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 Contact Membership Services
Telephone (913) 815-7002
Fax (913) 815-7119
Email Address membershipservices@bats.com

BOX Options Exchange, LLC (BOX)

Address 101 Arch Street, Suite 610
Boston MA 02110
Telephone 402-932-3203
Web Address www.boxexchange.com
CRD Contact Christine Young
Email Address CYoung@boxregulation.com
Date Joined CRD May 2012

Chicago Board Options Exchange (CBOE) - Joined CRD April 1981

C2 Options Exchange (C2) - Joined CRD June 2011

Address 400 South LaSalle Street
Chicago, IL 60605
Telephone (312) 786-5600
Web Address www.cboe.com
CRD Contact Regina Millison
Telephone (312) 786-7452
Fax (312) 786-8140
Email Address registration@cboe.com

Chicago Stock Exchange, Inc. (CHX)

Address 440 South LaSalle Street
Chicago, IL 60605
Telephone (312) 663-2980
Web Address www.chx.com
CRD Contact 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) – Joined CRD 2008
ISE Gemini, LLC (ISE-Gemini) Formerly Topaz Exchange - Joined CRD 2013
ISE Mercury, LLC (ISE-Mercury) - Joined CRD 2016

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

Investors Exchange, LLC (IEX)

Address 7 World Trade Center
NY, NY 10007
Telephone 646-343-2000
Web Address www.iextrading.com
CRD Contact Claudia Crowley
Telephone 646-343-2041
Email Address claudia.crowley@iextrading.com
Date Joined CRD June 2016

Miami International Holdings, Inc.
Miami International Securities Exchange, LLC (MIAX Options)

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

NASDAQ 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 Contact 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) - Joined CRD August 2006
NASDAQ BX, Inc. (BX) Formerly known as Boston Stock Exchange (BSE) Joined CRD June 2008

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

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 Contact Information Center
Telephone (800) 621-3570
Fax (312) 781-1459
Email Address information@nfa.futures.org

National Stock Exchange, Inc. (NSX) Formerly known as Cincinnati Stock Exchange (CSE)

Address 101 Hudson Street, Suite 1200
Jersey City, NJ 07302
Telephone (201) 499-3700
Web Address www.nsx.com
CRD Contact James G. Buckley
Fax (201) 499-0727
Email Address regulation@nsx.com
Date Joined CRD 1977

New York Stock Exchange (NYSE) - Joined CRD 1985
NYSE MKT, LLC (NYSE-MKT) Formerly known as American Stock Exhange/AMEX - Joined CRD April 1988

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

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

Address 353 N. Clark Street Suite 3100
Chicago, IL 60654
Telephone (212) 656-3000
Web Address www.nyse.com
CRD Contact Client Relationship Services
Telephone (212) 896-2830, option 5
Email Address crs@nyse.com
Date Joined CRD April 1981