SELECTED FCM FINANCIAL DATA AS OF 

February 28, 2014

FROM REPORTS FILED BY 

April 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 2/28/2014 441,370,171 155,790,159 285,580,012 2,954,782,281 2,704,133,110 250,649,171 130,573,142 159,792,315 115,092,525 44,699,790 17,263,879 0 0 0 0 0

2 ADM INVESTOR SERVICES INC FCM CBOT 2/28/2014 282,300,423 171,436,709 110,863,714 3,339,616,548 3,083,337,866 256,278,682 120,000,000 239,356,625 177,535,564 61,821,061 20,000,000 16,069,508 7,153,718 8,915,790 8,000,000 0

3 ADVANTAGE FUTURES LLC FCM CME 2/28/2014 22,938,744 11,128,837 11,809,907 435,230,864 422,220,393 13,010,471 3,500,000 44,142,327 41,707,932 2,434,395 1,000,000 0 0 0 0 0

4 ALPARI (US) LLC FCM NFA 2/28/2014 3,641,289 1,000,000 2,641,289 4,308,403 0 4,308,403 25 0 0 0 0 0 0 0 0 32,854

5 AMERIPRISE FINANCIAL SERVICES INC FCM BD NFA 2/28/2014 117,599,915 1,000,000 116,599,915 0 0 0 0 0 0 0 0 0 0 0 0 0

6 AMP GLOBAL CLEARING LLC FCM NFA 2/28/2014 2,563,702 1,500,000 1,063,702 54,779,765 52,992,499 1,787,266 900,000 713,467 498,476 214,991 150,000 0 0 0 0 0

7 BARCLAYS CAPITAL INC FCM BD NYME 2/28/2014 6,052,220,910 1,384,782,046 4,667,438,864 7,242,166,959 6,817,065,823 425,101,136 136,341,316 4,235,859,467 4,035,235,448 200,624,019 121,057,063 5,506,679,169 4,638,015,993 868,663,176 510,181,759 0

8 BGC FINANCIAL LP FCM BD NFA 2/28/2014 68,072,298 2,660,052 65,412,246 0 0 0 0 0 0 0 0 0 0 0 0 0

9 BNP PARIBAS PRIME BROKERAGE INC FCM BD NYME 2/28/2014 3,333,577,717 221,779,869 3,111,797,848 3,609,508,825 3,285,510,890 323,997,935 328,551,089 18,812,951 2,900,752 15,912,199 10,000,000 5,100,000 0 5,100,000 5,000,000 0

10 BNP PARIBAS SECURITIES CORP FCM BD CBOT 2/28/2014 1,734,241,791 184,164,675 1,550,077,116 1,140,257,155 928,627,783 211,629,372 185,725,557 32,875,578 12,524,832 20,350,746 1,252,483 242,195,394 182,004,637 60,190,757 18,200,464 0

11 BNY MELLON CLEARING LLC FCM CME 2/28/2014 281,960,125 20,000,000 261,960,125 99,603,113 3,648,951 95,954,162 50,000,000 20,746,934 0 20,746,934 5,000,000 117,136,841 28,615,697 88,521,144 5,000,000 0

12 BOCI COMMODITIES & FUTURES USA LLC FCM NFA 2/28/2014 4,138,372 1,000,000 3,138,372 0 0 0 0 0 0 0 0 0 0 0 0 0

13 CANTOR FITZGERALD & CO FCM BD CBOT 2/28/2014 287,372,950 8,834,181 278,538,769 4,969,921 0 4,969,921 3,000,000 0 0 0 0 0 0 0 0 0

14 CAPITAL MARKET SERVICES LLC FCM NFA 2/28/2014 1,481,584 1,000,000 481,584 0 0 0 0 0 0 0 0 0 0 0 0 0

15 CHS HEDGING INC FCM CBOT 2/28/2014 23,405,440 13,383,162 10,022,278 154,099,753 129,289,058 24,810,695 13,100,000 969,311 248,939 720,372 235,000 1,341,141 700,191 640,950 310,000 0

16 CITIGROUP GLOBAL MARKETS INC FCM BD SD CBOT/NFA 2/28/2014 5,451,853,612 898,942,935 4,552,910,677 5,287,023,440 5,026,214,778 260,808,662 236,000,000 1,197,352,818 992,114,187 205,238,631 180,000,000 4,936,395,059 4,490,714,863 445,680,196 272,231,202 0

17 CREDIT SUISSE SECURITIES (USA) LLC FCM BD CBOT 2/28/2014 7,363,704,604 2,357,760,156 5,005,944,448 10,126,915,775 8,339,815,803 1,787,099,972 416,990,790 3,561,767,785 2,740,459,496 821,308,289 137,022,975 5,665,584,833 4,219,683,332 1,445,901,501 210,984,167 0

18 CROSSLAND LLC FCM CBOT 2/28/2014 10,000,362 1,924,549 8,075,813 80,524,157 78,290,393 2,233,764 1,000,000 6,903,400 5,952,446 950,954 500,000 0 0 0 0 0

19 CUNNINGHAM COMMODITIES LLC FCM CBOT 2/28/2014 3,677,701 1,312,111 2,365,590 65,574,635 64,256,196 1,318,439 600,000 530,133 361,251 168,882 100,000 0 0 0 0 0

20 DAIWA CAPITAL MARKETS AMERICA INC FCM BD CME 2/28/2014 518,208,784 9,673,598 508,535,186 9,406,483 3,924,049 5,482,434 3,924,049 631,896 0 631,896 1 0 0 0 0 0

21 DEUTSCHE BANK SECURITIES INC FCM BD CBOT 2/28/2014 8,667,152,506 664,079,960 8,003,072,546 13,772,342,781 13,088,406,225 683,936,556 500,000,000 1,254,296,481 943,902,631 310,393,850 200,000,000 1,551,326,902 1,240,917,485 310,409,417 250,000,000 0

22 DORMAN TRADING LLC FCM CME 2/28/2014 11,589,225 1,607,394 9,981,831 140,046,033 137,055,594 2,990,439 2,000,000 3,309,542 2,948,745 360,797 200,000 0 0 0 0 0

23 E D & F MAN CAPITAL MARKETS INC FCM BD CME 2/28/2014 33,743,925 8,795,850 24,948,075 261,354,993 245,701,946 15,653,047 2,000,000 5,793,329 4,319,310 1,474,019 215,965 0 0 0 0 0

24 E TRADE CLEARING LLC FCM BD NFA 2/28/2014 719,256,950 156,131,858 563,125,092 49,492,434 38,047,879 11,444,555 10,000,000 1,577,246 571,350 1,005,896 1,000,000 0 0 0 0 0

25 EFL FUTURES LIMITED FCM CME 2/28/2014 40,238,154 20,058,563 20,179,591 273,445,276 260,509,827 12,935,449 5,000,000 0 0 0 0 0 0 0 0 0

26 FCSTONE LLC FCM CME 2/28/2014 108,098,687 82,742,129 25,356,558 1,740,751,793 1,712,943,005 27,808,788 20,000,000 52,427,035 36,511,804 15,915,231 14,000,000 0 0 0 0 0

27 FIXI AMERICAS LLC FCM NFA 2/28/2014 1,501,957 1,000,000 501,957 0 0 0 0 0 0 0 0 0 0 0 0 0

28 FOREX CAPITAL MARKETS LLC FCMRFD SD NFA 2/28/2014 46,017,605 27,701,270 18,316,335 0 0 0 0 0 0 0 0 0 0 0 0 164,025,398

29 FRIEDBERG MERCANTILE GROUP INC FCM NFA 2/28/2014 3,120,446 1,000,000 2,120,446 4,669,941 3,619,488 1,050,453 1,000,000 1,205,914 186,263 1,019,651 1,000,000 0 0 0 0 0

30 FRONTIER FUTURES INC FCM NFA 2/28/2014 1,774,941 1,000,000 774,941 20,254,573 19,490,273 764,300 263,427 0 0 0 0 0 0 0 0 0

31 FXDIRECTDEALER LLC FCMRFD SD NFA 2/28/2014 22,463,235 20,850,821 1,612,414 0 0 0 0 0 0 0 0 0 0 0 0 27,016,412

32 GAIN CAPITAL GROUP LLC FCMRFD NFA 2/28/2014 43,643,137 24,619,786 19,023,351 154,148,907 147,440,352 6,708,555 2,500,000 6,806,481 5,596,027 1,210,454 312,500 0 0 0 0 102,395,716

33 GH FINANCIALS LLC FCM CME 2/28/2014 9,937,882 1,000,000 8,937,882 6,955,832 5,494,561 1,461,271 250,000 948,738 696,579 252,159 75,000 0 0 0 0 0

34 GLOBAL FUTURES & FOREX LTD FCM SD NFA 2/28/2014 6,810,874 1,000,000 5,810,874 0 0 0 0 0 0 0 0 0 0 0 0 0

35 GOLDMAN SACHS & CO FCM BD SD CBOT/NFA 2/28/2014 17,267,938,759 2,251,896,226 15,016,042,533 21,582,534,364 21,041,968,307 540,566,057 475,000,000 8,766,583,286 8,215,897,362 550,685,924 475,000,000 2,648,138,802 2,298,130,368 350,008,434 150,000,000 0

36 GOLDMAN SACHS EXECUTION & CLEARING LP FCM BD CME 2/28/2014 1,703,877,957 130,519,821 1,573,358,136 1,293,571,624 717,732,648 575,838,976 540,000,000 65,488,821 19,319,543 46,169,278 40,000,000 0 0 0 0 0

37 GUGGENHEIM SECURITIES LLC FCM BD NFA 2/28/2014 88,825,385 1,500,292 87,325,093 0 0 0 0 0 0 0 0 0 0 0 0 0

38 HSBC SECURITIES USA INC FCM BD CME 2/28/2014 1,002,187,181 143,364,938 858,822,243 1,206,972,870 1,115,585,146 91,387,724 50,000,000 158,512,654 98,322,610 60,190,044 19,664,522 202,114,545 145,893,901 56,220,644 30,000,000 0

39 IBFX INC RFED SD NFA 2/28/2014 29,289,132 22,967,968 6,321,164 0 0 0 0 0 0 0 0 0 0 0 0 66,852,051

40 INSTITUTIONAL LIQUIDITY LLC FCMRFD NFA 2/28/2014 33,598,142 20,000,000 13,598,142 51,809,080 50,587,124 1,221,956 500,000 714,224 254,016 460,208 250,000 0 0 0 0 9,158,503

41 INTERACTIVE BROKERS LLC FCM BD NFA 2/28/2014 2,166,484,727 315,765,758 1,850,718,969 2,234,510,398 2,030,503,481 204,006,917 150,000,000 410,083,707 308,885,534 101,198,173 80,000,000 0 0 0 0 39,578,753

42 IRONBEAM INC FCM NFA 2/28/2014 2,278,764 1,000,000 1,278,764 35,240,801 33,927,176 1,313,625 800,000 111,516 4,060 107,456 50,000 0 0 0 0 0

43 ITG DERIVATIVES LLC FCM BD NFA 2/28/2014 5,253,728 1,000,000 4,253,728 0 0 0 0 0 0 0 0 0 0 0 0 0

44 JEFFERIES BACHE LLC FCM CBOT 2/28/2014 185,061,000 141,276,880 43,784,120 2,322,123,000 2,215,518,000 106,605,000 90,000,000 204,326,000 136,119,000 68,207,000 50,000,000 74,554,000 52,851,000 21,703,000 5,000,000 0

45 JP MORGAN CLEARING CORP FCM BD NFA 2/28/2014 6,832,732,509 1,965,845,276 4,866,887,233 999,467,827 682,560,939 316,906,888 61,430,485 509,602,073 299,985,970 209,616,103 26,998,737 250,000 0 250,000 1 0

46 JP MORGAN SECURITIES LLC FCM BD SD CEI/NFA 2/28/2014 11,762,752,425 2,273,083,778 9,489,668,647 19,103,116,743 17,424,503,091 1,678,613,652 45,730,784 4,046,879,069 3,569,425,753 477,453,316 321,248,318 3,242,166,910 2,748,892,023 493,274,887 247,400,282 0

47 KCG AMERICAS LLC FCM BD CME 2/28/2014 422,718,065 25,975,709 396,742,356 553,539,839 536,327,991 17,211,848 15,000,000 10,895,306 7,308,490 3,586,816 2,500,000 0 0 0 0 35,234,958

48 LEK SECURITIES CORPORATION FCM BD NFA 2/28/2014 9,948,170 1,500,000 8,448,170 1,763,885 625,824 1,138,061 500,000 0 0 0 0 0 0 0 0 0

49 LINN GROUP THE FCM NFA 2/28/2014 3,569,348 2,238,190 1,331,158 77,370,019 73,877,915 3,492,104 2,000,000 354,433 6,783 347,650 1,696 0 0 0 0 0

50 LPL FINANCIAL LLC FCM BD NFA 2/28/2014 162,794,677 6,849,977 155,944,700 0 0 0 0 0 0 0 0 0 0 0 0 0

51 MACQUARIE FUTURES USA LLC FCM CBOT 2/28/2014 166,054,839 130,983,171 35,071,668 1,700,021,465 1,516,739,261 183,282,204 90,000,000 19,949,438 13,294,162 6,655,276 930,591 20,298,370 4,024,291 16,274,079 281,700 0

52 MAREX NORTH AMERICA LLC FCM CME 2/28/2014 13,832,586 8,865,492 4,967,094 127,879,077 120,046,013 7,833,064 6,001,051 10,727,016 9,529,953 1,197,063 952,995 0 0 0 0 0

53 MB TRADING FUTURES INC RFED NFA 2/28/2014 26,523,384 21,030,447 5,492,937 0 0 0 0 0 0 0 0 0 0 0 0 30,608,940

54 MCVEAN TRADING & INVESTMENTS LLC FCM NFA 2/28/2014 14,007,949 3,542,786 10,465,163 822,192,411 801,900,061 20,292,350 18,000,000 2,417,861 0 2,417,861 400,000 0 0 0 0 0

55 MERRILL LYNCH PIERCE FENNER & SMITH FCM BD CBOT 2/28/2014 11,595,243,250 1,029,310,283 10,565,932,967 10,355,628,928 10,057,096,007 298,532,921 270,000,000 3,136,543,637 2,825,952,269 310,591,368 225,000,000 1,306,742,720 1,149,364,224 157,378,496 135,000,000 0

56 MERRILL LYNCH PROFESSIONAL CLEARING CORP FCM BD NFA 2/28/2014 1,929,270,590 364,933,272 1,564,337,318 1,551,129,395 888,375,131 662,754,264 300,000,000 5,114,930 1,693,154 3,421,776 3,000,000 1,000 0 1,000 1 0

57 MID CO COMMODITIES INC FCM NFA 2/28/2014 9,246,602 5,364,045 3,882,557 38,100,214 28,701,949 9,398,265 5,000,000 0 0 0 0 0 0 0 0 0

58 MITSUBISHI UFJ SECURITIES USA INC FCM BD NFA 2/28/2014 207,036,917 1,392,060 205,644,857 0 0 0 0 0 0 0 0 0 0 0 0 0

59 MITSUI BUSSAN COMMODITIES USA INC FCM NFA 2/28/2014 3,489,331 1,000,000 2,489,331 0 0 0 0 0 0 0 0 0 0 0 0 0

60 MIZUHO SECURITIES USA INC FCM BD SD CME/NFA 2/28/2014 477,590,740 251,716,975 225,873,765 2,596,355,288 2,374,001,472 222,353,816 150,000,000 642,376,814 552,504,974 89,871,840 80,000,000 119,577,041 99,516,523 20,060,518 15,000,000 0

61 MORGAN STANLEY & CO LLC FCM BD SD CME/NFA 2/28/2014 8,434,144,733 1,561,344,058 6,872,800,675 10,370,019,458 10,162,831,957 207,187,501 105,000,000 2,708,856,049 2,500,071,176 208,784,873 105,000,000 3,626,266,865 3,510,414,608 115,852,257 92,000,000 0

62 MORGAN STANLEY SMITH BARNEY LLC FCM BD NFA 2/28/2014 4,714,217,141 173,186,696 4,541,030,445 638,573,133 572,272,960 66,300,173 45,781,837 66,903,716 50,153,279 16,750,437 15,045,984 0 0 0 0 0

63 NEUBERGER BERMAN LLC FCM BD NFA 2/28/2014 32,822,351 1,500,000 31,322,351 0 0 0 0 0 0 0 0 0 0 0 0 0

64 NEWEDGE USA LLC FCM BD SD NYME/NFA 2/28/2014 1,805,574,685 1,105,486,777 700,087,908 15,881,233,323 15,288,097,511 593,135,812 500,000,000 3,178,918,134 2,764,102,293 414,815,841 300,000,000 441,095,034 365,798,840 75,296,194 30,000,000 0

65 NOMURA SECURITIES INTERNATIONAL INC FCM BD CBOT 2/28/2014 1,986,695,027 46,679,883 1,940,015,144 68,323,133 56,959,297 11,363,836 10,000,000 10,246,055 820,067 9,425,988 1,000,000 39,932,860 18,845,430 21,087,430 20,000,000 0

66 OANDA CORPORATION FCMRFD NFA 2/28/2014 125,323,039 25,887,597 99,435,442 0 0 0 0 0 0 0 0 0 0 0 0 127,751,937

67 OPPENHEIMER & CO INC FCM BD NFA 2/28/2014 159,268,776 27,554,699 131,714,077 28,261,271 10,104,000 18,157,271 1,991,231 0 0 0 0 0 0 0 0 0

68 OPTIONSXPRESS INC FCM BD NFA 2/28/2014 112,708,376 7,175,108 105,533,268 119,792,448 94,153,515 25,638,933 9,415,351 1,882,722 883,979 998,743 88,398 0 0 0 0 0

69 PHILLIP FUTURES INC FCM CME 2/28/2014 27,596,351 20,000,000 7,596,351 157,665,260 138,671,314 18,993,946 6,933,566 8,719,880 2,732,904 5,986,976 136,557 0 0 0 0 0

70 RAND FINANCIAL SERVICES INC FCM CME 2/28/2014 79,512,650 20,613,202 58,899,448 254,009,000 212,702,200 41,306,800 6,381,100 30,143,100 9,000,100 21,143,000 270,000 0 0 0 0 0

71 RBC CAPITAL MARKETS LLC FCM BD CME 2/28/2014 1,352,799,306 118,121,798 1,234,677,508 1,207,652,847 1,113,463,543 94,189,304 80,000,000 104,224,235 66,603,039 37,621,196 20,000,000 0 0 0 0 0

72 RBS SECURITIES INC FCM BD CBOT 2/28/2014 4,141,231,175 163,310,489 3,977,920,686 1,834,975,278 1,687,987,004 146,988,274 125,000,000 232,131,987 64,571,446 167,560,541 100,000,000 327,899,336 243,538,638 84,360,698 55,000,000 0

73 RJ OBRIEN ASSOCIATES LLC FCM SD CME/NFA 2/28/2014 196,903,221 151,055,647 45,847,574 3,613,422,000 3,501,872,742 111,549,258 40,000,000 154,283,128 129,031,954 25,251,174 20,000,000 0 0 0 0 11,387,154

74 ROSENTHAL COLLINS GROUP LLC FCM CME 2/28/2014 80,077,201 59,072,030 21,005,171 1,430,795,920 1,404,873,333 25,922,587 18,000,000 33,819,581 24,106,804 9,712,777 9,000,000 0 0 0 0 0

75 SANFORD C BERNSTEIN & CO LLC FCM BD NFA 2/28/2014 167,018,111 18,259,542 148,758,569 0 0 0 0 0 0 0 0 0 0 0 0 0

76 SANTANDER INVESTMENT SECURITIES INC FCM BD NYME 2/28/2014 124,364,128 11,708,026 112,656,102 757,822,849 755,492,186 2,330,663 2,000,000 0 0 0 0 0 0 0 0 0

77 STATE STREET GLOBAL MARKETS LLC FCM BD CME 2/28/2014 529,662,925 39,796,815 489,866,110 502,088,698 408,085,660 94,003,038 20,404,283 69,033,373 28,708,840 40,324,533 15,000,000 219,169,064 118,983,114 100,185,950 50,000,000 0

78 STRAITS FINANCIAL LLC FCM CME 2/28/2014 8,678,696 4,414,179 4,264,517 123,333,613 117,436,227 5,897,386 2,000,000 36,335,033 34,182,606 2,152,427 300,000 0 0 0 0 0

79 TD AMERITRADE INC FCM BD NFA 2/28/2014 295,037,252 12,898,256 282,138,996 209,992,391 159,622,068 50,370,323 5,000,000 0 0 0 0 0 0 0 0 0

80 TIMBER HILL LLC FCM BD CME 2/28/2014 462,276,175 55,995,101 406,281,074 757,466,126 752,342,039 5,124,087 1,000,000 0 0 0 0 0 0 0 0 0

81 TRADESTATION SECURITIES INC FCM BD NFA 2/28/2014 56,308,884 3,991,446 52,317,438 432,997,593 422,760,664 10,236,929 9,000,000 20,063,694 18,904,776 1,158,918 800,000 0 0 0 0 0

82 UBS FINANCIAL SERVICES INC FCM BD NFA 2/28/2014 1,265,807,821 95,865,825 1,169,941,996 128,414,693 103,540,069 24,874,624 20,708,014 24,653,327 2,655,344 21,997,983 15,000,000 0 0 0 0 0

83 UBS SECURITIES LLC FCM BD CBOT 2/28/2014 8,574,087,348 957,187,089 7,616,900,259 8,839,431,507 8,174,010,151 665,421,356 572,180,711 4,538,084,569 4,109,477,360 428,607,209 400,000,000 844,196,335 596,930,907 247,265,428 200,000,000 0

84 VISION FINANCIAL MARKETS LLC FCM BD CME 2/28/2014 34,578,604 15,287,204 19,291,400 543,442,204 530,073,176 13,369,028 8,000,000 15,022,269 12,665,529 2,356,740 1,500,000 0 0 0 0 0

85 WELLS FARGO ADVISORS FINANCIAL NETWORK LLC FCM BD NFA 2/28/2014 56,632,456 1,000,000 55,632,456 0 0 0 0 0 0 0 0 0 0 0 0 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 

February 28, 2014

FROM REPORTS FILED BY 

April 01, 2014

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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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86 WELLS FARGO ADVISORS LLC FCM BD NFA 2/28/2014 1,958,275,260 1,500,000 1,956,775,260 0 0 0 0 0 0 0 0 0 0 0 0 0

87 WELLS FARGO SECURITIES LLC FCM BD CME 2/28/2014 2,893,692,612 180,748,470 2,712,944,142 177,070,904 141,332,246 35,738,658 7,000,000 10,018,685 0 10,018,685 3,000,000 1,104,649,069 925,063,333 179,585,736 100,000,000 0

88 WHITE COMMERCIAL CORPORATION FCM NFA 2/28/2014 2,565,687 1,000,000 1,565,687 0 0 0 0 0 0 0 0 0 0 0 0 0

89 WHOTRADES FX LLC FCM NFA 2/28/2014 2,145,073 1,000,000 1,145,073 0 0 0 0 0 0 0 0 0 0 0 0 0

90 XCHANGE FINANCIAL ACCESS LLC FCM BD NFA 2/28/2014 6,158,988 1,000,000 5,158,988 27,946,105 25,932,061 2,014,044 1,000,000 0 0 0 0 0 0 0 0 0

91 YORK BUSINESS ASSOCIATES LLC FCM NFA 2/28/2014 4,946,466 1,000,000 3,946,466 49,530,229 46,469,904 3,060,325 700,000 2,146,111 1,804,372 341,739 200,000 0 0 0 0 0

Totals 165,839,817,851 154,189,700,105 11,650,117,746 6,040,677,808 40,082,986,206 34,998,344,058 5,084,642,148 3,042,722,664 32,258,880,798 27,086,053,116 5,172,827,682 2,409,589,576 614,042,676

January Web Page Update 93

Additions 0

None

Deletions 2

INSTINET LLC

RAYMOND JAMES & ASSOCIATES INC

Name Changes

None

February Web Page Update 91

(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.