SELECTED FCM FINANCIAL DATA AS OF 

May 31, 2014

FROM REPORTS FILED BY 

June 30, 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 5/31/2014 469,170,965 141,045,951 328,125,014 2,679,607,767 2,410,706,072 268,901,695 126,296,646 199,237,268 157,101,646 42,135,622 23,565,247 0 0 0 0 0

2 ADM INVESTOR SERVICES INC FCM CBOT 5/31/2014 286,339,409 172,449,675 113,889,734 3,470,684,593 3,219,161,443 251,523,150 120,000,000 253,358,650 193,973,051 59,385,599 20,000,000 13,217,765 3,645,277 9,572,488 8,000,000 0

3 ADVANTAGE FUTURES LLC FCM CME 5/31/2014 20,410,644 11,182,585 9,228,059 431,761,147 420,198,782 11,562,365 7,500,000 39,564,621 37,750,704 1,813,917 1,000,000 0 0 0 0 0

4 AMERIPRISE FINANCIAL SERVICES INC FCM BD NFA 5/31/2014 183,272,710 1,000,000 182,272,710 0 0 0 0 0 0 0 0 0 0 0 0 0

5 AMP GLOBAL CLEARING LLC FCM NFA 5/31/2014 2,458,615 1,500,000 958,615 56,021,000 54,620,595 1,400,405 900,000 572,615 330,509 242,106 150,000 0 0 0 0 0

6 BARCLAYS CAPITAL INC FCM BD NYME 5/31/2014 6,537,277,954 1,429,635,529 5,107,642,425 7,072,608,194 6,584,548,409 488,059,785 233,093,014 4,203,498,485 4,005,264,903 198,233,582 139,783,745 6,166,515,012 5,104,752,101 1,061,762,911 475,252,421 0

7 BGC FINANCIAL LP FCM BD NFA 5/31/2014 56,847,204 2,471,740 54,375,464 0 0 0 0 0 0 0 0 0 0 0 0 0

8 BNP PARIBAS PRIME BROKERAGE INC FCM BD NYME 5/31/2014 3,206,917,514 226,752,736 2,980,164,778 3,115,881,371 2,807,988,649 307,892,722 280,798,878 22,542,170 2,482,973 20,059,197 10,000,000 10,133,250 33,354 10,099,896 5,000,000 0

9 BNP PARIBAS SECURITIES CORP FCM BD CBOT 5/31/2014 1,698,942,034 177,440,404 1,521,501,630 1,079,177,249 863,112,914 216,064,335 172,622,583 37,189,392 11,735,639 25,453,753 1,173,564 352,184,587 279,588,695 72,595,892 27,958,869 0

10 BOCI COMMODITIES & FUTURES USA LLC FCM NFA 5/31/2014 3,789,340 1,000,000 2,789,340 0 0 0 0 0 0 0 0 0 0 0 0 0

11 CANTOR FITZGERALD & CO FCM BD CBOT 5/31/2014 228,860,235 10,877,063 217,983,172 4,969,921 0 4,969,921 3,000,000 0 0 0 0 0 0 0 0 0

12 CHS HEDGING LLC FCM CBOT 5/31/2014 25,516,789 14,379,758 11,137,031 195,259,057 169,085,238 26,173,819 13,100,000 959,509 238,867 720,642 235,000 769,733 121,164 648,569 310,000 0

13 CITIGROUP GLOBAL MARKETS INC FCM BD SD CBOT/NFA 5/31/2014 5,215,160,331 1,029,911,307 4,185,249,024 5,536,229,229 5,195,419,413 340,809,816 284,800,000 994,631,832 792,539,690 202,092,142 180,000,000 5,806,858,006 5,406,909,044 399,948,962 287,100,000 0

14 CREDIT SUISSE SECURITIES (USA) LLC FCM BD CBOT 5/31/2014 7,533,173,309 2,198,627,984 5,334,545,325 8,182,258,750 7,211,286,526 970,972,224 360,564,447 3,183,735,223 2,901,664,434 282,070,789 145,083,222 8,796,292,276 6,535,128,309 2,261,163,967 326,756,415 0

15 CROSSLAND LLC FCM CBOT 5/31/2014 10,323,312 1,881,950 8,441,362 81,034,555 78,606,080 2,428,475 1,000,000 6,524,931 5,412,316 1,112,615 500,000 0 0 0 0 0

16 CUNNINGHAM COMMODITIES LLC FCM CBOT 5/31/2014 5,423,694 1,401,486 4,022,208 68,202,776 64,053,981 4,148,795 3,050,000 637,601 454,993 182,608 100,000 0 0 0 0 0

17 DAIWA CAPITAL MARKETS AMERICA INC FCM BD CME 5/31/2014 526,972,422 9,254,582 517,717,840 9,760,983 4,278,249 5,482,734 4,278,249 628,013 0 628,013 1 0 0 0 0 0

18 DEUTSCHE BANK SECURITIES INC FCM BD CBOT 5/31/2014 9,273,290,055 685,451,867 8,587,838,188 13,273,141,499 12,589,227,831 683,913,668 500,000,000 1,257,811,840 995,294,262 262,517,578 200,000,000 1,770,441,875 1,419,378,069 351,063,806 250,000,000 0

19 DORMAN TRADING LLC FCM CME 5/31/2014 12,340,583 2,874,153 9,466,430 161,105,161 157,557,430 3,547,731 2,000,000 3,979,594 3,478,868 500,726 200,000 0 0 0 0 0

20 E D & F MAN CAPITAL MARKETS INC FCM BD CME 5/31/2014 52,229,123 12,939,108 39,290,015 326,957,985 308,222,826 18,735,159 2,000,000 6,466,904 4,744,642 1,722,262 237,232 0 0 0 0 0

21 E TRADE CLEARING LLC FCM BD NFA 5/30/2014 716,174,141 150,744,518 565,429,623 49,616,579 37,766,537 11,850,042 10,000,000 1,756,846 747,840 1,009,006 1,000,000 0 0 0 0 0

22 EFL FUTURES LIMITED FCM CME 5/31/2014 38,555,920 17,840,044 20,715,876 271,963,273 259,026,704 12,936,569 5,000,000 0 0 0 0 0 0 0 0 0

23 FCSTONE LLC FCM CME 5/31/2014 120,800,474 83,439,547 37,360,927 1,840,431,397 1,813,582,343 26,849,054 20,000,000 64,077,721 47,735,192 16,342,529 14,000,000 0 0 0 0 0

24 FIXI AMERICAS LLC FCM NFA 5/31/2014 1,505,786 1,000,000 505,786 0 0 0 0 0 0 0 0 0 0 0 0 0

25 FOREX CAPITAL MARKETS LLC FCMRFD SD NFA 5/31/2014 49,551,520 29,320,097 20,231,423 0 0 0 0 0 0 0 0 0 0 0 0 196,401,945

26 FRIEDBERG MERCANTILE GROUP INC FCM NFA 5/31/2014 3,638,739 1,000,000 2,638,739 3,456,475 2,376,675 1,079,800 1,000,000 1,100,198 81,741 1,018,457 1,000,000 0 0 0 0 0

27 FRONTIER FUTURES INC FCM NFA 5/31/2014 1,705,738 1,000,000 705,738 29,127,642 28,068,587 1,059,055 335,575 0 0 0 0 0 0 0 0 0

28 FXDIRECTDEALER LLC FCMRFD SD NFA 5/31/2014 21,212,273 20,000,000 1,212,273 0 0 0 0 0 0 0 0 0 0 0 0 788,859

29 GAIN CAPITAL GROUP LLC FCMRFD NFA 5/31/2014 37,302,603 24,866,937 12,435,666 170,999,787 162,618,145 8,381,642 2,500,000 10,578,945 8,525,739 2,053,206 312,500 0 0 0 0 107,338,735

30 GH FINANCIALS LLC FCM CME 5/31/2014 10,432,536 1,924,544 8,507,992 29,065,499 25,526,407 3,539,092 575,000 620,584 354,698 265,886 75,000 0 0 0 0 0

31 GLOBAL FUTURES & FOREX LTD FCMRFD SD NFA 5/31/2014 4,849,929 1,000,000 3,849,929 0 0 0 0 0 0 0 0 0 0 0 0 0

32 GOLDMAN SACHS & CO FCM BD SD CBOT/NFA 5/31/2014 14,547,936,880 2,211,879,704 12,336,057,176 20,379,226,264 19,829,368,927 549,857,337 475,000,000 9,047,543,540 8,482,685,373 564,858,167 475,000,000 2,847,537,148 2,448,297,458 399,239,690 150,000,000 0

33 GOLDMAN SACHS EXECUTION & CLEARING LP FCM BD CME 5/31/2014 1,575,334,292 146,009,746 1,429,324,546 1,370,963,834 797,409,703 573,554,131 540,000,000 65,347,030 18,666,896 46,680,134 40,000,000 0 0 0 0 0

34 GUGGENHEIM SECURITIES LLC FCM BD NFA 5/31/2014 85,524,926 2,340,708 83,184,218 0 0 0 0 0 0 0 0 0 0 0 0 0

35 HSBC SECURITIES USA INC FCM BD CME 5/31/2014 1,108,623,642 168,989,994 939,633,648 1,214,662,834 1,111,661,175 103,001,659 50,000,000 170,082,203 111,731,631 58,350,572 44,829,631 471,623,606 415,246,467 56,377,139 30,000,000 0

36 IBFX INC RFED SD NFA 5/31/2014 28,094,568 23,085,720 5,008,848 0 0 0 0 0 0 0 0 0 0 0 0 68,247,942

37 INSTITUTIONAL LIQUIDITY LLC FCMRFD NFA 5/31/2014 34,204,021 20,000,000 14,204,021 1,609,279 0 1,609,279 500,000 0 0 0 0 0 0 0 0 90,559

38 INTERACTIVE BROKERS LLC FCM BD NFA 5/30/2014 2,186,882,839 319,535,549 1,867,347,290 2,342,832,124 2,136,338,726 206,493,398 150,000,000 413,084,689 312,810,662 100,274,027 80,000,000 0 0 0 0 38,351,000

39 IRONBEAM INC FCM NFA 5/31/2014 2,348,427 1,000,000 1,348,427 33,894,089 32,600,758 1,293,331 800,000 111,499 0 111,499 50,000 0 0 0 0 0

40 ITG DERIVATIVES LLC FCM BD NFA 5/31/2014 4,270,703 1,000,000 3,270,703 0 0 0 0 0 0 0 0 0 0 0 0 0

41 JEFFERIES BACHE LLC FCM CBOT 5/31/2014 196,264,000 115,326,320 80,937,680 2,087,880,000 1,984,674,000 103,206,000 90,000,000 218,572,000 147,787,000 70,785,000 50,000,000 52,847,000 32,362,000 20,485,000 5,000,000 0

42 JP MORGAN CLEARING CORP FCM BD NFA 5/31/2014 7,746,819,833 1,956,764,181 5,790,055,652 1,051,008,319 728,366,460 322,641,859 65,552,982 536,310,628 322,427,700 213,882,928 29,018,493 250,000 0 250,000 1 0

43 JP MORGAN SECURITIES LLC FCM BD SD CEI/NFA 5/31/2014 13,557,454,999 2,196,824,312 11,360,630,687 19,579,278,977 17,441,095,192 2,138,183,785 1,569,698,567 3,446,093,147 3,094,392,320 351,700,827 278,495,309 3,984,164,283 3,412,188,515 571,975,768 307,096,966 0

44 KCG AMERICAS LLC FCM BD CME 5/31/2014 366,364,250 34,981,309 331,382,941 711,690,193 694,326,659 17,363,534 15,000,000 6,600,920 3,103,118 3,497,802 2,500,000 0 0 0 0 32,313,684

45 LEK SECURITIES CORPORATION FCM BD NFA 5/31/2014 9,003,340 1,500,000 7,503,340 845,908 588,626 257,282 250,000 0 0 0 0 0 0 0 0 0

46 MACQUARIE FUTURES USA LLC FCM CBOT 5/31/2014 172,153,638 115,978,368 56,175,270 1,573,656,386 1,384,987,472 188,668,914 90,000,000 22,513,178 6,689,736 15,823,442 468,282 21,485,327 5,203,579 16,281,748 364,251 0

47 MAREX NORTH AMERICA LLC FCM CME 5/31/2014 13,487,720 8,348,691 5,139,029 103,825,321 97,737,726 6,087,595 4,885,636 15,122,563 12,949,525 2,173,038 1,294,953 0 0 0 0 0

48 MB TRADING FUTURES INC RFED NFA 5/31/2014 24,478,026 20,926,485 3,551,541 0 0 0 0 0 0 0 0 0 0 0 0 28,529,708

49 MCVEAN TRADING & INVESTMENTS LLC FCM NFA 5/30/2014 13,841,573 2,520,516 11,321,057 825,343,552 804,981,501 20,362,051 18,000,000 2,417,861 0 2,417,861 400,000 0 0 0 0 0

50 MERRILL LYNCH PIERCE FENNER & SMITH FCM BD CBOT 5/31/2014 10,821,011,315 1,066,613,777 9,754,397,538 10,029,549,848 9,733,379,601 296,170,247 225,000,000 2,962,689,931 2,665,000,324 297,689,607 200,000,000 1,988,161,446 1,791,789,278 196,372,168 100,000,000 0

51 MERRILL LYNCH PROFESSIONAL CLEARING CORP FCM BD NFA 5/31/2014 2,127,847,252 376,682,664 1,751,164,588 1,702,879,325 1,062,195,986 640,683,339 300,000,000 4,351,285 646,038 3,705,247 3,000,000 1,000 0 1,000 1 0

52 MID CO COMMODITIES INC FCM NFA 5/31/2014 8,476,264 4,844,375 3,631,889 55,667,848 46,844,265 8,823,583 5,000,000 0 0 0 0 0 0 0 0 0

53 MINT BROKERS FCM BD NFA 5/31/2014 9,857,895 1,000,000 8,857,895 0 0 0 0 0 0 0 0 0 0 0 0 0

54 MITSUBISHI UFJ SECURITIES USA INC FCM BD NFA 5/31/2014 194,544,409 1,060,805 193,483,604 0 0 0 0 0 0 0 0 0 0 0 0 0

55 MIZUHO SECURITIES USA INC FCM BD SD CME/NFA 5/31/2014 477,785,681 229,473,495 248,312,186 2,683,803,830 2,484,416,814 199,387,016 150,000,000 687,263,934 586,511,626 100,752,308 80,000,000 116,320,423 90,998,605 25,321,818 20,000,000 0

56 MORGAN STANLEY & CO LLC FCM BD SD CME/NFA 5/31/2014 9,611,145,083 1,568,004,044 8,043,141,039 10,317,648,730 10,109,182,420 208,466,310 105,000,000 2,545,187,281 2,338,967,869 206,219,412 105,000,000 4,308,326,603 4,191,969,998 116,356,605 92,000,000 0

57 MORGAN STANLEY SMITH BARNEY LLC FCM BD NFA 5/31/2014 5,101,171,040 167,946,187 4,933,224,853 625,621,881 557,723,598 67,898,283 44,617,888 49,074,621 35,566,738 13,507,883 10,670,021 0 0 0 0 0

58 NEUBERGER BERMAN LLC FCM BD NFA 5/31/2014 67,585,285 1,500,000 66,085,285 0 0 0 0 0 0 0 0 0 0 0 0 0

59 NEWEDGE USA LLC FCM BD SD NYME/NFA 5/31/2014 1,800,995,284 1,024,338,454 776,656,830 14,338,647,200 13,730,490,294 608,156,906 500,000,000 3,427,725,783 3,072,592,577 355,133,206 255,000,000 572,317,536 447,182,235 125,135,301 75,000,000 0

60 NOMURA SECURITIES INTERNATIONAL INC FCM BD CBOT 5/31/2014 1,916,179,203 56,469,716 1,859,709,487 79,743,031 67,942,500 11,800,531 10,000,000 8,681,917 20,551 8,661,366 1,000,000 39,784,754 18,600,790 21,183,964 20,000,000 0

61 OANDA CORPORATION FCMRFD NFA 5/31/2014 120,067,784 25,863,391 94,204,393 0 0 0 0 0 0 0 0 0 0 0 0 127,267,815

62 OPPENHEIMER & CO INC FCM BD NFA 5/31/2014 147,672,991 28,012,191 119,660,800 30,289,196 9,487,931 20,801,265 1,842,886 0 0 0 0 0 0 0 0 0

63 OPTIONSXPRESS INC FCM BD NFA 5/31/2014 118,678,402 6,514,270 112,164,132 112,243,930 88,475,105 23,768,825 8,847,511 2,208,732 1,054,475 1,154,257 105,448 0 0 0 0 0

64 PHILLIP FUTURES INC FCM CME 5/31/2014 27,963,691 20,000,000 7,963,691 148,202,816 130,739,596 17,463,220 6,536,980 8,546,475 2,134,901 6,411,574 106,745 0 0 0 0 0

65 RAND FINANCIAL SERVICES INC FCM CME 5/31/2014 79,846,880 17,195,953 62,650,927 274,757,800 230,749,400 44,008,400 6,922,500 28,544,600 6,813,600 21,731,000 204,400 0 0 0 0 0

66 RBC CAPITAL MARKETS LLC FCM BD CME 5/31/2014 1,054,485,532 125,189,885 929,295,647 1,204,142,685 1,110,127,235 94,015,450 80,000,000 217,760,923 103,060,964 114,699,959 20,000,000 0 0 0 0 0

67 RBS SECURITIES INC FCM BD CBOT 5/31/2014 4,317,696,886 167,868,144 4,149,828,742 1,848,121,790 1,693,879,202 154,242,588 125,000,000 191,027,848 36,234,164 154,793,684 100,000,000 341,064,411 210,646,620 130,417,791 80,000,000 0

68 RJ OBRIEN ASSOCIATES LLC FCM SD CME/NFA 5/31/2014 203,758,817 163,459,237 40,299,580 4,000,595,838 3,891,030,401 109,565,437 40,000,000 200,287,352 175,532,617 24,754,735 20,000,000 0 0 0 0 639,189

69 ROSENTHAL COLLINS GROUP LLC FCM CME 5/31/2014 82,308,683 60,704,341 21,604,342 1,551,454,876 1,524,608,271 26,846,605 18,000,000 33,804,183 23,796,331 10,007,852 9,000,000 0 0 0 0 0

70 SANFORD C BERNSTEIN & CO LLC FCM BD NFA 5/31/2014 170,219,547 20,927,241 149,292,306 0 0 0 0 0 0 0 0 0 0 0 0 0

71 SANTANDER INVESTMENT SECURITIES INC FCM BD NYME 5/31/2014 112,545,141 11,903,424 100,641,717 779,793,280 777,397,885 2,395,395 2,000,000 0 0 0 0 0 0 0 0 0

72 STATE STREET GLOBAL MARKETS LLC FCM BD CME 5/31/2014 540,198,120 56,596,039 483,602,081 712,659,734 523,783,086 188,876,648 26,189,154 55,553,699 14,697,669 40,856,030 15,000,000 295,480,812 195,210,917 100,269,895 50,000,000 0

73 STRAITS FINANCIAL LLC FCM CME 5/31/2014 8,727,239 5,328,235 3,399,004 150,900,156 145,313,837 5,586,319 2,000,000 27,329,009 25,067,379 2,261,630 300,000 0 0 0 0 0

74 TD AMERITRADE INC FCM BD NFA 5/31/2014 272,499,318 18,683,304 253,816,014 287,140,124 233,261,316 53,878,808 18,000,000 0 0 0 0 0 0 0 0 0

75 THE LINN GROUP FCM NFA 5/31/2014 3,249,250 1,726,261 1,522,989 82,116,207 78,670,682 3,445,525 2,000,000 296,454 64,080 232,374 16,020 0 0 0 0 0

76 TIMBER HILL LLC FCM BD CME 5/31/2014 399,225,736 57,711,830 341,513,906 803,179,644 798,159,742 5,019,902 1,000,000 0 0 0 0 0 0 0 0 0

77 TRADESTATION SECURITIES INC FCM BD NFA 5/31/2014 53,897,524 5,089,669 48,807,855 450,950,154 440,687,221 10,262,933 9,000,000 22,290,171 21,060,565 1,229,606 800,000 0 0 0 0 0

78 UBS FINANCIAL SERVICES INC FCM BD NFA 5/31/2014 1,360,954,672 95,724,599 1,265,230,073 129,227,221 98,148,247 31,078,974 22,000,000 24,844,496 2,239,865 22,604,631 15,000,000 0 0 0 0 0

79 UBS SECURITIES LLC FCM BD CBOT 5/31/2014 8,524,626,428 965,828,884 7,558,797,544 8,515,850,786 7,904,815,271 611,035,515 553,337,069 4,568,108,326 4,139,419,780 428,688,546 400,000,000 933,078,474 707,085,413 225,993,061 200,000,000 0

80 VISION FINANCIAL MARKETS LLC FCM BD CME 5/31/2014 32,784,139 17,606,924 15,177,215 558,748,341 546,045,498 12,702,843 8,000,000 16,226,914 13,571,310 2,655,604 1,500,000 0 0 0 0 0

81 WELLS FARGO ADVISORS FINANCIAL NETWORK LLC FCM BD NFA 5/30/2014 65,357,828 1,000,000 64,357,828 0 0 0 0 0 0 0 0 0 0 0 0 0

82 WELLS FARGO ADVISORS LLC FCM BD NFA 5/31/2014 2,187,152,583 1,500,000 2,185,652,583 0 0 0 0 0 0 0 0 0 0 0 0 0

83 WELLS FARGO SECURITIES LLC FCM BD CME 5/31/2014 2,806,204,754 240,942,763 2,565,261,991 707,881,296 565,115,985 142,765,311 25,000,000 14,516,353 4,485,267 10,031,086 3,000,000 1,546,422,544 1,315,080,663 231,341,881 100,000,000 0

Registered 

As DSRO As ofDate

Futures Commission Merchant /

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

May 31, 2014

FROM REPORTS FILED BY 

June 30, 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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Registered 

As DSRO As ofDate

Futures Commission Merchant /

Retail Foreign Exchange Dealer Adjusted Net Capital 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

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84 WHOTRADES FX LLC FCM NFA 5/31/2014 1,900,221 1,000,000 900,221 0 0 0 0 0 0 0 0 0 0 0 0 0

85 XCHANGE FINANCIAL ACCESS LLC FCM BD NFA 5/31/2014 6,633,731 1,153,237 5,480,494 29,263,386 27,162,853 2,100,533 1,750,000 0 0 0 0 0 0 0 0 0

86 YORK BUSINESS ASSOCIATES LLC FCM NFA 5/31/2014 4,735,836 1,000,000 3,735,836 48,198,290 45,600,249 2,598,041 700,000 2,064,992 1,759,217 305,775 200,000 0 0 0 0 0

Totals 161,675,318,212 150,166,611,252 11,508,706,960 7,521,845,565 39,331,657,479 34,953,454,575 4,378,202,904 2,980,374,813 40,435,277,871 34,031,418,551 6,403,859,320 2,609,838,924 599,969,436

April Web Page Update 88

Additions 0

None

Deletions 2

ALPARI (US) LLC

LPL FINANCIAL LLC

Name Changes

None

May Web Page Update 86

(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.

 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.

(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.

(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.