To Our Clearing Member Firms and all Market Participants:

Transcription

1 Directory JULY 2015

2 To Our Clearing Member Firms and all Market Participants: On behalf of our board of directors, management team, and employees of OCC, we are pleased to provide you with the latest version of our member directory. At OCC we work hard every day to serve our clearing member firms and all market participants in our role as a foundation for secure markets. We are committed to delivering to you a low-cost, customerdriven organization that provides you with world-class risk management, clearance and settlement services in our role as a Systemically Important Financial Market Utility (SIFMU). Thanks to your support, OCC is evolving into a company that is more resilient, more efficient, and better positioned to serve you and to help grow the listed options markets. We will continue to strengthen our resiliency as an organization, and we remain focused on exploring innovative solutions for growth that will serve the entire industry. We want to help you be successful and grow your business. Please reach out to the appropriate OCC colleagues listed in the directory if there is a way we can better serve you. Craig S. Donohue Michael W. McClain

3 July 6, 2015 Table of Contents Clearing Members 2 Clearing Banks 24 Approved Depository 24 Correspondent Clearing Corporation 24 Letter of Credit Banks: U.S. and Non-U.S. 25 Escrow Deposit Banks 26 Government Delivery Banks 26 Canadian Government Depository Bank 26 Administration 27 Contacts 29 Offices 31 Participant Exchanges 32 Futures Markets 34 Alternative Trading Systems 34 For additional copies of this Directory, please write or call: OCC Member Services One North Wacker Drive, Suite 500 Chicago, Illinois (800)

4 OCC Clearing Members Alphabetic Clearing Members are approved to clear the following products as of July 6, All information herein is subject to change. A. Equity Options D. Single Stock Futures B. Index Options E. Commodity Options and Futures (CFE, ELX) C. Stock Loan Participants F. Treasury Options Member Number Approval Codes A ABN AMRO Clearing Chicago LLC 695 A B C D 175 West Jackson Boulevard Suite 400 Chicago, Illinois (312) OCC/ICE Cross-Margin Account 829 B OCC/CME Cross-Margin Account 813 B OCC Cross-Margin Account 008 B E ABN AMRO Clearing Chicago LLC 541 A B C D ABN AMRO Clearing Chicago LLC 567 D E ABN AMRO Clearing Chicago LLC 396 A B D ABN AMRO Securities (USA) LLC 349 C 100 Park Avenue New York, New York (917) ADM Investor Services, Inc. 509 D E 141 West Jackson Boulevard Suite 1600-A Chicago, Illinois (312) ADM Investor Services, Inc. 001 E Advantage Futures LLC 079 E 231 South LaSalle Street Suite 1400 Chicago, Illinois (312) Albert Fried & Company, LLC 284 A B C 45 Broadway, 24th Floor New York, New York (212)

5 American Enterprise 756 A B C Investment Services, Inc. 655 Ameriprise Center Minneapolis, Minnesota (612) Amherst Pierpont Securities LLC 413 C 245 Park Avenue, 15th Floor New York, New York (646) Apex Clearing Corporation 111 A B D One Dallas Center, Suite North St. Paul Dallas, Texas (516) Apex Clearing Corporation 158 A B C D Apex Clearing Corporation 513 A B Archipelago Securities, L.L.C. 436 A B 100 South Wacker Drive, Suite 1800 Chicago, Illinois (312) Automated Trading 411 A B F Desk Financial Services, LLC 11 ewall Street Mt. Pleasant, South Carolina (843) B Banca IMI Securities Corp. 136 C 1 William Street, 9th Floor New York, New York (212) Barclays Capital Inc. 576 A B C D 200 Park Avenue New York, New York (212) Barclays Capital Inc. 255 A B C D Barclays Capital Inc. 704 D E Barclays Capital Inc. 273 A B D Barclays Capital Inc. 711 E Barclays Capital Inc. 709 D OCC/CME Cross-Margin Account 712 B BB&T Securities, LLC 702 A B 8006 Discovery Drive, Suite 200 Richmond, Virginia (804)

6 Bloomberg Tradebook LLC 120 Park Avenue New York, New York (212) A B C BMO Capital Markets Corp. 045 A B C 3 Second Street, 12th Floor Harborside Plaza 10 Jersey City, New Jersey (212) OCC/CME Cross-Margin Account 875 B BMO Nesbitt Burns, Inc.** 209 A B C D 1 First Canadian Place Toronto, Ontario M5X 1H3 (416) BNP Paribas Prime Brokerage, Inc. 230 A B C 525 Washington Boulevard, 9th Floor Jersey City, New Jersey (646) BNP Paribas Securities Corp. 656 A B D 525 Washington Boulevard, 9th Floor Jersey City, New Jersey (610) BNP Paribas Securities Corp. 381 D E OCC/CME Cross-Margin Account 053 B Broadridge Business Process Outsourcing, LLC 300 Executive Drive Edgewood, New York (516) C 544 A B C.L. King & Associates, Inc. 743 A B C 9 Elk Street Albany, New York (518) Canaccord Genuity Corp.** 033 A B 609 Granville Street, Suite 2200 Vancouver, British Columbia V7Y 1H2 Canada (604) Canaccord Genuity Corp. ** 028 A B Cantor Fitzgerald & Co. 696 A B C 110 East 59th Street New York, New York (212) Cantor Fitzgerald & Co. 115 E 4

7 Charles Schwab & Co., Inc. 164 A B C D 4750 East Francisco Drive Phoenix, Arizona (877) CIBC World Markets Corp. 438 A B C D 425 Lexington Avenue, 5th Floor New York, New York (212) OCC/CME Cross-Margin Account 831 B CIBC World Markets Inc.** 503 A B C D 22 Front Street West, 5th Floor Toronto, Ontario M5J 2W5 Canada (416) Citadel Securities LLC 395 A B C 131 South Dearborn Street, 3rd Floor Chicago, Illinois (312) Citadel Securities LLC 431 A B C Citigroup Global Markets Inc. 418 A B C D F 388 Greenwich Street New York, New York (813) Citigroup Global Markets Inc. 747 D E OCC/CME Cross-Margin Account 805 B Commerz Markets LLC 456 C 2 World Financial Center, 32nd Floor New York, New York (212) Compass Professional Services, LLC 233 A B 111 West Jackson Boulevard 20th Floor Chicago, Illinois (312) ConvergEx Execution Solutions LLC 311 South Wacker Drive, Suite 4700 Chicago, Illinois (312) A B C COR Clearing LLC 052 A B D 1299 Farnam Street, Suite 800 Omaha, Nebraska (402) Credit Suisse Securities (USA) LLC 355 A B C D 7033 Louis Stephens Drive P.O. Box RTP, North Carolina (919) Credit Suisse Securities (USA) LLC 289 D E Credit Suisse Securities (USA) LLC 106 E 5

8 CSS, LLC 670 A B 175 West Jackson Boulevard Suite 440 Chicago, Illinois (312) D Daiwa Capital Markets America Inc. 647 A B C D Financial Square 32 Old Slip New York, New York (212) Dash Financial LLC 910 West Van Buren, 4th Floor Chicago, Illinois (312) A B D Deutsche Bank Securities Inc. 573 A B C D 5022 Gate Parkway South Building 500 Jacksonville, Florida (904) Deutsche Bank Securities Inc. 094 D E Deutsche Bank Securities Inc. 586 A B DST Market Services, LLC 920 2nd Avenue South, Suite 700 Minneapolis, Minnesota (612) A B E E D & F Man Capital Markets Inc. 364 E 440 South LaSalle Street, Suite 1850 Chicago, Illinois (312) E * TRADE Clearing LLC 385 A B C D Harborside Financial Center 501 Plaza 2 Jersey City, New Jersey (201)

9 F First Clearing, LLC 141 A B C D 1 North Jefferson Avenue St. Louis, Missouri (314) First Southwest Company, LLC 309 A B C D 325 North St. Paul Street, Suite 800 Dallas, Texas (214) G Goldman, Sachs & Co. 005 A B C D 30 Hudson Street Jersey City, New Jersey (212) Goldman, Sachs & Co. 497 D E Goldman, Sachs & Co. 010 A B C D Goldman Sachs Execution 501 A B C D F & Clearing, L.P. 222 South Maine Street Salt Lake City, Utah (312) Goldman Sachs Execution 009 A B C D & Clearing, L.P. Goldman Sachs Execution 572 A B D & Clearing, L.P. OCC Cross-Margin Account 841 B E OCC/ICE Cross-Margin Account 843 B OCC/CME Cross-Margin Account 824 B Goldman Sachs Execution 741 D E & Clearing, L.P. Goldman Sachs Execution 105 A B F & Clearing, L.P. H HSBC Securities (USA) Inc. 816 A B 11 West 42nd Street, 9th Floor New York, New York (212)

10 I ICAP Corporates LLC 148 C Harborside Financial Center 1100 Plaza 5, 12th Floor Jersey City, New Jersey (212) Industrial and Commercial Bank 388 A B C of China Financial Services LLC 1633 Broadway, 28th Floor New York, New York (212) Industrial and Commercial Bank 488 A B of China Financial Services LLC ING Financial Markets LLC 270 C th Avenue, 12th Floor New York, New York (646) Ingalls & Snyder LLC 124 A B D 1325 Avenue of the Americas 18th Floor New York, New York (212) Instinet, LLC 067 A B 1095 Avenue of the Americas, 3rd Floor New York, New York (212) Interactive Brokers LLC 017 A B D 8 Greenwich Office Park Greenwich, Connecticut (203) Interactive Brokers LLC 534 A B C D Interactive Brokers LLC 643 D E INTL FCStone Financial Inc. 159 E 230 South LaSalle Street Chicago, Illinois (312) Itau BBA USA Securities, Inc. 113 C 767 Fifth Avenue, 50th Floor New York, New York (212) ITG Inc. 099 C One Liberty Place 165 Broadway, 4th Floor New York, New York (212)

11 J J.J.B. Hilliard, W.L. Lyons, LLC 768 A B D 500 West Jefferson Street Louisville, Kentucky (502) J.P. Morgan Clearing Corp. 352 A B C F 500 Stanton Christina Boulevard Newark, Delaware (302) J.P. Morgan Securities LLC 661 D E 10 South Dearborn Street, 5th Floor Chicago, Illinois (312) J.P. Morgan Securities LLC 060 A B D Janney Montgomery Scott LLC 374 A B C D 1717 Arch Street, 16th Floor Philadelphia, Pennsylvania (215) Jefferies LLC 019 A B C D 101 Hudson Street, 11th Floor Jersey City, New Jersey (201) Jefferies LLC 072 D E Jump Trading, LLC 036 E 600 West Chicago Avenue, Suite 825 Chicago, Illinois (312) K KCG Americas LLC 295 A B C F 545 Washington Boulevard Jersey City, New Jersey (201) KCG Americas LLC 293 A B C F KCG Americas LLC 297 A B C F KCG Americas LLC 077 E L Lakeshore Securities, L.P. 674 A B D 401 South LaSalle Street, Suite 1000 Chicago, Illinois (312)

12 Lek Securities Corporation 512 A B C D 165 Broadway, 52nd Floor New York, New York (212) Lek Securities Corporation 229 A B D LPL Financial LLC 075 A B D 4707 Executive Drive San Diego, California (858) M Maple Securities U.S.A. Inc. 269 A B C D 525 Washington Boulevard, Suite 1400 Jersey City, New Jersey (201) Merrill Lynch, Pierce, Fenner 161 A B C D F & Smith Inc. 200 North College Avenue Charlotte, North Carolina (980) Merrill Lynch, Pierce, Fenner 275 A B C & Smith Inc. Merrill Lynch, Pierce, Fenner 299 D E & Smith Inc. Merrill Lynch, Pierce, Fenner 792 A B D F & Smith Inc. Merrill Lynch, Pierce, Fenner 245 A B & Smith Inc. Merrill Lynch, Pierce, Fenner 244 A B & Smith Inc. Merrill Lynch Professional 551 A B C D F Clearing Corp. 200 North College Avenue Charlotte, North Carolina (980) OCC Cross-Margin Account 519 B E Merrill Lynch Professional 540 A B D Clearing Corp. Merrill Lynch Professional 552 A B D Clearing Corp. OCC/CME Cross-Margin Account 598 B OCC/ICE Cross-Margin Account 847 B Mitsubishi UFJ Securities (USA) Inc. 076 A B C 1633 Broadway, 29th Floor New York, New York (212)

13 Mizuho Securities USA Inc. 089 A B C D E 111 River Street, 11th Floor Hoboken, New Jersey (212) Mizuho Securities USA Inc. 104 E Morgan Stanley & Co. LLC 050 A B C D 1 New York Plaza, 40th Floor New York, New York (212) Morgan Stanley & Co. LLC 602 D E Morgan Stanley Smith Barney LLC 015 A B C 1 New York Plaza, 39th Floor New York, New York (212) N NASDAQ Execution Services, LLC 520 A B 165 Broadway, 51st Floor New York, New York (212) National Financial Services LLC 226 A B C D Newport Office Center Washington Boulevard NJ4C Jersey City, New Jersey (866) Natixis Securities Americas LLC 031 A B C D 1251 Avenue of the Americas 5th Floor New York, New York (212) NBCN Inc.** 1155 Metcalfe, 19th Floor Montreal, Quebec H3B 5G2 Canada (514) A B C D Nomura Securities International, Inc. 180 A B C Worldwide Plaza 309 West 49th Street New York, New York (212) Nomura Securities International, Inc. 181 D E 11

14 O Oppenheimer & Co. Inc. 571 A B C D 85 Broad Street, 4th Floor New York, New York (212) optionsxpress, Inc. 338 A B C D 311 West Monroe Street, Suite 1000 Chicago, Illinois (312) P Pershing LLC 443 A B C D F 1 Pershing Plaza Jersey City, New Jersey (201) Phillip Capital Inc. 167 E 141 West Jackson Boulevard Suite 3050 Chicago, Illinois (312) Piper Jaffray & Co. 311 A B D 800 Nicollet Mall Suite 800 Minneapolis, Minnesota (800) Q Questrade Inc.** 084 A B 5650 Yonge Street, Suite 1700 Toronto, Ontario M2M 4G3 Canada (416) R R.J. O Brien & Associates, LLC 082 E 222 South Riverside Plaza, Suite 900 Chicago, Illinois (312) R.J. O Brien & Associates, LLC 083 D R.J. O Brien & Associates, LLC 081 E Raymond James & Associates, Inc. 725 A B D The Raymond James Financial Center 880 Carillon Parkway St. Petersburg, Florida (727)

15 RBC Capital Markets, LLC** 235 A B C D 155 Wellington Street, 7th Floor Toronto, Ontario M5V 3H1 Canada (416) RBC Capital Markets, LLC 795 D E OCC/CME Cross-Margin Account 038 B RBC Dominion Securities Inc.** 198 A B D 155 Wellington Street, 7th Floor Toronto, Ontario M5V 3H1 Canada (416) RBS Securities Inc. 425 A B C 550 West Jackson Boulevard Suite 1700 Chicago, Illinois (312) RBS Securities Inc. 128 E Robert W. Baird & Co. Incorporated 547 A B C D 777 East Wisconsin Avenue Milwaukee, Wisconsin (414) Rosenthal Collins Group, LLC 801 E 216 West Jackson Boulevard Suite 400 Chicago, Illinois (312) S Sanford C. Bernstein & Co., LLC 013 A B D One North Lexington Avenue White Plains, New York (914) Scotia Capital Inc.** 186 A B C D 44 King Street West, 14th Floor Toronto, Ontario M5H 1H1 Canada (416) Scotia Capital (USA) Inc. 212 A B 250 Vesey Street New York, New York (212) Scottrade, Inc. 705 A B D 500 Maryville University Drive St. Louis, MO (314)

16 SG Americas Securities, LLC 286 A B C D E 480 Washington Boulevard, 21st Floor Jersey City, New Jersey (212) SG Americas Securities, LLC 722 A B C D SG Americas Securities, LLC 761 E SG Americas Securities, LLC 762 D E SG Americas Securities, LLC 719 A B D SG Americas Securities, LLC 608 A B C D SG Americas Securities, LLC 659 A B Southwest Securities, Inc. 279 A B C D The Renaissance Tower 1201 Elm Street, Suite 3500 Dallas, Texas (214) Southwest Securities, Inc. 581 A B C D Stephens Inc. 419 A B D 111 Center Street Little Rock, Arkansas (501) Stifel, Nicolaus & Company, 793 A B D Incorporated 501 North Broadway St. Louis, Missouri (314) StockCross Financial Services, Inc. 445 A B C D 77 Summer Street Boston, Massachusetts (617) T TD Ameritrade Clearing, Inc. 777 A B C D 200 South 108th Avenue Omaha, Nebraska (402) TD Ameritrade Clearing, Inc. 778 A B TD Securities (USA) LLC 593 C 31 West 52nd Street New York, New York (212) TD Waterhouse Canada Inc.** 615 A B D 77 Bloor Street West, 10th Floor Toronto Dominion Centre Toronto, Ontario M4Y T21 Canada (416)

17 Timber Hill LLC 549 A B C D E 8 Greenwich Office Park Greenwich, Connecticut (203) OCC/CME Cross-Margin Account 611 B Timber Hill LLC 477 A B C D E TradeStation Securities, Inc. 271 A B C 8050 Southwest 10th Street Suite 2000 Plantation, Florida (954) U UBS Financial Services Inc. 221 A B C D 677 Washington Boulevard Stamford, Connecticut (203) UBS Securities LLC 642 A B C D 677 Washington Boulevard Stamford, Connecticut (203) UBS Securities LLC 641 D E UBS Securities LLC 742 A B V Vanguard Marketing Corporation 062 A B C 100 Vanguard Boulevard Malvern, Pennsylvania (877) Virtu Financial BD LLC 063 C 645 Madison Avenue, 16th Floor New York, New York (212) Vision Financial Markets, LLC 595 A B C 4 High Ridge Park, Suite 100 Stamford, Connecticut (203)

18 W Wedbush Securities Inc. 103 A B C D P.O. Box Los Angeles, California (213) Wedbush Securities Inc. 108 A B C Wedbush Securities Inc. 240 D Wedbush Securities Inc. 340 E Wells Fargo Advisors, LLC 733 A B 1 North Jefferson Avenue St. Louis, Missouri (314) Wells Fargo Securities, LLC 640 5th Avenue New York, New York (704) A B C William Blair & Company, L.L.C. 771 A B D 222 West Adams Street Chicago, Illinois (312) Wolverine Execution Services, LLC 175 W. Jackson Boulevard, Suite 200 Chicago, Illinois (312) A B X X-Change Financial Access, LLC 007 A B 440 South LaSalle Street, Suite 2900 Chicago, Illinois (312) Z Ziv Investment Company 515 A B D 141 West Jackson Boulevard Suite 2095 Chicago, Illinois (312) **Indicates Non-U.S. Clearing Member 16

19 OCC Clearing Members Numeric 001 ADM Investor Services, Inc. 005 Goldman Sachs & Co. 007 X-Change Financial Access, LLC 008 ABN AMRO Clearing Chicago LLC OCC Cross-Margin Account 009 Goldman Sachs Execution & Clearing, L.P. 010 Goldman, Sachs & Co. 013 Sanford C. Bernstein & Co., LLC 015 Morgan Stanley Smith Barney LLC 017 Interactive Brokers LLC 019 Jefferies LLC 028 Canaccord Genuity Corp. 031 Natixis Securities Americas LLC 033 Canaccord Genuity Corp.** 036 Jump Trading, LLC 038 RBC Capital Markets, LLC OCC/CME Cross-Margin Account 045 BMO Capital Markets Corp. 050 Morgan Stanley & Co. LLC 052 COR Clearing LLC 053 BNP Paribas Securities Corp. OCC/CME Cross-Margin Account 060 J.P. Morgan Securities LLC 062 Vanguard Marketing Corporation 063 Virtu Financial BD LLC 067 Instinet, LLC 072 Jefferies LLC 075 LPL Financial LLC 076 Mitsubishi UFJ Securities (USA) Inc. 077 KCG Americas LLC 079 Advantage Futures LLC 080 NBCN Inc.** 17

20 081 R.J. O Brien & Associates, LLC 082 R.J. O Brien & Associates, LLC 083 R.J. O Brien & Associates, LLC 084 Questrade Inc.** 089 Mizuho Securities USA Inc. 094 Deutsche Bank Securities Inc. 099 ITG, Inc. 103 Wedbush Securities Inc. 104 Mizuho Securities USA Inc. 105 Goldman Sachs Execution & Clearing, L.P. 106 Credit Suisse Securities (USA) LLC 108 Wedbush Securities Inc. 111 Apex Clearing Corporation 113 Itau BBA USA Securities, Inc 115 Cantor Fitzgerald & Co. 124 Ingalls & Snyder LLC 128 RBS Securities Inc. 136 Banca IMI Securities Corp. 141 First Clearing, LLC 148 ICAP Corporates LLC 158 Apex Clearing Corporation 159 INTL FCStone Financial Inc. 161 Merrill Lynch, Pierce, Fenner & Smith Inc. 164 Charles Schwab & Co., Inc. 167 Phillip Capital Inc. 180 Nomura Securities International, Inc. 181 Nomura Securities International, Inc. 186 Scotia Capital Inc.** 198 RBC Dominion Securities Inc.** 209 BMO Nesbitt Burns, Inc.** 212 Scotia Capital (USA) Inc. 18

21 221 UBS Financial Services Inc. 226 National Financial Services LLC 229 Lek Securities Corporation 230 BNP Paribas Prime Brokerage, Inc. 233 Compass Professional Services, LLC 235 RBC Capital Markets, LLC 240 Wedbush Securities Inc. 244 Merrill Lynch, Pierce, Fenner & Smith Inc. 245 Merrill Lynch, Pierce, Fenner & Smith Inc. 250 Wells Fargo Securities, LLC 255 Barclays Capital Inc. 269 Maple Securities U.S.A. Inc. 270 ING Financial Markets LLC 271 TradeStation Securities, Inc. 273 Barclays Capital Inc. 275 Merrill Lynch, Pierce, Fenner, & Smith Inc. 279 Southwest Securities, Inc. 284 Albert Fried & Company, LLC 286 SG Americas Securities, LLC 289 Credit Suisse Securities (USA) LLC 293 KCG Americas LLC 295 KCG Americas LLC 297 KCG Americas LLC 299 Merrill Lynch, Pierce, Fenner & Smith Inc. 309 First Southwest Company, LLC 311 Piper Jaffray & Co. 333 Dash Financial LLC 338 optionsxpress, Inc. 340 Wedbush Securities Inc. 349 ABN AMRO Securities (USA) LLC 352 J.P. Morgan Clearing Corp. 19

22 355 Credit Suisse Securities (USA) LLC 364 E D & F Man Capital Markets Inc. 365 Wolverine Execution Services, LLC 374 Janney Montgomery Scott LLC 381 BNP Paribas Securities Corp. 385 E * TRADE Clearing LLC 388 Industrial and Commercial Bank of China Financial Services LLC 395 Citadel Securities LLC 396 ABN AMRO Clearing Chicago LLC 411 Automated Trading Desk Financial Services, LLC 413 Amherst Pierpont Securities LLC 418 Citigroup Global Markets Inc. 419 Stephens Inc. 425 RBS Securities Inc. 431 Citadel Securities LLC 436 Archipelago Securities, L.L.C. 438 CIBC World Markets Corp. 443 Pershing LLC 445 StockCross Financial Services, Inc. 456 Commerz Markets LLC 477 Timber Hill LLC 488 Industrial and Commercial Bank of China Financial Services LLC 497 Goldman, Sachs & Co. 501 Goldman Sachs Execution & Clearing, L.P. 503 CIBC World Markets Inc.** 509 ADM Investor Services, Inc. 512 Lek Securities Corporation 513 Apex Clearing Corporation 515 Ziv Investment Company 20

23 519 Merrill Lynch Professional Clearing Corp. OCC Cross-Margin Account 520 NASDAQ Execution Services, LLC 534 Interactive Brokers LLC 540 Merrill Lynch Professional Clearing Corp. 541 ABN AMRO Clearing Chicago LLC 544 Broadridge Business Process Outsourcing, LLC 547 Robert W. Baird & Co. Incorporated 549 Timber Hill LLC 551 Merrill Lynch Professional Clearing Corp. 552 Merrill Lynch Professional Clearing Corp. 567 ABN AMRO Clearing Chicago LLC 571 Oppenheimer & Co. Inc. 572 Goldman Sachs Execution & Clearing, L.P. 573 Deutsche Bank Securities Inc. 575 Merrill Lynch Professional Clearing Corp. 576 Barclays Capital Inc. 577 ConvergEx Execution Solutions LLC 581 Southwest Securities, Inc. 586 Deutsche Bank Securities Inc. 593 TD Securities (USA) LLC 595 Vision Financial Markets LLC 598 Merrill Lynch Professional Clearing Corp. OCC/CME Cross-Margin Account 602 Morgan Stanley & Co. Incorporated 608 SG Americas Securities, Inc. 611 Timber Hill LLC OCC/CME Cross-Margin Account 615 TD Waterhouse Canada Inc.** 626 DST Market Services, LLC 640 UBS Securities LLC 641 UBS Securities LLC 21

24 642 UBS Securities LLC 643 Interactive Brokers LLC 647 Daiwa Capital Markets America Inc. 656 BNP Paribas Securities Corp. 659 SG Americas Securities, Inc. 661 J.P. Morgan Securities Inc. 670 CSS, LLC 674 Lakeshore Securities, L.P. 695 ABN AMRO Clearing Chicago LLC 696 Cantor Fitzgerald & Co. 702 BB&T Securities, LLC 703 Bloomberg TradeBook LLC 704 Barclays Capital Inc. 705 Scottrade, Inc. 709 Barclays Capital Inc. 711 Barclays Capital Inc. 712 Barclays Capital Inc. OCC/CME Cross-Margin Account 719 SG Americas Securities, Inc. 722 SG Americas Securities, Inc. 725 Raymond James & Associates, Inc. 733 Wells Fargo Advisors, LLC 741 Goldman Sachs Execution & Clearing, L.P. 742 UBS Securities LLC 743 C.L. King & Associates, Inc. 747 Citigroup Global Markets Inc. 756 American Enterprise Investment Services, Inc. 761 SG Americas Securities, Inc. 762 SG Americas Securities, Inc. 768 J.J.B. Hilliard, W.L. Lyons, LLC 771 William Blair & Company, L.L.C. 22

25 777 TD Ameritrade Clearing, Inc. 778 TD Ameritrade Clearing, Inc. 792 Merrill Lynch, Pierce, Fenner & Smith Inc. 793 Stifel Nicolaus & Company, Incorporated 795 RBC Capital Markets, LLC 801 Rosenthal Collins Group, LLC 805 Citigroup Global Markets Inc. OCC/CME Cross-Margin Account 813 ABN AMRO Clearing Chicago LLC OCC/CME Cross-Margin Account 816 HSBC Securities (USA) Inc. 824 Goldman Sachs Execution & Clearing, L.P. OCC/CME Cross-Margin Account 829 ABN AMRO Clearing Chicago LLC OCC/ICE Cross-Margin Account 831 CIBC World Markets Corp. OCC/CME Cross-Margin Account 841 Goldman Sachs Execution & Clearing, L.P. OCC Cross-Margin Account 843 Goldman Sachs Execution & Clearing, L.P. OCC/ICE Cross-Margin Account 847 Merrill Lynch Professional Clearing Corp. OCC/ICE Cross-Margin Account 875 BMO Capital Markets Corp. OCC/CME Cross-Margin Account **Indicates Non-U.S. Clearing Member 23

26 OCC Banks OCC USD Clearing Banks Bank of America, National Association Bank of Montreal Bank of New York Mellon BMO Harris Bank, National Association Brown Brothers Harriman and Co. Citibank, N.A. JPMorgan Chase Bank, National Association U.S. Bank National Association OCC Approved Depository The Depository Trust Company Correspondent Clearing Corporation National Securities Clearing Corporation 24

27 OCC Letter of Credit Banks U.S. Institutions Bank of America, National Association Bank of New York Mellon BMO Harris Bank, National Association JPMorgan Chase Bank, National Association PNC Bank, National Association U.S. Bank National Association Wells Fargo Bank, National Association OCC Letter of Credit Banks Non-U.S. Institutions Australia and New Zealand Banking Group Limited Deutsche Bank AG National Australia Bank Limited Royal Bank of Canada 25

28 OCC Escrow Deposit Banks Bank of America, National Association Bank of New York Mellon BMO Harris Bank, National Association Citibank, N.A. Comerica Bank Fifth Third Bank JPMorgan Chase Bank, National Association Northern Trust Company PNC Bank, National Association State Street Bank and Trust Company SunTrust Bank U.S. Bank National Association Union Bank, National Association Wells Fargo Bank, National Association OCC Government Delivery Banks Bank of New York Mellon BMO Harris Bank, National Association JPMorgan Chase Bank, National Association OCC Canadian Government Depository Bank Bank of Montreal 26

29 OCC Administration Craig S. Donohue Executive Chairman Michael W. McClain President and COO John J. Grace Executive Vice President and Chief Risk Officer John J. Fennell Executive Vice President, Financial Risk Management Scot E. Warren Executive Vice President, Business Development, OIC Jean M. Cawley Senior Vice President and Corporate Secretary Joseph Kamnik Senior Vice President and General Counsel James T. Knoeck Senior Vice President and Chief Audit Executive 27

30 James M. Kustusch Senior Vice President, Operations Kimberly J. McGarry Senior Vice President and Chief Financial Officer Luke Moranda Senior Vice President and Chief Information Officer Tracy A. Raben Senior Vice President and Chief Human Resources Officer Richard G. Wallace Senior Vice President and Chief Compliance Officer 28

31 OCC Contacts Accounting: Bethany Riesenberg (312) Banking Relations: Bethany Riesenberg (312) Business Development: Scot E. Warren (312) By-Laws & Rules Book: Jackie Soto (312) Clearing Banks: Bethany Riesenberg (312) Clearing Fund: Tom Pappageorge (312) Compliance: Richard G.Wallace (312) Disclosure Document Orders: Current Issues: Accounts Receivable Back Issues: Jackie Soto (312) Escrow Banks: Tom Pappageorge (312) Financial Reporting: Nathan Ice (817) Internet Services: Denise Knabjian (312) Investor Services: OPTIONS Legal: Joseph Kamnik (312) Letter of Credit Banks: Tom Pappageorge (312)

32 Member Services: Help Desk (312) (within Illinois) (800) (outside Illinois) (800) (within Canada) Operations: Sheila Zak (312) Options Industry Council: Mary Savoie (312) Participant Terminal System: Tom Pappageorge (312) Public Relations: David Prosperi (312) Publications: Investor Services OPTIONS Risk Systems: David Boyd (312) Statistical Reporting: Jim Johnson (312)

33 OCC Offices Executive Offices 1 North Wacker Drive, Suite 500 Chicago, Illinois Telephone: (312) Chicago Branch 1 North Wacker Drive, Suite 500 Chicago, Illinois Telephone: (312) Toll Free Numbers Outside Illinois: General Information including Accounting, Financial Surveillance, Legal and Member Services (800) Operations Services Only (800) (outside Illinois) (800) (within Canada) Facsimile Numbers: Accounting (312) Executive Offices (312) Financial Surveillance/ Compliance (312) Legal (312) Member Services (312) Treasury (312) Publications (312) Receptionist Area (312) Keller Branch 6032 Innovation Way Keller, Texas Telephone: (817) Fax: (817) New York Branch 17 State Street, 6th Floor New York, New York Telephone: (212) Fax: (212) /5074 Washington, D.C. Branch 701 8th St. NW, Suite 630 Washington, D.C Telephone: (202)

34 OCC Participant Exchanges BATS Exchange, Inc Marshall Drive Lenexa, Kansas Telephone: (913) BOX Options Exchange LLC 101 Arch Street, Suite 610 Boston, Massachusetts Telephone: (866) C2 Options Exchange Incorporated 400 South LaSalle Street Chicago, Illinois Telephone: (312) Chicago Board Options Exchange, Incorporated 400 South LaSalle Street Chicago, Illinois Telephone: (312) International Securities Exchange, LLC 60 Broad Street, 26th Floor New York, New York Telephone: (212) ISE Gemini, LLC 60 Broad Street, 26th Floor New York, New York Telephone: (212) Miami International Securities Exchange, LLC 7 Roszel Road, 5th Floor Princeton, New Jersey Telephone: (609) NASDAQ OMX BX, Inc. 100 Franklin Street, Suite 600 Boston, Massachusetts Telephone: (617) NASDAQ OMX PHLX, LLC 1900 Market Street Philadelphia, Pennsylvania Telephone: (215)

35 The NASDAQ Stock Market LLC One Liberty Plaza, 50th Floor New York, New York Telephone: (212) NYSE Arca, Inc. 100 South Wacker Drive Chicago, Illinois Telephone: (312) NYSE MKT LLC 86 Trinity Place New York, New York Telephone: (212)

36 Futures Markets CBOE Futures Exchange, LLC 400 South LaSalle Street Chicago, Illinois Telephone: (312) ELX Futures, LP 110 East 59th Street, 2nd Floor New York, New York Telephone: (212) NASDAQ Futures, Inc Market Street Philadelphia, Pennsylvania Telephone: (215) OneChicago Exchange 141 West Jackson Boulevard Suite 1065 Chicago, Illinois Telephone: (312) Alternative Trading Systems (Securities Lending) Automated Equity Finance Markets, Inc. 529 Fifth Avenue,14th Floor New York, New York Telephone: (212)

37 One North Wacker Drive Suite 500 Chicago, Illinois