Catherine M. Casey

American Stock Exchange LLC operates as stock and securities exchange. It offers trading of equities, options, exchange traded funds (ETFs) and structured products. The exchange provides a floor-based auction market that focuses in stocks, bonds and exchange-traded funds (ETFs). AMEX lists primarily small and midsized companies and newer issues. It also has a growing business in listing structured products and closed-end funds. The company was founded in 1842 and is headquartered in New York, NY.

Founded in 1939, Pershing LLC is a broker/dealer headquartered in Jersey City, New Jersey. The firm is a subsidiary of the Bank of New York Mellon Corp. (NYSE: BK). The firm helps financial services firms and advisors succeed by providing the technology, operational, trading, investment and practice management solutions they need to serve investors. Pershing offers securities processing, trading and operations management, investment technology, asset-gathering solutions and practice management support. The firm serves a wide range of financial organizations including: banks, discount brokerages, full-service brokerages, registered investment advisors, independent contractors, institutional firms, global firms and small- to mid-sized firms. Pershing also offers financial products including annuities, mutual funds and money funds, as well as business tools, cash management services, investor and lending services, retirement products and wealth management. In addition, they offer trading and execution services in listed and OTC securities, fixed-income securities and mutual funds.