Directory JULY 2015
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
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 60606 (800) 621-6072 1
OCC Clearing Members Alphabetic Clearing Members are approved to clear the following products as of July 6, 2015. 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 60604 (312) 604-8110 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 10017 (917) 284-6704 ADM Investor Services, Inc. 509 D E 141 West Jackson Boulevard Suite 1600-A Chicago, Illinois 60604 (312) 242-7000 ADM Investor Services, Inc. 001 E Advantage Futures LLC 079 E 231 South LaSalle Street Suite 1400 Chicago, Illinois 60604 (312) 800-7000 Albert Fried & Company, LLC 284 A B C 45 Broadway, 24th Floor New York, New York 10006 (212) 422-7282 2
American Enterprise 756 A B C Investment Services, Inc. 655 Ameriprise Center Minneapolis, Minnesota 55474 (612) 671-7229 Amherst Pierpont Securities LLC 413 C 245 Park Avenue, 15th Floor New York, New York 10167 (646) 776-7700 Apex Clearing Corporation 111 A B D One Dallas Center, Suite 1300 350 North St. Paul Dallas, Texas 75201 (516) 472-5200 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 60606 (312) 960-1696 Automated Trading 411 A B F Desk Financial Services, LLC 11 ewall Street Mt. Pleasant, South Carolina 29464 (843) 789-2113 B Banca IMI Securities Corp. 136 C 1 William Street, 9th Floor New York, New York 10004 (212) 326-1100 Barclays Capital Inc. 576 A B C D 200 Park Avenue New York, New York 10166 (212) 412-4000 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 23229 (804) 253-6400 3
Bloomberg Tradebook LLC 120 Park Avenue New York, New York 10017 (212) 617-3917 703 A B C BMO Capital Markets Corp. 045 A B C 3 Second Street, 12th Floor Harborside Plaza 10 Jersey City, New Jersey 07302 (212) 885-4000 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) 359-4000 BNP Paribas Prime Brokerage, Inc. 230 A B C 525 Washington Boulevard, 9th Floor Jersey City, New Jersey 07310 (646) 733-4074 BNP Paribas Securities Corp. 656 A B D 525 Washington Boulevard, 9th Floor Jersey City, New Jersey 07310 (610) 491-1400 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 11717 (516) 472-5400 C 544 A B C.L. King & Associates, Inc. 743 A B C 9 Elk Street Albany, New York 12207 (518) 431-3539 Canaccord Genuity Corp.** 033 A B 609 Granville Street, Suite 2200 Vancouver, British Columbia V7Y 1H2 Canada (604) 643-7300 Canaccord Genuity Corp. ** 028 A B Cantor Fitzgerald & Co. 696 A B C 110 East 59th Street New York, New York 10022 (212) 610-2440 Cantor Fitzgerald & Co. 115 E 4
Charles Schwab & Co., Inc. 164 A B C D 4750 East Francisco Drive Phoenix, Arizona 85044 (877) 903-7552 CIBC World Markets Corp. 438 A B C D 425 Lexington Avenue, 5th Floor New York, New York 10017 (212) 667-7000 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) 594-7000 Citadel Securities LLC 395 A B C 131 South Dearborn Street, 3rd Floor Chicago, Illinois 60603 (312) 395-2100 Citadel Securities LLC 431 A B C Citigroup Global Markets Inc. 418 A B C D F 388 Greenwich Street New York, New York 10013 (813) 604-6485 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 10281 (212) 266-7200 Compass Professional Services, LLC 233 A B 111 West Jackson Boulevard 20th Floor Chicago, Illinois 60605 (312) 692-5000 ConvergEx Execution Solutions LLC 311 South Wacker Drive, Suite 4700 Chicago, Illinois 60606 (312) 986-2006 577 A B C COR Clearing LLC 052 A B D 1299 Farnam Street, Suite 800 Omaha, Nebraska 68114 (402) 384-6100 Credit Suisse Securities (USA) LLC 355 A B C D 7033 Louis Stephens Drive P.O. Box 110047 RTP, North Carolina 27709 (919) 994-5000 Credit Suisse Securities (USA) LLC 289 D E Credit Suisse Securities (USA) LLC 106 E 5
CSS, LLC 670 A B 175 West Jackson Boulevard Suite 440 Chicago, Illinois 60604 (312) 542-8510 D Daiwa Capital Markets America Inc. 647 A B C D Financial Square 32 Old Slip New York, New York 10005-3538 (212) 612-7000 Dash Financial LLC 910 West Van Buren, 4th Floor Chicago, Illinois 60607 (312) 663-3655 333 A B D Deutsche Bank Securities Inc. 573 A B C D 5022 Gate Parkway South Building 500 Jacksonville, Florida 32246 (904) 520-5340 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 55402 (612) 238-3990 626 A B E E D & F Man Capital Markets Inc. 364 E 440 South LaSalle Street, Suite 1850 Chicago, Illinois 60605 (312) 300-5007 E * TRADE Clearing LLC 385 A B C D Harborside Financial Center 501 Plaza 2 Jersey City, New Jersey 07311 (201) 499-9900 6
F First Clearing, LLC 141 A B C D 1 North Jefferson Avenue St. Louis, Missouri 63103 (314) 995-3000 First Southwest Company, LLC 309 A B C D 325 North St. Paul Street, Suite 800 Dallas, Texas 75201 (214) 953-4000 G Goldman, Sachs & Co. 005 A B C D 30 Hudson Street Jersey City, New Jersey 07302 (212) 902-1000 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 84111 (312) 362-3768 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 10036 (212) 525-5000 7
I ICAP Corporates LLC 148 C Harborside Financial Center 1100 Plaza 5, 12th Floor Jersey City, New Jersey 07311 (212) 341-9210 Industrial and Commercial Bank 388 A B C of China Financial Services LLC 1633 Broadway, 28th Floor New York, New York 10019 (212) 993-7300 Industrial and Commercial Bank 488 A B of China Financial Services LLC ING Financial Markets LLC 270 C 1325 6th Avenue, 12th Floor New York, New York 10019 (646) 424-6000 Ingalls & Snyder LLC 124 A B D 1325 Avenue of the Americas 18th Floor New York, New York 10019 (212) 269-7800 Instinet, LLC 067 A B 1095 Avenue of the Americas, 3rd Floor New York, New York 10036 (212) 310-4879 Interactive Brokers LLC 017 A B D 8 Greenwich Office Park Greenwich, Connecticut 06831 (203) 618-5800 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 60604 (312) 780-6700 Itau BBA USA Securities, Inc. 113 C 767 Fifth Avenue, 50th Floor New York, New York 10153 (212) 710-6797 ITG Inc. 099 C One Liberty Place 165 Broadway, 4th Floor New York, New York 10006 (212) 588-4000 8
J J.J.B. Hilliard, W.L. Lyons, LLC 768 A B D 500 West Jefferson Street Louisville, Kentucky 40202 (502) 588-8400 J.P. Morgan Clearing Corp. 352 A B C F 500 Stanton Christina Boulevard Newark, Delaware 19713 (302) 552-0525 J.P. Morgan Securities LLC 661 D E 10 South Dearborn Street, 5th Floor Chicago, Illinois 60603 (312) 325-6257 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 19103 (215) 665-6000 Jefferies LLC 019 A B C D 101 Hudson Street, 11th Floor Jersey City, New Jersey 07303 (201) 284-2300 Jefferies LLC 072 D E Jump Trading, LLC 036 E 600 West Chicago Avenue, Suite 825 Chicago, Illinois 60656 (312) 205-8900 K KCG Americas LLC 295 A B C F 545 Washington Boulevard Jersey City, New Jersey 07310 (201) 222-9400 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 60605 (312) 663-1307 9
Lek Securities Corporation 512 A B C D 165 Broadway, 52nd Floor New York, New York 10006 (212) 509-2300 Lek Securities Corporation 229 A B D LPL Financial LLC 075 A B D 4707 Executive Drive San Diego, California 92121-1968 (858) 450-9606 M Maple Securities U.S.A. Inc. 269 A B C D 525 Washington Boulevard, Suite 1400 Jersey City, New Jersey 07310 (201) 369-3000 Merrill Lynch, Pierce, Fenner 161 A B C D F & Smith Inc. 200 North College Avenue Charlotte, North Carolina 28255 (980) 388-3304 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 28255 (980) 388-3304 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 10019 (212) 405-7401 10
Mizuho Securities USA Inc. 089 A B C D E 111 River Street, 11th Floor Hoboken, New Jersey 07030 (212) 209-9300 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 10004 (212) 761-4000 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 10004 (212) 761-4000 N NASDAQ Execution Services, LLC 520 A B 165 Broadway, 51st Floor New York, New York 10006 (212) 231-5100 National Financial Services LLC 226 A B C D Newport Office Center 3 499 Washington Boulevard NJ4C Jersey City, New Jersey 07310 (866) 755-6372 Natixis Securities Americas LLC 031 A B C D 1251 Avenue of the Americas 5th Floor New York, New York 10020 (212) 698-3000 NBCN Inc.** 1155 Metcalfe, 19th Floor Montreal, Quebec H3B 5G2 Canada (514) 390-7478 080 A B C D Nomura Securities International, Inc. 180 A B C Worldwide Plaza 309 West 49th Street New York, New York 10019 (212) 667-9000 Nomura Securities International, Inc. 181 D E 11
O Oppenheimer & Co. Inc. 571 A B C D 85 Broad Street, 4th Floor New York, New York 10004 (212) 668-8000 optionsxpress, Inc. 338 A B C D 311 West Monroe Street, Suite 1000 Chicago, Illinois 60606 (312) 630-3300 P Pershing LLC 443 A B C D F 1 Pershing Plaza Jersey City, New Jersey 07399 (201) 413-2000 Phillip Capital Inc. 167 E 141 West Jackson Boulevard Suite 3050 Chicago, Illinois 60604 (312) 356-9000 Piper Jaffray & Co. 311 A B D 800 Nicollet Mall Suite 800 Minneapolis, Minnesota 55402 (800) 333-6000 Q Questrade Inc.** 084 A B 5650 Yonge Street, Suite 1700 Toronto, Ontario M2M 4G3 Canada (416) 227-9876 R R.J. O Brien & Associates, LLC 082 E 222 South Riverside Plaza, Suite 900 Chicago, Illinois 60606 (312) 373-5000 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 33716 (727) 573-3800 12
RBC Capital Markets, LLC** 235 A B C D 155 Wellington Street, 7th Floor Toronto, Ontario M5V 3H1 Canada (416) 864-2000 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) 842-2000 RBS Securities Inc. 425 A B C 550 West Jackson Boulevard Suite 1700 Chicago, Illinois 60661 (312) 664-5060 RBS Securities Inc. 128 E Robert W. Baird & Co. Incorporated 547 A B C D 777 East Wisconsin Avenue Milwaukee, Wisconsin 53202 (414) 765-3500 Rosenthal Collins Group, LLC 801 E 216 West Jackson Boulevard Suite 400 Chicago, Illinois 60606 (312) 460-9200 S Sanford C. Bernstein & Co., LLC 013 A B D One North Lexington Avenue White Plains, New York 10601 (914) 993-2300 Scotia Capital Inc.** 186 A B C D 44 King Street West, 14th Floor Toronto, Ontario M5H 1H1 Canada (416) 863-7411 Scotia Capital (USA) Inc. 212 A B 250 Vesey Street New York, New York 10281 (212) 225-6500 Scottrade, Inc. 705 A B D 500 Maryville University Drive St. Louis, MO 63141 (314) 965-1555 13
SG Americas Securities, LLC 286 A B C D E 480 Washington Boulevard, 21st Floor Jersey City, New Jersey 07310 (212) 278-6000 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 75270-2180 (214) 651-1800 Southwest Securities, Inc. 581 A B C D Stephens Inc. 419 A B D 111 Center Street Little Rock, Arkansas 72201 (501) 377-2000 Stifel, Nicolaus & Company, 793 A B D Incorporated 501 North Broadway St. Louis, Missouri 63102 (314) 342-2000 StockCross Financial Services, Inc. 445 A B C D 77 Summer Street Boston, Massachusetts 02110-1006 (617) 367-5700 T TD Ameritrade Clearing, Inc. 777 A B C D 200 South 108th Avenue Omaha, Nebraska 68154 (402) 331-2744 TD Ameritrade Clearing, Inc. 778 A B TD Securities (USA) LLC 593 C 31 West 52nd Street New York, New York 10019 (212) 827-7000 TD Waterhouse Canada Inc.** 615 A B D 77 Bloor Street West, 10th Floor Toronto Dominion Centre Toronto, Ontario M4Y T21 Canada (416) 413-3055 14
Timber Hill LLC 549 A B C D E 8 Greenwich Office Park Greenwich, Connecticut 06831 (203) 618-5800 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 33324 (954) 652-7000 U UBS Financial Services Inc. 221 A B C D 677 Washington Boulevard Stamford, Connecticut 06901 (203) 719-3000 UBS Securities LLC 642 A B C D 677 Washington Boulevard Stamford, Connecticut 06901 (203) 719-3000 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 19355 (877) 662-7447 Virtu Financial BD LLC 063 C 645 Madison Avenue, 16th Floor New York, New York 10022 (212) 418-0100 Vision Financial Markets, LLC 595 A B C 4 High Ridge Park, Suite 100 Stamford, Connecticut 06905 (203) 388-2700 15
W Wedbush Securities Inc. 103 A B C D P.O. Box 30014 Los Angeles, California 90030 (213) 688-8000 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 63103 (314) 875-8907 Wells Fargo Securities, LLC 640 5th Avenue New York, New York 10019 (704) 410-8203 250 A B C William Blair & Company, L.L.C. 771 A B D 222 West Adams Street Chicago, Illinois 60606 (312) 236-1600 Wolverine Execution Services, LLC 175 W. Jackson Boulevard, Suite 200 Chicago, Illinois 60604 (312) 884-4000 365 A B X X-Change Financial Access, LLC 007 A B 440 South LaSalle Street, Suite 2900 Chicago, Illinois 60605 (312) 235-0320 Z Ziv Investment Company 515 A B D 141 West Jackson Boulevard Suite 2095 Chicago, Illinois 60604 (312) 427-7208 **Indicates Non-U.S. Clearing Member 16
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
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
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
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
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
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
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
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
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
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
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
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
OCC Contacts Accounting: Bethany Riesenberg (312) 322-4986 Banking Relations: Bethany Riesenberg (312) 322-4986 Business Development: Scot E. Warren (312) 322-6214 By-Laws & Rules Book: Jackie Soto (312) 322-2026 Clearing Banks: Bethany Riesenberg (312) 322-4986 Clearing Fund: Tom Pappageorge (312) 322-7518 Compliance: Richard G.Wallace (312) 322-2020 Disclosure Document Orders: Current Issues: Accounts Receivable accountsreceivable@theocc.com Back Issues: Jackie Soto (312) 322-2026 Escrow Banks: Tom Pappageorge (312) 322-7518 Financial Reporting: Nathan Ice (817) 562-3454 Internet Services: Denise Knabjian (312) 322-4307 Investor Services: 1-888-OPTIONS Legal: Joseph Kamnik (312) 322-7570 Letter of Credit Banks: Tom Pappageorge (312) 322-7518 29
Member Services: Help Desk (312) 322-6295 (within Illinois) (800) 621-6072 (outside Illinois) (800) 424-7320 (within Canada) Operations: Sheila Zak (312) 322-1665 Options Industry Council: Mary Savoie (312) 322-6239 Participant Terminal System: Tom Pappageorge (312) 322-7518 Public Relations: David Prosperi (312) 322-4484 Publications: Investor Services 1-888-OPTIONS Risk Systems: David Boyd (312) 322-3827 Statistical Reporting: Jim Johnson (312) 322-6207 30
OCC Offices Executive Offices 1 North Wacker Drive, Suite 500 Chicago, Illinois 60606 Telephone: (312) 322-6200 Chicago Branch 1 North Wacker Drive, Suite 500 Chicago, Illinois 60606 Telephone: (312) 322-6200 Toll Free Numbers Outside Illinois: General Information including Accounting, Financial Surveillance, Legal and Member Services (800) 537-4258 Operations Services Only (800) 544-6091 (outside Illinois) (800) 424-7320 (within Canada) Facsimile Numbers: Accounting (312) 263-3263 Executive Offices (312) 322-2593 Financial Surveillance/ Compliance (312) 322-4442 Legal (312) 322-6280 Member Services (312) 322-6255 Treasury (312) 322-2084 Publications (312) 322-4501 Receptionist Area (312) 322-6215 Keller Branch 6032 Innovation Way Keller, Texas 76244 Telephone: (817) 562-3500 Fax: (817) 562-3674 New York Branch 17 State Street, 6th Floor New York, New York 10004-2302 Telephone: (212) 422-5050 Fax: (212) 422-5072/5074 Washington, D.C. Branch 701 8th St. NW, Suite 630 Washington, D.C. 20001 Telephone: (202) 971-7230 31
OCC Participant Exchanges BATS Exchange, Inc. 8050 Marshall Drive Lenexa, Kansas 66214 Telephone: (913) 815-7000 www.batstrading.com BOX Options Exchange LLC 101 Arch Street, Suite 610 Boston, Massachusetts 02110 Telephone: (866) 768-8845 www.bostonoptions.com C2 Options Exchange Incorporated 400 South LaSalle Street Chicago, Illinois 60605 Telephone: (312) 786-5600 www.c2exchange.com Chicago Board Options Exchange, Incorporated 400 South LaSalle Street Chicago, Illinois 60605 Telephone: (312) 786-5600 www.cboe.com International Securities Exchange, LLC 60 Broad Street, 26th Floor New York, New York 10004 Telephone: (212) 943-2400 www.ise.com ISE Gemini, LLC 60 Broad Street, 26th Floor New York, New York 10004 Telephone: (212) 943-2400 www.ise.com/options/ise-gemini Miami International Securities Exchange, LLC 7 Roszel Road, 5th Floor Princeton, New Jersey 08540 Telephone: (609) 897-7300 www.miaxoptions.com NASDAQ OMX BX, Inc. 100 Franklin Street, Suite 600 Boston, Massachusetts 02110 Telephone: (617) 235-2000 www.nasdaqomx.com NASDAQ OMX PHLX, LLC 1900 Market Street Philadelphia, Pennsylvania 19103 Telephone: (215) 496-5000 www.nasdaqomx.com 32
The NASDAQ Stock Market LLC One Liberty Plaza, 50th Floor New York, New York 10006 Telephone: (212) 401-8700 www.nasdaq.com NYSE Arca, Inc. 100 South Wacker Drive Chicago, Illinois 60606 Telephone: (312) 960-1696 www.nyse.com NYSE MKT LLC 86 Trinity Place New York, New York 10006 Telephone: (212) 306-1000 www.nyse.com 33
Futures Markets CBOE Futures Exchange, LLC 400 South LaSalle Street Chicago, Illinois 60605 Telephone: (312) 786-5600 www.cfe.cboe.com ELX Futures, LP 110 East 59th Street, 2nd Floor New York, New York 10022 Telephone: (212) 294-8056 www.elxfutures.com NASDAQ Futures, Inc. 1900 Market Street Philadelphia, Pennsylvania 19103 Telephone: (215) 496-5000 www.nasdaqtrader.com OneChicago Exchange 141 West Jackson Boulevard Suite 1065 Chicago, Illinois 60604 Telephone: (312) 424-8500 www.onechicago.com Alternative Trading Systems (Securities Lending) Automated Equity Finance Markets, Inc. 529 Fifth Avenue,14th Floor New York, New York 10017 Telephone: (212) 905-5225 www.tradeaqs.com 34
One North Wacker Drive Suite 500 Chicago, Illinois 60606 312.322.6200