SELECTED FCM FINANCIAL DATA AS OF 

Februay 28, 2013

FROM REPORTS FILED BY 

April 5, 2013

1 of 4

1

2

3

4

5

6

7

8

9

10

11

12

13

14

15

16

17

18

19

20

21

22

23

24

25

26

27

28

29

30

31

32

33

34

35

36

37

38

39

40

41

42

43

44

45

46

47

48

49

50

51

52

53

54

55

56

57

58

59

60

A B C D E F G H I J K L M N O

Reg As DSRO A/O Adjusted Net Capital Excess Customers' Customers' Excess/Deficient Funds in Separate Customer Excess/Deficient Total Amount

Date Net Capital Requirement Net Capital Assets Seg Required Funds in Seg Section 30.7 Amount Pt. 30 Funds in Separate of Retail Forex

in Seg 4d(a)(2) Accounts Required Section 30.7 Obligation

Accounts

(a) (b) (c) (d) (e) (f) (g) (h) (i) (j) (k)

1 ABN AMRO CLEARING CHICAGO LLC FCM BD CBOT 2/28/2013 482,737,218 136,336,767 346,400,451 2,729,018,939 2,456,692,258 272,326,681 174,832,425 127,508,479 47,323,946 0

2 ADM INVESTOR SERVICES INC FCM CBOT 2/28/2013 273,687,257 146,727,005 126,960,252 3,144,321,204 2,901,982,592 242,338,612 202,174,704 135,021,880 67,152,824 0

3 ADVANCED MARKETS LLC FCMRFD NFA 2/28/2013 20,177,478 20,000,000 177,478 0 0 0 0 0 0 0

4 ADVANTAGE FUTURES LLC FCM CME 2/28/2013 23,624,197 13,077,685 10,546,512 482,657,369 472,453,720 10,203,649 27,411,377 25,571,576 1,839,801 0

5 ALPARI (US) LLC FCMRFD NFA 2/28/2013 27,533,436 20,157,231 7,376,205 5,967,562 2,745,606 3,221,956 2,468,966 1,557,211 911,755 13,144,619

6 AMERIPRISE FINANCIAL SERVICES INC FCM BD NFA 2/28/2013 122,189,853 1,000,000 121,189,853 0 0 0 0 0 0 0

7 AMP GLOBAL CLEARING LLC FCM NFA 2/28/2013 2,512,756 1,500,000 1,012,756 40,333,077 38,809,550 1,523,527 526,116 372,192 153,924 0

8 BARCLAYS CAPITAL INC FCM BD NYME 2/28/2013 5,638,506,675 1,037,413,094 4,601,093,581 6,851,436,358 6,610,198,589 241,237,769 3,950,937,284 3,762,493,041 188,444,243 0

9 BGC FINANCIAL LP FCM BD NFA 2/28/2013 44,105,434 1,924,191 42,181,243 0 0 0 0 0 0 0

10 BNP PARIBAS PRIME BROKERAGE INC FCM BD NYME 2/28/2013 2,202,926,397 228,094,506 1,974,831,891 2,365,887,214 2,095,770,694 270,116,520 20,824,539 5,205,044 15,619,495 0

11 BNP PARIBAS SECURITIES CORP FCM BD CBOT 2/28/2013 1,853,816,627 121,550,049 1,732,266,578 668,386,135 531,080,769 137,305,366 0 0 0 0

12 BNY MELLON CLEARING LLC FCM CME 2/28/2013 291,289,568 11,182,735 280,106,833 454,662,378 268,655,739 186,006,639 38,897,465 21,054,805 17,842,660 0

13 BOCI COMMODITIES & FUTURES USA LLC FCM NFA 2/28/2013 4,956,125 1,000,000 3,956,125 0 0 0 0 0 0 0

14 CANTOR FITZGERALD & CO FCM BD CBOT 2/28/2013 228,216,093 6,580,583 221,635,510 6,160,409 1,200,522 4,959,887 0 0 0 0

15 CAPITAL MARKET SERVICES LLC FCM NFA 2/28/2013 2,452,535 1,000,000 1,452,535 0 0 0 0 0 0 0

16 CHS HEDGING INC FCM CBOT 2/28/2013 26,909,216 13,958,745 12,950,471 215,629,445 190,744,968 24,884,477 1,271,097 286,490 984,607 0

17 CITADEL SECURITIES LLC FCM BD CME 2/28/2013 400,929,071 1,000,000 399,929,071 0 0 0 0 0 0 0

18 CITIGROUP GLOBAL MARKETS INC FCM BD CBOT 2/28/2013 6,499,654,783 633,715,262 5,865,939,521 7,627,888,876 7,400,760,969 227,127,907 1,150,745,672 931,398,985 219,346,687 0

19 COMMONWEALTH FOREIGN EXCHANGE INC FCM NFA 2/28/2013 1,550,954 1,000,000 550,954 0 0 0 0 0 0 0

20 CREDIT SUISSE SECURITIES (USA) LLC FCM BD CBOT 2/28/2013 8,453,624,218 1,747,700,842 6,705,923,376 7,204,310,852 6,238,576,086 965,734,766 3,107,386,159 2,582,076,314 525,309,845 0

21 CROSSLAND LLC FCM CBOT 2/28/2013 7,485,900 3,418,800 4,067,100 78,335,891 76,053,723 2,282,168 20,136,018 19,612,123 523,895 0

22 CUNNINGHAM COMMODITIES LLC FCM CBOT 2/28/2013 2,855,784 1,428,342 1,427,442 78,895,694 77,897,665 998,029 563,551 459,769 103,782 0

23 CX CAPITAL MARKETS LLC FCM BD NFA 2/28/2013 2,946,797 1,114,651 1,832,146 38,308,093 36,294,871 2,013,222 0 0 0 0

24 DAIWA CAPITAL MARKETS AMERICA INC FCM BD CME 2/28/2013 312,298,321 5,625,776 306,672,545 8,157,622 3,509,321 4,648,301 1,025,585 0 1,025,585 0

25 DEUTSCHE BANK SECURITIES INC FCM BD CBOT 2/28/2013 8,402,167,674 687,121,249 7,715,046,425 15,612,494,061 14,991,516,454 620,977,607 1,250,814,829 1,006,236,082 244,578,747 0

26 DORMAN TRADING LLC FCM CME 2/28/2013 9,970,256 1,698,592 8,271,664 138,005,584 135,041,693 2,963,891 2,601,272 2,220,449 380,823 0

27 E D & F MAN CAPITAL MARKETS INC FCM BD CME 2/28/2013 14,423,928 2,163,742 12,260,186 39,943,311 33,963,201 5,980,110 663,506 64,703 598,803 0

28 E TRADE CLEARING LLC FCM BD NFA 2/28/2013 658,308,790 126,964,682 531,344,108 0 0 0 0 0 0 0

29 EAGLE MARKET MAKERS INC FCM CBOT 2/28/2013 5,456,908 1,000,000 4,456,908 0 0 0 0 0 0 0

30 ENSKILDA FUTURES LTD FCM CME 2/28/2013 36,469,960 14,564,441 21,905,519 215,143,886 205,849,428 9,294,458 0 0 0 0

31 FCSTONE LLC FCM CME 2/28/2013 106,806,481 67,086,667 39,719,814 1,474,132,034 1,451,217,243 22,914,791 83,397,280 73,030,327 10,366,953 0

32 FOREX CAPITAL MARKETS LLC FCMRFD NFA 2/28/2013 48,635,314 26,463,822 22,171,492 0 0 0 0 0 0 139,276,439

33 FRIEDBERG MERCANTILE GROUP INC FCM NFA 2/28/2013 3,507,607 1,000,000 2,507,607 7,977,973 7,436,782 541,191 1,283,022 1,224,112 58,910 0

34 FRONTIER FUTURES INC FCM NFA 2/28/2013 1,946,077 1,000,000 946,077 29,679,277 28,992,964 686,313 0 0 0 0

35 FX SOLUTIONS LLC FCMRFD NFA 2/28/2013 25,014,342 20,164,738 4,849,604 0 0 0 0 0 0 13,294,768

36 FXDIRECTDEALER LLC FCMRFD NFA 2/28/2013 24,891,262 20,907,054 3,984,208 0 0 0 0 0 0 28,141,088

37 GAIN CAPITAL GROUP LLC FCMRFD NFA 2/28/2013 33,266,644 24,685,064 8,581,580 125,212,899 120,568,538 4,644,361 3,257,909 2,563,064 694,845 103,701,272

38 GH FINANCIALS LLC FCM CME 2/28/2013 8,571,536 1,000,000 7,571,536 1,055,593 601,259 454,334 0 0 0 0

39 GLOBAL FUTURES & FOREX LTD FCMRFD NFA 2/28/2013 4,199,290 20,000,000 (15,800,710) 0 0 0 0 0 0 0

40 GOLDMAN SACHS & CO FCM BD CBOT 2/28/2013 15,104,292,682 1,848,359,829 13,255,932,853 19,540,858,208 19,048,246,203 492,612,005 8,892,394,698 8,381,536,252 510,858,446 0

41 GOLDMAN SACHS EXECUTION & CLEARING LP FCM BD CME 2/28/2013 2,039,258,892 109,838,776 1,929,420,116 1,386,869,005 809,422,282 577,446,723 74,422,298 28,018,145 46,404,153 0

42 GUGGENHEIM SECURITIES LLC FCM BD NFA 2/28/2013 59,089,628 1,252,147 57,837,481 0 0 0 0 0 0 0

43 HSBC SECURITIES USA INC FCM BD CME 2/28/2013 1,018,272,818 111,030,042 907,242,776 912,549,090 842,260,604 70,288,486 95,101,613 69,739,013 25,362,600 0

44 IBFX INC RFED NFA 2/28/2013 28,536,063 23,188,243 5,347,820 0 0 0 0 0 0 73,764,855

45 INSTINET LLC FCM BD NFA 2/28/2013 86,972,806 2,284,328 84,688,478 0 0 0 0 0 0 0

46 INSTITUTIONAL LIQUIDITY LLC FCMRFD NFA 2/28/2013 34,307,112 20,176,605 14,130,507 0 0 0 0 0 0 13,532,093

47 INTERACTIVE BROKERS LLC FCM BD NFA 2/28/2013 1,668,535,129 253,179,612 1,415,355,517 2,149,274,091 1,945,344,700 203,929,391 680,163,770 555,956,485 124,207,285 37,079,590

48 IRONBEAM INC FCM NFA 2/28/2013 2,582,351 1,280,036 1,302,315 50,515,751 49,112,447 1,403,304 110,142 2,602 107,540 0

49 ITG DERIVATIVES LLC FCM BD NFA 2/28/2013 4,622,504 1,000,000 3,622,504 0 0 0 0 0 0 0

50 JEFFERIES BACHE LLC FCM CBOT 2/28/2013 243,861,000 158,450,800 85,410,200 2,583,925,000 2,484,650,000 99,275,000 203,206,000 131,346,000 71,860,000 0

51 JP MORGAN CLEARING CORP FCM BD NFA 2/28/2013 6,577,480,128 1,770,975,217 4,806,504,911 970,045,977 692,546,976 277,499,001 556,026,563 359,724,708 196,301,855 0

52 JP MORGAN SECURITIES LLC FCM BD CEI 2/28/2013 13,063,109,297 1,543,693,045 11,519,416,252 18,855,206,817 16,845,821,330 2,009,385,487 3,563,516,684 3,230,876,720 332,639,964 0

53 KNIGHT CAPITAL AMERICAS LLC FCM BD CME 2/28/2013 239,973,971 21,047,954 218,926,017 449,599,974 432,827,200 16,772,774 14,456,540 10,488,227 3,968,313 30,959,080

54 LEK SECURITIES CORPORATION FCM BD NFA 2/28/2013 10,579,158 1,500,000 9,079,158 7,368,043 5,962,635 1,405,408 0 0 0 0

Futures Commission Merchant / Retail Foreign Exchange 

Dealer
SELECTED FCM FINANCIAL DATA AS OF 

Februay 28, 2013

FROM REPORTS FILED BY 

April 5, 2013

2 of 4

1

2

3

4

5

6

A B C D E F G H I J K L M N O

Reg As DSRO A/O Adjusted Net Capital Excess Customers' Customers' Excess/Deficient Funds in Separate Customer Excess/Deficient Total Amount

Date Net Capital Requirement Net Capital Assets Seg Required Funds in Seg Section 30.7 Amount Pt. 30 Funds in Separate of Retail Forex

in Seg 4d(a)(2) Accounts Required Section 30.7 Obligation

Accounts

(a) (b) (c) (d) (e) (f) (g) (h) (i) (j) (k)

Futures Commission Merchant / Retail Foreign Exchange 

Dealer

61

62

63

64

65

66

67

68

69

70

71

72

73

74

75

76

77

78

79

80

81

82

83

84

85

86

87

88

89

90

91

92

93

94

95

96

97

98

99

100

101

102

103

104

105

106

107

108

109

110

111

112

113

114

115

55 LINN GROUP THE FCM NFA 2/28/2013 3,309,495 1,944,998 1,364,497 80,992,980 77,416,086 3,576,894 347,802 184 347,618 0

56 LPL FINANCIAL LLC FCM BD NFA 2/28/2013 136,880,355 7,332,754 129,547,601 0 0 0 0 0 0 0

57 MACQUARIE FUTURES USA LLC FCM CBOT 2/28/2013 121,223,571 85,052,160 36,171,411 1,253,847,935 1,125,103,922 128,744,013 36,291,939 29,828,354 6,463,585 0

58 MAREX NORTH AMERICA LLC FCM CME 2/28/2013 8,862,324 6,434,478 2,427,846 83,826,590 78,728,617 5,097,973 5,365,619 4,654,757 710,862 0

59 MAREX USA LIMITED FCM NFA 2/28/2013 2,470,958 1,000,000 1,470,958 0 0 0 0 0 0 0

60 MB TRADING FUTURES INC FCMRFD NFA 2/28/2013 23,246,183 21,440,815 1,805,368 0 0 0 0 0 0 38,816,309

61 MCVEAN TRADING & INVESTMENTS LLC FCM NFA 2/28/2013 13,363,997 4,284,275 9,079,722 922,310,539 900,970,973 21,339,566 2,650,556 0 2,650,556 0

62 MERRILL LYNCH PIERCE FENNER & SMITH FCM BD CBOT 2/28/2013 11,224,933,418 745,582,659 10,479,350,759 8,082,284,641 7,586,658,402 495,626,239 2,657,068,047 2,245,512,350 411,555,697 0

63 MERRILL LYNCH PROFESSIONAL CLEARING CORP FCM BD NFA 2/28/2013 1,483,545,076 200,898,005 1,282,647,071 1,756,630,709 1,087,548,678 669,082,031 28,858,776 889,460 27,969,316 0

64 MID CO COMMODITIES INC FCM NFA 2/28/2013 9,683,133 4,717,193 4,965,940 38,273,181 29,256,177 9,017,004 682,870 110,378 572,492 0

65 MITSUBISHI UFJ SECURITIES USA INC FCM BD NFA 2/28/2013 232,719,754 1,024,166 231,695,588 0 0 0 0 0 0 0

66 MITSUI BUSSAN COMMODITIES USA INC FCM NFA 2/28/2013 3,246,345 1,000,000 2,246,345 0 0 0 0 0 0 0

67 MIZUHO SECURITIES USA INC FCM BD CME 2/28/2013 454,693,896 178,687,107 276,006,789 2,039,384,621 1,840,943,001 198,441,620 465,143,297 361,549,758 103,593,539 0

68 MORGAN KEEGAN & COMPANY INC FCM BD NFA 2/28/2013 235,940,879 1,500,000 234,440,879 0 0 0 0 0 0 0

69 MORGAN STANLEY & CO LLC FCM BD CME 2/28/2013 8,485,469,319 1,465,560,237 7,019,909,082 7,786,486,351 7,578,719,235 207,767,116 1,966,135,093 1,760,390,390 205,744,703 0

70 MORGAN STANLEY SMITH BARNEY LLC FCM BD NFA 2/28/2013 2,842,994,843 130,595,801 2,712,399,042 705,601,438 641,878,871 63,722,567 76,412,747 69,549,596 6,863,151 0

71 NATIXIS SECURITIES AMERICAS LLC FCM BD NFA 2/28/2013 379,389,785 1,546,657 377,843,128 0 0 0 0 0 0 0

72 NEUBERGER BERMAN LLC FCM BD NFA 2/28/2013 68,139,100 1,500,000 66,639,100 0 0 0 0 0 0 0

73 NEWEDGE USA LLC FCM BD NYME 2/28/2013 1,968,093,067 1,016,128,487 951,964,580 14,922,357,082 14,322,205,924 600,151,158 4,016,066,746 3,546,873,884 469,192,862 0

74 NOMURA SECURITIES INTERNATIONAL INC FCM BD CBOT 2/28/2013 2,409,843,944 27,314,918 2,382,529,026 59,974,018 39,323,234 20,650,784 26,475,875 20,839,631 5,636,244 0

75 OANDA CORPORATION FCMRFD NFA 2/28/2013 144,761,575 26,889,674 117,871,901 0 0 0 0 0 0 147,793,471

76 OMAHA CAPITAL GROUP LLC FCM NFA 2/28/2013 1,068,727 1,000,000 68,727 0 0 0 0 0 0 0

77 OPPENHEIMER & CO INC FCM BD NFA 2/28/2013 147,951,381 23,939,036 124,012,345 45,119,107 32,992,544 12,126,563 0 0 0 0

78 OPTIONSXPRESS INC FCM BD NFA 2/28/2013 91,008,048 5,996,420 85,011,628 109,957,830 87,955,600 22,002,230 4,735,293 2,199,052 2,536,241 0

79 PHILLIP FUTURES INC FCM CME 2/28/2013 27,350,066 20,000,000 7,350,066 212,344,803 187,162,837 25,181,966 810,019 426,548 383,471 0

80 PIONEER FUTURES INC FCM NFA 2/28/2013 1,750,930 1,000,000 750,930 3,452,592 3,252,768 199,824 50,000 0 50,000 0

81 RAND FINANCIAL SERVICES INC FCM CME 2/28/2013 77,405,129 19,529,226 57,875,903 384,688,400 343,809,600 40,878,800 37,828,600 15,813,700 22,014,900 0

82 RAYMOND JAMES & ASSOCIATES INC FCM BD NFA 2/28/2013 344,727,005 36,486,852 308,240,153 0 0 0 0 0 0 0

83 RBC CAPITAL MARKETS LLC FCM BD CME 2/28/2013 1,462,691,283 111,359,264 1,351,332,019 913,401,330 855,503,693 57,897,637 138,490,227 102,099,348 36,390,879 0

84 RBS SECURITIES INC FCM BD CBOT 2/28/2013 4,109,747,671 144,120,784 3,965,626,887 1,632,810,501 1,488,566,207 144,244,294 153,342,758 35,322,857 118,019,901 0

85 RJ OBRIEN ASSOCIATES LLC FCM CME 2/28/2013 214,842,725 134,490,101 80,352,624 4,034,939,775 3,917,130,464 117,809,311 190,330,793 165,845,705 24,485,088 1,619,725

86 ROSENTHAL COLLINS GROUP LLC FCM CME 2/28/2013 74,741,409 54,062,362 20,679,047 1,471,711,706 1,450,439,478 21,272,228 47,258,355 36,666,460 10,591,895 0

87 SANFORD C BERNSTEIN & CO LLC FCM BD NFA 2/28/2013 141,534,279 17,456,694 124,077,585 0 0 0 0 0 0 0

88 SANTANDER INVESTMENT SECURITIES INC FCM BD NYME 2/28/2013 254,448,777 8,417,628 246,031,149 614,644,159 612,338,615 2,305,544 0 0 0 0

89 STATE STREET GLOBAL MARKETS LLC FCM BD CME 2/28/2013 499,429,607 7,901,179 491,528,428 263,062,312 107,795,723 155,266,589 47,635,117 8,371,584 39,263,533 0

90 STEPHENS INC FCM BD NFA 2/28/2013 104,941,570 11,905,691 93,035,879 0 0 0 0 0 0 0

91 STRAITS FINANCIAL LLC FCM CME 2/28/2013 9,424,197 2,621,027 6,803,170 93,627,885 89,219,575 4,408,310 21,035,030 19,248,412 1,786,618 0

92 TD AMERITRADE INC FCM BD NFA 2/28/2013 216,409,576 7,977,657 208,431,919 161,928,707 98,316,652 63,612,055 0 0 0 0

93 TIMBER HILL LLC FCM BD CME 2/28/2013 356,922,764 49,985,673 306,937,091 665,056,001 662,530,497 2,525,504 0 0 0 0

94 TRADELINK LLC FCM BD CBOT 2/28/2013 14,354,161 1,000,000 13,354,161 0 0 0 0 0 0 0

95 TRADESTATION SECURITIES INC FCM BD NFA 2/28/2013 46,292,952 3,023,598 43,269,354 402,565,389 392,599,472 9,965,917 15,365,576 14,330,978 1,034,598 0

96 TULLETT PREBON FINANCIAL SERVICES LLC FCM BD NFA 2/28/2013 24,963,605 1,000,000 23,963,605 0 0 0 0 0 0 0

97 UBS FINANCIAL SERVICES INC FCM BD NFA 2/28/2013 1,117,587,113 104,173,059 1,013,414,054 129,643,188 104,095,449 25,547,739 25,467,521 1,061,562 24,405,959 0

98 UBS SECURITIES LLC FCM BD CBOT 2/28/2013 11,333,464,715 942,212,128 10,391,252,587 9,448,298,709 8,787,477,018 660,821,691 4,124,512,307 3,714,347,229 410,165,078 0

99 VELOCITY FUTURES LLC FCM NFA 2/28/2013 1,351,662 1,000,000 351,662 65,354,729 64,564,436 790,293 2,080,445 1,364,054 716,391 0

100 VISION FINANCIAL MARKETS LLC FCM BD CME 2/28/2013 29,723,946 16,192,482 13,531,464 644,437,630 627,607,486 16,830,144 12,671,442 9,684,242 2,987,200 0

101 WELLS FARGO ADVISORS FINANCIAL NETWORK LLC FCM BD NFA 2/28/2013 40,162,297 1,000,000 39,162,297 0 0 0 0 0 0 0

102 WELLS FARGO ADVISORS LLC FCM BD NFA 2/28/2013 1,354,981,914 1,500,000 1,353,481,914 0 0 0 0 0 0 0

103 WELLS FARGO SECURITIES LLC FCM BD CME 2/28/2013 1,948,685,140 23,098,666 1,925,586,474 0 0 0 0 0 0 0

104 WHITE COMMERCIAL CORPORATION FCM NFA 2/28/2013 2,391,710 1,000,000 1,391,710 0 0 0 0 0 0 0

105 XCHANGE FINANCIAL ACCESS LLC FCM BD NFA 2/28/2013 2,992,919 1,000,000 1,992,919 0 0 0 0 0 0 0

106 XPRESSTRADE LLC RFED NFA 2/28/2013 22,865,192 20,000,000 2,865,192 0 0 0 0 0 0 504,129

107 YORK BUSINESS ASSOCIATES LLC FCM NFA 2/28/2013 3,544,056 1,000,000 2,544,056 61,842,789 59,828,120 2,014,669 2,327,959 1,845,021 482,938 0
SELECTED FCM FINANCIAL DATA AS OF 

Februay 28, 2013

FROM REPORTS FILED BY 

April 5, 2013

3 of 4

1

2

3

4

5

6

A B C D E F G H I J K L M N O

Reg As DSRO A/O Adjusted Net Capital Excess Customers' Customers' Excess/Deficient Funds in Separate Customer Excess/Deficient Total Amount

Date Net Capital Requirement Net Capital Assets Seg Required Funds in Seg Section 30.7 Amount Pt. 30 Funds in Separate of Retail Forex

in Seg 4d(a)(2) Accounts Required Section 30.7 Obligation

Accounts

(a) (b) (c) (d) (e) (f) (g) (h) (i) (j) (k)

Futures Commission Merchant / Retail Foreign Exchange 

Dealer

116

117

118

119

120

121

122

123

124

125

126

127

128

129

130

131

132

133

134

Totals 155,641,071,319 144,816,748,935 10,824,322,384 38,226,057,893 33,634,470,292 4,591,587,601 641,627,438

January Web Page Update 109

Additions 2

E TRADE CLEARING LLC

XCHANGE FINANCIAL ACCESS LLC

Deletions 4

EASY FOREX US LTD

INTEGRATED BROKERAGE SERVICES LLC

LIQUID FUTURES LLC

TRADITION SECURITIES AND FUTURES INC

Name Changes

None

February Web Page Update 107
SELECTED FCM FINANCIAL DATA AS OF 

Februay 28, 2013

FROM REPORTS FILED BY 

April 5, 2013

4 of 4

1

2

3

4

5

6

A B C D E F G H I J K L M N O

Reg As DSRO A/O Adjusted Net Capital Excess Customers' Customers' Excess/Deficient Funds in Separate Customer Excess/Deficient Total Amount

Date Net Capital Requirement Net Capital Assets Seg Required Funds in Seg Section 30.7 Amount Pt. 30 Funds in Separate of Retail Forex

in Seg 4d(a)(2) Accounts Required Section 30.7 Obligation

Accounts

(a) (b) (c) (d) (e) (f) (g) (h) (i) (j) (k)

Futures Commission Merchant / Retail Foreign Exchange 

Dealer

135

136

137

138

139

140

141

142

143

144

145

146

147

148

149

150

151

152

153

154

155

156

157

158

159

160

161

162

163

164

165

(a): FCM: Futures Commission Merchant that is registered with the Commodity Futures Trading Commission;

 BD: The FCM is also registered with the Securities and Exchange Commission as a securities broker or dealer;

 RFED: Retail Foreign Exchange Dealer that is registered with the Commodity Futures Trading Commission;

 FCMRFD: The FCM is also registered with the Commodity Futures Trading Commission as a Retail Foreign Exchange Dealer.

(b): DSRO: Designated Self-Regulatory Organization. 

(c): A firm's net capital requirement is the greater of: 

•  FCM minimum dollar amount ($1,000,000); or

•  risk based capital requirement, the sum of 8% of total customer risk maintenance margin and 8% of total non-customer risk maintenance margin; or 

•  the amount of capital required by a registered futures association (currently NFA is the only such association); or

•  for securities brokers and dealers, the amount of net capital required by Rule 15c3-1(a) of the Securities and Exchange Commission; or  

•  minimum dollar amount for FCM’s offering or engaged in retail forex transactions and RFEDs ($20,000,000); or

•  minimum dollar amount for FCM’s offering or engaged in retail forex transactions and RFEDs ($20,000,000) plus five percent of the FCM’s or RFED’s total retail forex obligation in excess of $10,000,000.

(d): Excess net capital is adjusted net capital, less the firm's net capital requirement.

(e): This represents the total amount of money, securities, and property held in segregated accounts for futures and options customers in compliance with Section 4d of the Commodity Exchange Act.

(f): This represents the total amount of funds that an FCM is required to segregate on behalf of customers who are trading on a designated contract market or derivatives transaction execution facility. This is the sum of all 

accounts that contain a net liquidating equity.

(k): This represents the total amount of funds at an FCM, RFED, or FCMRFD that would be obtained by combining all money, securities and property deposited by a retail forex customer into a retail forex account or accounts, 

adjusted for the realized and unrealized net profit or loss.

(g): Excess/Deficient funds in segregation is customer assets in segregation, less the customer segregation requirement.

(h): This represents the total amount of money, securities, and property held in secured accounts for futures and options customers who trade on commodity exchanges located outside the United States in compliance with 

Part 30 of the Commodity Exchange Act.

(i): This represents the amount of funds an FCM is required to set aside for customers who trade on commodity exchanges located outside of the United States. 

(j): Excess/Deficient funds in separate Section 30.7 accounts is funds in separate Section 30.7 accounts, less the customer amount Part 30 requirement.