SELECTED FCM FINANCIAL DATA AS OF 

March 31, 2014

FROM REPORTS FILED BY 

May 01, 2014

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A B C D E F G H I J K L M N O P Q R S T U

(a) (b) (c) (d) (e) (f) (g) (h) (i) (j) (k) (l) (m) (n) (o) (p) (q)

1 ABN AMRO CLEARING CHICAGO LLC FCM BD CBOT 3/31/2014 493,915,910 132,808,342 361,107,568 2,590,908,549 2,349,766,712 241,141,837 113,599,399 192,934,716 149,168,150 43,766,566 22,375,222 0 0 0 0 0

2 ADM INVESTOR SERVICES INC FCM CBOT 3/31/2014 284,807,244 180,636,136 104,171,108 3,404,513,830 3,154,696,910 249,816,920 120,000,000 232,222,874 168,519,262 63,703,612 20,000,000 15,340,891 5,331,927 10,008,964 8,000,000 0

3 ADVANTAGE FUTURES LLC FCM CME 3/31/2014 22,770,679 10,859,743 11,910,936 406,143,287 392,623,062 13,520,225 3,500,000 47,539,637 45,039,261 2,500,376 1,000,000 0 0 0 0 0

4 ALPARI (US) LLC FCM NFA 3/31/2014 3,657,586 1,000,000 2,657,586 0 0 0 0 0 0 0 0 0 0 0 0 32,249

5 AMERIPRISE FINANCIAL SERVICES INC FCM BD NFA 3/31/2014 164,474,857 1,000,000 163,474,857 0 0 0 0 0 0 0 0 0 0 0 0 0

6 AMP GLOBAL CLEARING LLC FCM NFA 3/31/2014 2,507,060 1,500,000 1,007,060 55,506,831 53,955,411 1,551,420 900,000 1,048,062 445,198 602,864 150,000 0 0 0 0 0

7 BARCLAYS CAPITAL INC FCM BD NYME 3/31/2014 6,758,550,387 1,381,346,411 5,377,203,976 6,983,281,218 6,333,355,998 649,925,220 215,334,104 4,231,964,712 4,018,978,924 212,985,788 144,683,324 6,054,946,654 5,092,979,386 961,967,268 468,554,103 0

8 BGC FINANCIAL LP FCM BD NFA 3/31/2014 58,682,470 2,367,545 56,314,925 0 0 0 0 0 0 0 0 0 0 0 0 0

9 BNP PARIBAS PRIME BROKERAGE INC FCM BD NYME 3/31/2014 3,320,001,763 259,929,755 3,060,072,008 3,639,984,543 3,269,679,148 370,305,395 326,967,915 20,982,555 2,520,003 18,462,552 10,000,000 5,100,000 0 5,100,000 5,000,000 0

10 BNP PARIBAS SECURITIES CORP FCM BD CBOT 3/31/2014 1,696,822,476 198,126,480 1,498,695,996 1,259,602,428 1,019,413,438 240,188,990 203,882,688 33,349,126 10,044,852 23,304,274 1,004,485 228,625,126 168,257,222 60,367,904 16,825,722 0

11 BOCI COMMODITIES & FUTURES USA LLC FCM NFA 3/31/2014 4,044,586 1,000,000 3,044,586 0 0 0 0 0 0 0 0 0 0 0 0 0

12 CANTOR FITZGERALD & CO FCM BD CBOT 3/31/2014 314,331,440 9,316,913 305,014,527 4,969,921 0 4,969,921 3,000,000 0 0 0 0 0 0 0 0 0

13 CAPITAL MARKET SERVICES LLC FCM NFA 3/31/2014 1,358,780 1,000,000 358,780 0 0 0 0 0 0 0 0 0 0 0 0 0

14 CHS HEDGING INC FCM CBOT 3/31/2014 22,817,241 16,359,978 6,457,263 169,443,141 144,553,772 24,889,369 13,100,000 953,839 233,201 720,638 235,000 1,338,712 697,791 640,921 310,000 0

15 CITIGROUP GLOBAL MARKETS INC FCM BD SD CBOT/NFA 3/31/2014 5,741,894,637 929,564,976 4,812,329,661 5,314,224,357 5,071,411,051 242,813,306 242,000,000 1,089,299,097 897,709,858 191,589,239 180,000,000 4,786,121,178 4,472,529,168 313,592,010 272,889,800 0

16 CREDIT SUISSE SECURITIES (USA) LLC FCM BD CBOT 3/31/2014 8,011,241,341 2,186,374,500 5,824,866,841 9,305,515,680 7,875,051,376 1,430,464,304 393,752,569 3,565,050,685 2,807,512,197 757,538,488 140,375,610 7,063,607,400 5,110,803,697 1,952,803,703 255,540,185 0

17 CROSSLAND LLC FCM CBOT 3/31/2014 9,862,268 1,609,168 8,253,100 81,616,916 79,826,662 1,790,254 1,000,000 6,757,132 5,764,781 992,351 500,000 0 0 0 0 0

18 CUNNINGHAM COMMODITIES LLC FCM CBOT 3/31/2014 4,512,161 1,265,263 3,246,898 68,399,951 65,373,069 3,026,882 2,050,000 566,469 352,568 213,901 100,000 0 0 0 0 0

19 DAIWA CAPITAL MARKETS AMERICA INC FCM BD CME 3/31/2014 557,326,538 9,384,678 547,941,860 9,473,884 3,993,749 5,480,135 3,993,749 628,328 0 628,328 1 0 0 0 0 0

20 DEUTSCHE BANK SECURITIES INC FCM BD CBOT 3/31/2014 8,400,590,364 692,720,673 7,707,869,691 13,953,910,719 13,417,132,764 536,777,955 500,000,000 1,279,919,636 983,028,230 296,891,406 200,000,000 1,533,551,843 1,219,619,536 313,932,307 250,000,000 0

21 DORMAN TRADING LLC FCM CME 3/31/2014 11,790,658 1,637,611 10,153,047 140,374,552 136,755,472 3,619,080 2,000,000 3,086,229 2,713,145 373,084 200,000 0 0 0 0 0

22 E D & F MAN CAPITAL MARKETS INC FCM BD CME 3/31/2014 32,739,311 10,715,598 22,023,713 275,159,234 259,587,956 15,571,278 2,000,000 7,757,970 6,077,464 1,680,506 303,873 0 0 0 0 0

23 E TRADE CLEARING LLC FCM BD NFA 3/31/2014 726,231,153 160,065,844 566,165,309 49,585,248 37,974,838 11,610,410 10,000,000 1,813,279 805,480 1,007,799 1,000,000 0 0 0 0 0

24 EFL FUTURES LIMITED FCM CME 3/31/2014 38,519,430 17,399,073 21,120,357 254,595,445 241,659,649 12,935,796 5,000,000 0 0 0 0 0 0 0 0 0

25 FCSTONE LLC FCM CME 3/31/2014 125,610,618 86,518,542 39,092,076 1,864,800,077 1,838,182,885 26,617,192 20,000,000 64,863,029 48,130,435 16,732,594 14,000,000 0 0 0 0 0

26 FIXI AMERICAS LLC FCM NFA 3/31/2014 1,525,948 1,000,000 525,948 0 0 0 0 0 0 0 0 0 0 0 0 0

27 FOREX CAPITAL MARKETS LLC FCMRFD SD NFA 3/31/2014 65,387,135 27,722,022 37,665,113 0 0 0 0 0 0 0 0 0 0 0 0 164,440,447

28 FRIEDBERG MERCANTILE GROUP INC FCM NFA 3/31/2014 3,083,761 1,000,000 2,083,761 3,576,877 2,519,369 1,057,508 1,000,000 1,109,759 90,839 1,018,920 1,000,000 0 0 0 0 0

29 FRONTIER FUTURES INC FCM NFA 3/31/2014 1,795,587 1,000,000 795,587 24,442,612 23,375,042 1,067,570 311,275 0 0 0 0 0 0 0 0 0

30 FXDIRECTDEALER LLC FCMRFD SD NFA 3/31/2014 21,632,789 20,854,997 777,792 0 0 0 0 0 0 0 0 0 0 0 0 27,099,950

31 GAIN CAPITAL GROUP LLC FCMRFD NFA 3/31/2014 35,407,238 24,700,743 10,706,495 165,424,189 157,539,011 7,885,178 2,500,000 7,821,971 6,407,901 1,414,070 312,500 0 0 0 0 104,014,868

32 GH FINANCIALS LLC FCM CME 3/31/2014 10,154,580 1,000,000 9,154,580 14,357,585 12,687,399 1,670,186 575,000 850,033 588,335 261,698 75,000 0 0 0 0 0

33 GLOBAL FUTURES & FOREX LTD FCMRFD SD NFA 3/31/2014 6,996,486 1,000,000 5,996,486 0 0 0 0 0 0 0 0 0 0 0 0 0

34 GOLDMAN SACHS & CO FCM BD SD CBOT/NFA 3/31/2014 17,423,440,098 2,224,356,280 15,199,083,818 21,315,167,042 20,760,070,476 555,096,566 475,000,000 9,359,606,371 8,747,389,238 612,217,133 475,000,000 2,603,635,046 2,311,350,437 292,284,609 150,000,000 0

35 GOLDMAN SACHS EXECUTION & CLEARING LP FCM BD CME 3/31/2014 1,658,476,939 122,563,239 1,535,913,700 1,332,001,272 739,308,918 592,692,354 540,000,000 68,236,732 21,560,302 46,676,430 40,000,000 0 0 0 0 0

36 GUGGENHEIM SECURITIES LLC FCM BD NFA 3/31/2014 68,775,122 1,550,662 67,224,460 0 0 0 0 0 0 0 0 0 0 0 0 0

37 HSBC SECURITIES USA INC FCM BD CME 3/31/2014 988,168,809 151,400,555 836,768,254 1,168,657,669 1,076,370,275 92,287,394 50,000,000 153,279,597 97,317,785 55,961,812 19,463,557 313,859,812 257,585,126 56,274,686 30,000,000 0

38 IBFX INC RFED SD NFA 3/31/2014 28,068,418 23,064,453 5,003,965 0 0 0 0 0 0 0 0 0 0 0 0 68,161,797

39 INSTITUTIONAL LIQUIDITY LLC FCMRFD NFA 3/31/2014 33,436,064 20,000,000 13,436,064 47,181,838 45,920,368 1,261,470 500,000 713,203 252,527 460,676 250,000 0 0 0 0 8,248,733

40 INTERACTIVE BROKERS LLC FCM BD NFA 3/31/2014 2,085,722,456 313,094,969 1,772,627,487 2,295,777,245 2,092,092,210 203,685,035 150,000,000 408,164,514 306,728,848 101,435,666 80,000,000 0 0 0 0 40,012,327

41 IRONBEAM INC FCM NFA 3/31/2014 2,311,465 1,000,000 1,311,465 33,816,107 32,463,209 1,352,898 800,000 111,513 4,063 107,450 50,000 0 0 0 0 0

42 ITG DERIVATIVES LLC FCM BD NFA 3/31/2014 4,236,699 1,000,000 3,236,699 0 0 0 0 0 0 0 0 0 0 0 0 0

43 JEFFERIES BACHE LLC FCM CBOT 3/31/2014 208,259,000 132,525,760 75,733,240 2,300,177,000 2,193,813,000 106,364,000 90,000,000 221,333,000 154,404,000 66,929,000 50,000,000 49,575,000 29,147,000 20,428,000 5,000,000 0

44 JP MORGAN CLEARING CORP FCM BD NFA 3/31/2014 7,376,738,587 1,920,800,137 5,455,938,450 935,312,593 616,782,215 318,530,378 55,510,399 550,236,787 337,243,716 212,993,071 30,351,935 250,000 0 250,000 1 0

45 JP MORGAN SECURITIES LLC FCM BD SD CEI/NFA 3/31/2014 12,425,282,785 2,273,961,623 10,151,321,162 19,986,839,325 17,888,560,527 2,098,278,798 1,609,970,447 3,562,691,872 3,159,995,302 402,696,570 284,399,577 3,881,312,273 3,324,750,392 556,561,881 299,227,535 0

46 KCG AMERICAS LLC FCM BD CME 3/31/2014 406,544,282 24,749,245 381,795,037 544,999,085 527,575,129 17,423,956 15,000,000 10,796,577 7,155,401 3,641,176 2,500,000 0 0 0 0 35,172,444

47 LEK SECURITIES CORPORATION FCM BD NFA 3/31/2014 9,611,835 1,500,000 8,111,835 1,750,283 618,541 1,131,742 500,000 0 0 0 0 0 0 0 0 0

48 LINN GROUP THE FCM NFA 3/31/2014 3,535,275 2,146,575 1,388,700 80,213,427 76,587,476 3,625,951 2,000,000 355,418 10,668 344,750 2,667 0 0 0 0 0

49 LPL FINANCIAL LLC FCM BD NFA 3/31/2014 180,248,365 6,512,852 173,735,513 0 0 0 0 0 0 0 0 0 0 0 0 0

50 MACQUARIE FUTURES USA LLC FCM CBOT 3/31/2014 164,298,311 130,863,509 33,434,802 1,692,832,904 1,510,080,394 182,752,510 90,000,000 35,766,482 20,013,776 15,752,706 1,400,964 19,782,894 3,519,585 16,263,309 246,371 0

51 MAREX NORTH AMERICA LLC FCM CME 3/31/2014 13,732,195 8,454,526 5,277,669 109,829,470 102,236,067 7,593,403 5,110,553 12,540,868 11,323,348 1,217,520 1,132,335 0 0 0 0 0

52 MB TRADING FUTURES INC RFED NFA 3/31/2014 24,359,645 21,097,950 3,261,695 0 0 0 0 0 0 0 0 0 0 0 0 31,958,997

53 MCVEAN TRADING & INVESTMENTS LLC FCM NFA 3/31/2014 13,671,653 3,419,768 10,251,885 806,310,318 785,877,759 20,432,559 18,000,000 2,417,861 0 2,417,861 400,000 0 0 0 0 0

54 MERRILL LYNCH PIERCE FENNER & SMITH FCM BD CBOT 3/31/2014 10,865,711,668 1,063,308,879 9,802,402,789 10,119,920,004 9,811,119,920 308,800,084 270,000,000 3,041,204,136 2,731,728,371 309,475,765 225,000,000 1,506,541,035 1,315,799,360 190,741,675 135,000,000 0

55 MERRILL LYNCH PROFESSIONAL CLEARING CORP FCM BD NFA 3/31/2014 2,118,629,623 374,644,904 1,743,984,719 1,411,463,741 763,051,643 648,412,098 300,000,000 4,276,088 570,828 3,705,260 3,000,000 1,000 0 1,000 1 0

56 MID CO COMMODITIES INC FCM NFA 3/31/2014 10,268,815 5,892,563 4,376,252 45,330,112 34,693,826 10,636,286 5,000,000 0 0 0 0 0 0 0 0 0

57 MINT BROKERS FCM BD NFA 3/31/2014 10,104,986 1,000,000 9,104,986 0 0 0 0 0 0 0 0 0 0 0 0 0

58 MITSUBISHI UFJ SECURITIES USA INC FCM BD NFA 3/31/2014 199,544,308 1,374,300 198,170,008 0 0 0 0 0 0 0 0 0 0 0 0 0

59 MIZUHO SECURITIES USA INC FCM BD SD CME/NFA 3/31/2014 551,075,156 235,453,402 315,621,754 2,558,992,966 2,361,175,097 197,817,869 150,000,000 577,422,598 476,902,327 100,520,271 80,000,000 107,439,342 82,433,429 25,005,913 15,000,000 0

60 MORGAN STANLEY & CO LLC FCM BD SD CME/NFA 3/31/2014 9,275,407,073 1,639,345,320 7,636,061,753 10,504,805,529 10,297,974,416 206,831,113 105,000,000 2,685,269,111 2,476,977,932 208,291,179 105,000,000 3,902,225,710 3,785,241,247 116,984,463 92,000,000 0

61 MORGAN STANLEY SMITH BARNEY LLC FCM BD NFA 3/31/2014 4,752,002,491 167,360,768 4,584,641,723 609,081,353 545,075,971 64,005,382 43,606,078 64,136,558 47,020,580 17,115,978 14,106,174 0 0 0 0 0

62 NEUBERGER BERMAN LLC FCM BD NFA 3/31/2014 39,775,041 1,500,000 38,275,041 0 0 0 0 0 0 0 0 0 0 0 0 0

63 NEWEDGE USA LLC FCM BD SD NYME/NFA 3/31/2014 1,798,732,561 1,056,477,636 742,254,925 14,797,647,778 14,196,972,068 600,675,710 500,000,000 3,252,716,733 2,852,847,099 399,869,634 300,000,000 485,187,285 409,783,725 75,403,560 30,000,000 0

64 NOMURA SECURITIES INTERNATIONAL INC FCM BD CBOT 3/31/2014 2,061,127,322 46,699,831 2,014,427,491 84,313,902 61,922,510 22,391,392 10,000,000 11,695,015 813,313 10,881,702 1,000,000 38,050,831 16,912,981 21,137,850 20,000,000 0

65 OANDA CORPORATION FCMRFD NFA 3/31/2014 132,635,110 25,712,383 106,922,727 0 0 0 0 0 0 0 0 0 0 0 0 124,247,651

66 OPPENHEIMER & CO INC FCM BD NFA 3/31/2014 172,951,925 26,822,665 146,129,260 28,672,095 9,339,096 19,332,999 1,779,917 0 0 0 0 0 0 0 0 0

67 OPTIONSXPRESS INC FCM BD NFA 3/31/2014 111,660,816 6,961,869 104,698,947 108,583,392 86,867,238 21,716,154 8,664,132 2,023,588 922,439 1,101,149 92,244 0 0 0 0 0

68 PHILLIP FUTURES INC FCM CME 3/31/2014 27,862,273 20,000,000 7,862,273 143,369,745 124,175,881 19,193,864 6,208,794 9,222,383 3,146,150 6,076,233 157,728 0 0 0 0 0

69 RAND FINANCIAL SERVICES INC FCM CME 3/31/2014 79,975,639 18,025,814 61,949,825 254,801,100 212,130,000 42,671,100 6,363,900 30,910,100 9,540,200 21,369,900 286,200 0 0 0 0 0

70 RBC CAPITAL MARKETS LLC FCM BD CME 3/31/2014 1,353,693,330 119,612,147 1,234,081,183 1,205,757,800 1,109,938,179 95,819,621 80,000,000 110,737,721 77,522,083 33,215,638 20,000,000 0 0 0 0 0

71 RBS SECURITIES INC FCM BD CBOT 3/31/2014 4,266,599,218 161,653,245 4,104,945,973 1,729,717,807 1,577,901,067 151,816,740 125,000,000 194,909,774 39,102,887 155,806,887 100,000,000 352,065,852 258,796,453 93,269,399 80,000,000 0

72 RJ OBRIEN ASSOCIATES LLC FCM SD CME/NFA 3/31/2014 198,691,583 156,672,651 42,018,932 3,779,926,667 3,665,843,450 114,083,217 40,000,000 159,339,752 130,469,962 28,869,790 20,000,000 0 0 0 0 504,564

73 ROSENTHAL COLLINS GROUP LLC FCM CME 3/31/2014 83,673,427 63,128,166 20,545,261 1,432,064,405 1,406,714,009 25,350,396 18,000,000 34,074,475 24,052,926 10,021,549 9,000,000 0 0 0 0 0

74 SANFORD C BERNSTEIN & CO LLC FCM BD NFA 3/31/2014 173,465,108 20,430,205 153,034,903 0 0 0 0 0 0 0 0 0 0 0 0 0

75 SANTANDER INVESTMENT SECURITIES INC FCM BD NYME 3/31/2014 147,567,600 11,142,486 136,425,114 766,875,270 764,415,180 2,460,090 2,000,000 0 0 0 0 0 0 0 0 0

76 STATE STREET GLOBAL MARKETS LLC FCM BD CME 3/31/2014 531,150,152 51,736,168 479,413,984 631,174,779 467,676,213 163,498,566 23,383,811 101,977,060 61,459,602 40,517,458 15,000,000 244,277,399 144,068,300 100,209,099 50,000,000 0

77 STRAITS FINANCIAL LLC FCM CME 3/31/2014 8,568,351 4,561,376 4,006,975 137,740,518 131,692,315 6,048,203 2,000,000 35,244,679 33,060,699 2,183,980 300,000 0 0 0 0 0

78 TD AMERITRADE INC FCM BD NFA 3/31/2014 318,978,587 11,146,438 307,832,149 197,763,089 150,513,174 47,249,915 5,000,000 0 0 0 0 0 0 0 0 0

79 TIMBER HILL LLC FCM BD CME 3/31/2014 560,561,162 56,197,835 504,363,327 802,424,252 797,403,959 5,020,293 1,000,000 0 0 0 0 0 0 0 0 0

80 TRADESTATION SECURITIES INC FCM BD NFA 3/31/2014 56,986,068 4,823,523 52,162,545 443,550,804 433,253,633 10,297,171 9,000,000 21,550,909 20,478,228 1,072,681 800,000 0 0 0 0 0

81 UBS FINANCIAL SERVICES INC FCM BD NFA 3/31/2014 1,299,713,407 94,233,902 1,205,479,505 126,290,737 103,185,951 23,104,786 20,637,190 24,165,420 2,135,231 22,030,189 15,000,000 0 0 0 0 0

82 UBS SECURITIES LLC FCM BD CBOT 3/31/2014 8,365,835,776 952,695,586 7,413,140,190 9,374,585,212 8,675,244,156 699,341,056 607,267,091 4,334,200,288 3,894,179,814 440,020,474 400,000,000 881,992,949 651,815,675 230,177,274 200,000,000 0

Net Capital 

Requirement Excess Net Capital Customers' Assets in Seg

Total Amount of 

Retail Forex 

Obligation

Customers' Seg 

Required 4d(a)(2)

Excess/Deficient 

Funds in Seg

Funds in Separate 

Section 30.7 

Accounts

Customer Amount 

Pt. 30 Required

Excess/Deficient 

Funds in Separate 

Section 30.7 

Accounts

Target Residual 

Interest in Seg

Target Residual 

Interest in Section 

30.7

Funds in Separate 

Cleared Swap 

Segregation

Customer Amount 

Cleared Swap Seg 

Required

Excess/Deficient 

Funds in Cleared 

Swap Seg Accounts

Target Residual 

Interest in Cleared 

Swap Seg

Registered 

As DSRO As ofDate

Futures Commission Merchant /

Retail Foreign Exchange Dealer Adjusted Net Capital
SELECTED FCM FINANCIAL DATA AS OF 

March 31, 2014

FROM REPORTS FILED BY 

May 01, 2014

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A B C D E F G H I J K L M N O P Q R S T U

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Net Capital 

Requirement Excess Net Capital Customers' Assets in Seg

Total Amount of 

Retail Forex 

Obligation

Customers' Seg 

Required 4d(a)(2)

Excess/Deficient 

Funds in Seg

Funds in Separate 

Section 30.7 

Accounts

Customer Amount 

Pt. 30 Required

Excess/Deficient 

Funds in Separate 

Section 30.7 

Accounts

Target Residual 

Interest in Seg

Target Residual 

Interest in Section 

30.7

Funds in Separate 

Cleared Swap 

Segregation

Customer Amount 

Cleared Swap Seg 

Required

Excess/Deficient 

Funds in Cleared 

Swap Seg Accounts

Target Residual 

Interest in Cleared 

Swap Seg

Registered 

As DSRO As ofDate

Futures Commission Merchant /

Retail Foreign Exchange Dealer Adjusted Net Capital

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83 VISION FINANCIAL MARKETS LLC FCM BD CME 3/31/2014 35,652,447 16,905,764 18,746,683 550,031,088 537,099,088 12,932,000 8,000,000 16,634,263 14,064,531 2,569,732 1,500,000 0 0 0 0 0

84 WELLS FARGO ADVISORS FINANCIAL NETWORK LLC FCM BD NFA 3/31/2014 57,103,563 1,000,000 56,103,563 0 0 0 0 0 0 0 0 0 0 0 0 0

85 WELLS FARGO ADVISORS LLC FCM BD NFA 3/31/2014 1,901,716,077 1,500,000 1,900,216,077 0 0 0 0 0 0 0 0 0 0 0 0 0

86 WELLS FARGO SECURITIES LLC FCM BD CME 3/31/2014 2,951,326,355 194,062,702 2,757,263,653 363,532,330 272,870,873 90,661,457 25,000,000 10,839,711 817,772 10,021,939 3,000,000 1,330,900,747 1,151,376,082 179,524,665 100,000,000 0

87 WHITE COMMERCIAL CORPORATION FCM NFA 3/31/2014 2,541,207 1,000,000 1,541,207 0 0 0 0 0 0 0 0 0 0 0 0 0

88 WHOTRADES FX LLC FCM NFA 3/31/2014 2,041,902 1,000,000 1,041,902 0 0 0 0 0 0 0 0 0 0 0 0 0

89 XCHANGE FINANCIAL ACCESS LLC FCM BD NFA 3/31/2014 6,312,445 1,085,374 5,227,071 26,653,828 24,609,408 2,044,420 1,000,000 0 0 0 0 0 0 0 0 0

90 YORK BUSINESS ASSOCIATES LLC FCM NFA 3/31/2014 4,621,108 1,000,000 3,621,108 49,934,342 46,602,303 3,332,039 700,000 2,096,650 1,848,455 248,195 200,000 0 0 0 0 0

Totals 164,975,681,297 153,058,931,931 11,916,749,366 7,663,469,011 39,901,416,945 34,917,190,487 4,984,226,458 3,035,708,396 35,405,728,979 29,812,798,519 5,592,930,460 2,483,593,718 603,894,027

February Web Page Update 91

Additions 1

MINT BROKERS

Deletions 2

BNY MELLON CLEARING LLC

MITSUI BUSSAN COMMODITIES USA INC

Name Changes

None

March Web Page Update 90

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

(q): 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.

(i): 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.

(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.

(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.

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

(j): 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. 

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

(b): DSRO: Designated Self-Regulatory Organization. FCM/RFED firms that are dually registered as SDs have two DSROs listed if they have a different DSRO for the FCM/RFED and the SD. The DSRO for the FCM/RFED is listed first and the DSRO for the SD is listed second.

(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.

(h): This represents the targeted excess of proprietary funds deposited into customer segregated accounts above the customer segregation requirement. This target amount is set by the firm.

 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.

 SD: The FCM or RFED is also registered with the Commodity Futures Trading Commission as a provisionally registered swap dealer.

(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.

(o): Excess/Deficient funds in cleared swap customer accounts is funds in separate cleared swap segregation accounts, less the cleared swap customer segregation requirement.

(p): This represents the targeted excess of proprietary funds deposited into separate cleared swap segregation accounts above the cleared swap customer segregation requirement. This target amount is set by the firm.

(l): This represents the targeted excess of proprietary funds deposited into separate Section 30.7 accounts above the customer amount Part 30 requirement. This target amount is set by the firm.

(m): This represents the total amount of money, securities, and property held in cleared swap customer accounts for cleared swap customers in compliance with Section 4d(f) of the Commodity Exchange Act.

(n): This represents the amount of funds an FCM is required to segregate for customers who trade cleared swaps.