inc. and BATS BZX Exchange, Inc. joined CRD 2008)

(BATS EDGA Exchange, Inc. and BATS EDGX Exchange Inc. joined CRD 2011)

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@bats.com
Date Joined CRD June 2008

BOX Options Exchange, LLC (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

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, Inc. (CHX)

Address 440 South LaSalle Street
Chicago, IL 60605
Telephone (312) 663-2980
Web Address www.chx.com
CRD Contacts Kevin Curtin
Telephone (312) 663-2252
Fax (312) 663-2023
Email Address kcurtin@chx.com
Date Joined CRD April 1981

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, LLC (ISE)

Address 60 Broad Street, 26th Floor
New York, NY 10004
Telephone (212) 943-2400
Web Address www.ise.com
Fax (212) 509-3955
Regulatory Services Contacts Ronan Cahill
Telephone (212) 897-8152
Email Address RCahill@ise.com
Date Joined CRD 2008

Investors Exchange, LLC (IEX)

Address 7 World Trade Center
NY, NY 10007
Telephone 646-343-2000
Web Address www.iextrading.com
CRD Contacts John Ramsay
Telephone 646-674-2366
Fax 646-674-2344
Email Address John.Ramsay@iextrading.com
Date Joined CRD June 2016

ISE Gemini, LLC (ISE-Gemini)
(Formerly known as Topaz Exchange)

Address 60 Broad Street, 26th Floor
New York, NY 10004
Telephone (212) 943-2400
Web Address www.isegemini.com
Fax (212) 509-3955
Regulatory Services Contacts Ronan Cahill
Email Address RCahill@ise.com
Date Joined CRD 2013

ISE Mercury, LLC (ISE-Mercury)

Address 60 Broad Street, 26th Floor
New York, NY 10004
Telephone (212) 943-2400
Web Address www.ise.com/options/ise-mercury/
Fax (212) 509-3955
Regulatory Services Contacts Ronan Cahill
Email Address RCahill@ise.com
Date Joined CRD 2016

Miami International Securities Exchange, LLC (MIAX)

Address 7 Roszel Road 5th Floor
Princeton, NJ 08540
Telephone 609-897-7300
Web Address www.miami-holdings.com
CRD Contacts John Cunningham
Telephone 609-897-1479
Fax 609-987-2210
Email Address membership@miaxoptions.com
Date Joined CRD December 2012

Nasdaq OMX BX, Inc. (BX)
(Formerly known as Boston Stock Exchange – BSE)

Address 1900 Market Street
Philadelphia, PA 19103
Telephone (215) 496-5322
Web Address www.nasdaqtrader.com
CRD Contacts Susan Murray
Telephone (215) 496-5322
Fax (215) 496-5567
Email Address Susan.Murray@nasdaq.com
Date Joined CRD June 2008

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@nasdaq.com
Date Joined CRD October 1993

NASDAQ Stock Market (NQX)

Address One Liberty Plaza
165 Broadway
New York, NY 10006
Telephone (301) 590-6000
Web Address www.nasdaqtrader.com
CRD Contacts Susan Murray
Telephone (215) 496-5322
Fax (215) 496-5567
Email Address Susan.Murray@nasdaq.com
Date Joined CRD August 2006

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

National Stock Exchange, Inc. (NSX)

Address 101 Hudson Street, Suite 1200
Jersey City, NJ 07302
Telephone (201) 499-3700
Web Address www.nsx.com
CRD Contacts James G. Buckley
Fax (201) 499-0727
Email Address regulation@nsx.com

New York Stock Exchange (NYSE)

Address 11 Wall Street 15th Floor
New York, NY 10005
Telephone (212) 656-6000
Web Address http://www.nyse.com
CRD Contacts Client Relationship Services
Telephone (212) 896-2830, option 5
Email Address crs@nyse.com
Date Joined CRD 1985

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

Address 353 N. Clark Street Suite 3200
Chicago, IL 60654
Telephone (212) 656-3000
Web Address www.nyse.com
CRD Contacts Client Relationship Services
Telephone (212) 896-2830, option 5
Fax (312) 960-1369
Email Address crs@nyse.com
Date Joined CRD April 1981

NYSE MKT, LLC (NYSE-MKT)
(Formerly known as AMEX/American Stock Exchange)

Address 11 Wall Street 15th Floor
New York, NY 10005
Telephone (212) 656-6000
Web Address http://www.nyse.com
CRD Contacts Client Relationship Services
Fax (212) 896-2830, option 5
Email Address crs@nyse.com
Date Joined CRD April 1988