eliver securities by the required settlement date and lends securities to other brokers and dealers for similar purposes. The company earns interest on its cash collateral provided and pays interest on the cash collateral received less a rebate earned for lending securities. Subsidiaries Oppenheimer Oppenheimer is a registered broker-dealer in securities under the Securities Exchange Act of 1934 and transacts business on various exchanges, including the New York Stock Exchange, Inc. Oppenheimer engages in a range of activities in the securities industry, including retail securities brokerage, institutional sales and trading, investment banking (both corporate and public finance), underwritings, research, market-making, and investment advisory and asset management services. Oppenheimer provides its services from offices located throughout the United States. OAM OAM is registered as an investment adviser with the U.S. Securities and Exchange Commission (SEC) under the Investment Advisers Act of 1940, as amended. OAM's investment advisory business provides investment advice to clients through separate accounts and wrap fee programs. OPY Credit Corp. The company reached an agreement with Citizens Bank, NA, including its broker-dealer affiliates (Citizens), which was announced in 2012, whereby the company, through OPY Credit Corp., would introduce lending opportunities to Citizens, which Citizens could elect to accept and in which the company would participate in the fees earned from any related commitment by Citizens. The company could also, in certain circumstances, assume a portion of Citizen's syndication and lending risk under such loans, and if it does so it shall be obligated to secure such obligations through a cash deposit determined through risk based formulas. Oppenheimer Trust Oppenheimer Trust offers various trust services to clients of Oppenheimer. This includes custody services, advisory services and specialized servicing options for clients. OMHHF OMHHF engages in the business of originating and servicing FHA-insured multifamily and healthcare facility loans and securitizing these loans into Ginnie Mae mortgage backed securities. OMHHF also offers mortgage services to developers of commercial properties, including apartments, elderly housing and nursing homes that satisfy FHA criteria. OMHHF maintains a mortgage servicing portfolio for which it provides a range of services, including the collection of mortgage payments from mortgagors, which are passed on to the mortgage holders and construction loan management. Regulation Oppenheimer is a member firm of various self-regulatory organizations, such as the Financial Industry Regulatory Authority (FINRA); the Intercontinental Exchange, Inc., known as ICE Futures U.S.; the Commodities Futures Trading Commission; and the National Futures Association. In addition, Oppenheimer has satisfied the requirements of the Municipal Securities Rulemaking Board for effecting customer transactions in municipal securities. Freedom is also a member of FINRA. Oppenheimer Europe Ltd. is regulated by the Financial Conduct Authority in the United Kingdom and the Jersey Financial Services Commission in the Isle of Jersey. Oppenheimer Investments Asia Limited is regulated by the Securities and Futures Commission in Hong Kong. Oppenheimer is also a member of the Securities Industry and Financial Markets Association, a non-profit organization that represents the shared interests of participants in the global financial markets. Oppenheimer and certain of its affiliates are also subject to regulation by the SEC and under certain state laws in connection with its business as an investment adviser. The company has taken various actions, and incurred substantial expenses, since the passage of the legislation to comply with the Sarbanes-Oxley Act, related regulations promulgated by the SEC and other corporate governance requirements of the NYSE. Oppenheimer Trust is a limited purpose trust company organized under the laws of Delaware and is regulated by the Office of the State Banking Commissioner. Margin lending by Oppenheimer is subject to the m
oppenheimer holdings-cl a (OPY:New York)
85 Broad Street
New York, NY 10004
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