Futures Commission Merchant / 

Retail Foreign Exchange Dealer

Registered 

As DSRO As ofDate

Adjusted Net 

Capital

Net Capital 

Requirement

Excess Net 

Capital

Customers' 

Assets in Seg

Customers' Seg 

Required 

4d(a)(2)

Excess/Deficient 

Funds in Seg

Target Residual 

Interest 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 

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

Total Amount of 

Retail Forex 

Obligation

(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 3/31/2017 647,908,861 183,913,863 463,994,998 3,089,789,218 2,754,407,697 335,381,521 162,911,310 127,740,354 103,454,944 24,285,410 10,345,494 0 0 0 0 0

2 ADM INVESTOR SERVICES INC FCM CBOT 3/31/2017 306,488,623 195,242,687 111,245,936 4,828,586,473 4,596,823,246 231,763,227 120,000,000 432,906,105 374,993,050 57,913,055 20,000,000 12,493,640 2,952,212 9,541,428 8,000,000 0

3 ADVANTAGE FUTURES LLC FCM CME 3/31/2017 24,769,297 17,539,354 7,229,943 648,726,590 634,710,901 14,015,689 9,000,000 46,466,323 44,526,406 1,939,917 1,000,000 0 0 0 0 0

4 AMP GLOBAL CLEARING LLC FCM NFA 3/31/2017 2,683,234 1,500,000 1,183,234 55,148,978 52,123,202 3,025,776 900,000 1,786,957 1,484,223 302,734 150,000 0 0 0 0 0

5 APERTURE LLC FCM NFA 3/31/2017 28,137,072 1,051,483 27,085,589 8,165,370 5,989,290 2,176,080 600,000 0 0 0 0 0 0 0 0 0

6 APEX CLEARING CORPORATION FCM BD NFA 3/31/2017 125,809,830 20,336,350 105,473,480 0 0 0 0 0 0 0 0 0 0 0 0 0

7 BARCLAYS CAPITAL INC FCM BD NYME 3/31/2017 7,780,515,625 1,248,147,258 6,532,368,367 6,216,816,398 5,582,356,115 634,460,283 307,029,586 4,027,156,816 3,600,004,400 427,152,416 180,720,221 5,740,881,470 5,040,654,516 700,226,954 200,113,984 0

8 BGC FINANCIAL LP FCM BD NFA 3/31/2017 44,620,651 1,931,451 42,689,200 0 0 0 0 0 0 0 0 0 0 0 0 0

9 BNP PARIBAS PRIME BROKERAGE INC FCM BD NYME 3/31/2017 1,544,286,634 206,288,371 1,337,998,263 2,419,507,392 2,221,635,459 197,871,933 150,000,000 36,630,771 26,835,262 9,795,509 7,500,000 22,653,235 13,017,938 9,635,297 7,500,000 0

10 BNP PARIBAS SECURITIES CORP FCM BD CBOT 3/31/2017 1,560,901,056 234,078,640 1,326,822,416 1,217,604,143 1,114,041,881 103,562,262 82,500,000 101,549,869 72,670,548 28,879,321 22,500,000 828,734,125 678,458,862 150,275,263 120,000,000 0

11 BOCI COMMODITIES & FUTURES USA LLC FCM CME 3/31/2017 8,024,689 1,485,052 6,539,637 19,910,687 16,868,765 3,041,922 1,000,000 6 0 6 1 6 0 6 1 0

12 CANTOR FITZGERALD & CO FCM BD CBOT 3/31/2017 272,093,587 4,737,028 267,356,559 4,969,921 0 4,969,921 3,000,000 0 0 0 0 0 0 0 0 0

13 CHS HEDGING LLC FCM CBOT 3/31/2017 38,242,268 9,211,023 29,031,245 183,451,694 131,430,349 52,021,345 13,100,000 1,740,510 212,614 1,527,896 545,000 503,912 0 503,912 310,000 0

14 CITIGROUP GLOBAL MARKETS INC FCM BD SD CBOT/NFA 3/31/2017 10,538,766,077 1,958,199,343 8,580,566,734 9,019,909,240 8,534,698,345 485,210,895 324,200,000 1,865,407,726 1,683,837,691 181,570,035 150,000,000 16,667,843,185 16,272,503,976 395,339,209 304,875,000 0

15 CREDIT SUISSE SECURITIES (USA) LLC FCM BD CBOT 3/31/2017 9,883,940,154 1,564,303,458 8,319,636,696 6,789,049,430 6,379,363,812 409,685,618 318,968,191 3,292,867,774 3,090,549,799 202,317,975 154,527,490 13,274,968,747 12,573,142,215 701,826,532 628,657,111 0

16 CUNNINGHAM COMMODITIES LLC FCM CBOT 3/31/2017 5,191,796 1,196,385 3,995,411 69,377,038 65,556,979 3,820,059 3,050,000 166,207 5,610 160,597 50,000 0 0 0 0 0

17 DAIWA CAPITAL MARKETS AMERICA INC FCM BD CME 3/31/2017 630,257,901 8,642,039 621,615,862 2,168,517 0 2,168,517 1 550,020 0 550,020 1 0 0 0 0 0

18 DEUTSCHE BANK SECURITIES INC FCM BD CBOT 3/31/2017 12,573,164,302 586,310,757 11,986,853,545 3,328,360,125 3,124,754,804 203,605,321 125,000,000 769,770,250 644,824,621 124,945,629 75,000,000 557,362,698 356,989,422 200,373,276 100,000,000 0

19 DORMAN TRADING LLC FCM CME 3/31/2017 11,408,920 1,995,541 9,413,379 171,482,253 167,413,637 4,068,616 2,000,000 3,857,981 3,171,641 686,340 200,000 0 0 0 0 0

20 E D & F MAN CAPITAL MARKETS INC FCM BD CME 3/31/2017 124,979,104 61,303,549 63,675,555 1,600,165,898 1,534,572,764 65,593,134 35,000,000 45,248,263 37,695,617 7,552,646 5,000,000 3,015,971 1,876,357 1,139,614 500,000 0

21 E TRADE SECURITIES LLC FCM BD NFA 3/31/2017 1,005,838,227 167,198,816 838,639,411 75,193,221 56,942,610 18,250,611 10,000,000 1,000,000 0 1,000,000 1,000,000 0 0 0 0 0

22 EFL FUTURES LIMITED FCM CME 3/31/2017 38,865,437 19,844,892 19,020,545 265,549,609 252,029,696 13,519,913 5,000,000 0 0 0 0 0 0 0 0 0

23 GAIN CAPITAL GROUP LLC FCMRFD NFA 3/31/2017 43,579,557 34,100,367 9,479,190 296,391,327 284,362,288 12,029,039 10,000,000 4,788,199 3,099,833 1,688,366 1,000,000 0 0 0 0 272,197,721

24 GH FINANCIALS LLC FCM CME 3/31/2017 21,680,778 5,849,281 15,831,497 108,730,735 96,585,125 12,145,610 6,000,000 2,885,441 1,805,541 1,079,900 550,000 0 0 0 0 0

25 GOLDMAN SACHS & CO FCM BD SD CBOT/NFA 3/31/2017 16,094,995,138 2,592,908,988 13,502,086,150 24,589,390,439 23,533,256,545 1,056,133,894 875,000,000 12,137,941,524 11,491,873,210 646,068,314 475,000,000 4,981,784,504 4,486,872,928 494,911,576 350,000,000 0

26 HSBC SECURITIES USA INC FCM BD CME 3/31/2017 1,039,962,375 229,785,907 810,176,468 1,276,994,848 1,194,996,998 81,997,850 70,000,000 203,043,588 167,173,541 35,870,047 25,000,000 1,197,456,450 1,074,102,512 123,353,938 100,000,000 0

27 INTERACTIVE BROKERS LLC FCM BD CME 3/31/2017 3,105,501,166 313,264,318 2,792,236,848 3,495,675,560 3,224,540,007 271,135,553 155,000,000 522,822,164 393,172,541 129,649,623 80,000,000 0 0 0 0 32,909,904

28 INTL FCSTONE FINANCIAL INC FCM BD CME 3/31/2017 146,715,915 83,361,183 63,354,732 2,126,966,838 2,075,580,269 51,386,569 35,000,000 145,523,853 128,696,880 16,826,973 8,000,000 0 0 0 0 0

29 IRONBEAM INC FCM NFA 3/31/2017 3,640,657 1,282,306 2,358,351 72,999,545 71,555,354 1,444,191 800,000 668,104 451,864 216,240 50,000 0 0 0 0 0

30 JEFFERIES LLC FCM BD NFA 3/31/2017 1,377,615,631 81,079,585 1,296,536,046 0 0 0 0 0 0 0 0 0 0 0 0 0

31 JP MORGAN SECURITIES LLC FCM BD SD CEI/NFA 3/31/2017 15,303,940,210 2,831,706,429 12,472,233,781 19,313,940,552 17,782,245,685 1,531,694,867 978,023,513 4,786,447,962 4,311,316,037 475,131,925 366,461,863 11,155,679,476 10,274,967,977 880,711,499 642,185,499 0

32 MACQUARIE FUTURES USA LLC FCM CBOT 3/31/2017 278,766,403 147,701,726 131,064,677 2,008,088,552 1,796,464,628 211,623,924 100,000,000 47,089,302 27,948,229 19,141,073 7,000,000 30,274,104 11,567,883 18,706,221 1,000,000 0

33 MAREX NORTH AMERICA LLC FCM CME 3/31/2017 33,479,259 21,484,990 11,994,269 279,545,579 273,574,628 5,970,951 5,200,000 56,457,417 54,988,193 1,469,224 1,000,000 0 0 0 0 0

34 MCVEAN TRADING & INVESTMENTS LLC FCM NFA 3/31/2017 13,466,851 1,040,139 12,426,712 764,366,441 742,950,468 21,415,973 18,000,000 2,417,861 0 2,417,861 1,000,000 0 0 0 0 0

35 MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED FCM BD CBOT 3/31/2017 12,532,476,418 1,703,172,836 10,829,303,582 13,964,204,041 13,672,376,940 291,827,101 200,000,000 3,707,178,532 3,433,930,291 273,248,241 150,000,000 5,559,993,011 5,070,564,987 489,428,024 150,000,000 0

36 MERRILL LYNCH PROFESSIONAL CLEARING CORP FCM BD NFA 3/31/2017 3,421,985,663 518,263,010 2,903,722,653 2,030,070,706 1,368,736,091 661,334,615 300,000,000 0 0 0 0 0 0 0 0 0

37 MID CO COMMODITIES INC FCM NFA 3/31/2017 8,380,610 3,243,221 5,137,389 40,736,672 31,564,929 9,171,743 5,138,000 0 0 0 0 0 0 0 0 0

38 MINT BROKERS FCM BD NFA 3/31/2017 5,035,441 1,000,000 4,035,441 0 0 0 0 0 0 0 0 0 0 0 0 0

39 MIZUHO SECURITIES USA INC FCM BD SD CME/NFA 3/31/2017 748,864,017 225,314,735 523,549,282 2,649,172,640 2,450,480,064 198,692,576 125,000,000 702,835,614 576,763,662 126,071,952 70,000,000 44,366,127 14,274,428 30,091,699 15,000,000 0

40 MORGAN STANLEY & CO LLC FCM BD SD CME/NFA 3/31/2017 10,153,966,189 2,205,489,830 7,948,476,359 15,855,934,514 15,587,383,129 268,551,385 210,000,000 4,698,796,694 4,491,031,763 207,764,931 160,000,000 12,810,785,440 12,697,262,301 113,523,139 92,000,000 0

41 MUFG SECURITIES AMERICAS INC FCM BD NFA 3/31/2017 358,780,917 1,021,745 357,759,172 0 0 0 0 0 0 0 0 0 0 0 0 0

42 NANHUA USA LLC FCM CME 3/31/2017 18,091,491 4,925,080 13,166,411 108,757,256 96,487,165 12,270,091 3,500,000 0 0 0 0 0 0 0 0 0

43 NOMURA SECURITIES INTERNATIONAL INC FCM BD CBOT 3/31/2017 2,838,304,858 73,760,594 2,764,544,264 289,184,755 186,955,294 102,229,461 15,000,000 17,326,780 73,057 17,253,723 1,000,000 0 0 0 0 0

44 OANDA CORPORATION FCMRFD NFA 3/31/2017 67,702,895 51,879,052 15,823,843 0 0 0 0 0 0 0 0 0 0 0 0 161,560,026

45 OPTIONSXPRESS INC FCM BD NFA 3/31/2017 284,762,230 7,133,514 277,628,716 128,709,942 87,982,286 40,727,656 13,197,343 2,354,829 867,323 1,487,506 130,099 0 0 0 0 0

46 PHILLIP CAPITAL INC FCM BD CME 3/31/2017 31,671,366 13,125,306 18,546,060 194,839,654 182,850,100 11,989,554 9,142,505 36,704,143 30,036,874 6,667,269 1,501,844 0 0 0 0 0

47 PICTET OVERSEAS INC FCM BD NFA 3/31/2017 17,971,968 1,000,000 16,971,968 0 0 0 0 0 0 0 0 0 0 0 0 0

48 RAND FINANCIAL SERVICES INC FCM CME 3/31/2017 84,395,031 16,749,828 67,645,203 219,533,900 177,160,500 42,373,400 5,314,800 46,539,200 23,116,200 23,423,000 693,500 0 0 0 0 0

49 RBC CAPITAL MARKETS LLC FCM BD CME 3/31/2017 2,324,452,484 249,380,575 2,075,071,909 2,581,030,143 2,327,705,875 253,324,268 160,000,000 292,985,446 251,107,013 41,878,433 20,000,000 891,436,006 634,164,000 257,272,006 80,000,000 0

50 RBS SECURITIES INC FCM BD CBOT 3/31/2017 1,045,214,363 54,421,081 990,793,282 1,008,660,866 807,685,122 200,975,744 125,000,000 149,087,922 22,057,304 127,030,618 100,000,000 0 0 0 0 0

51 RJ OBRIEN ASSOCIATES LLC FCM SD CME/NFA 3/31/2017 204,444,213 154,294,693 50,149,520 4,147,177,082 4,059,590,845 87,586,237 50,000,000 227,796,192 201,586,043 26,210,149 20,000,000 0 0 0 0 0

52 ROSENTHAL COLLINS GROUP LLC FCM CME 3/31/2017 79,208,928 50,860,187 28,348,741 1,272,414,367 1,246,086,683 26,327,684 18,000,000 34,122,312 22,106,774 12,015,538 8,000,000 0 0 0 0 0

53 SANTANDER INVESTMENT SECURITIES INC FCM BD NYME 3/31/2017 134,903,744 21,801,860 113,101,884 554,497,763 544,082,320 10,415,443 4,000,000 0 0 0 0 0 0 0 0 0

54 SCOTIA CAPITAL USA INC FCM BD CME 3/31/2017 716,706,317 49,873,622 666,832,695 0 0 0 0 0 0 0 0 0 0 0 0 0

55 SG AMERICAS SECURITIES LLC FCM BD CME 3/31/2017 4,126,074,840 1,280,378,713 2,845,696,127 14,473,557,521 13,578,976,937 894,580,584 500,000,000 4,518,078,376 3,994,946,133 523,132,243 255,000,000 600,376,503 355,903,583 244,472,920 75,000,000 0

56 STRAITS FINANCIAL LLC FCM CME 3/31/2017 20,884,471 8,425,712 12,458,759 264,595,308 253,237,449 11,357,859 2,000,000 35,346,318 27,530,023 7,816,295 300,000 0 0 0 0 0

57 TD AMERITRADE FUTURES & FOREX LLC FCM NFA 3/31/2017 107,468,399 22,354,149 85,114,250 304,493,073 241,238,053 63,255,020 25,000,000 0 0 0 0 0 0 0 0 57,082,986

58 TRADESTATION SECURITIES INC FCM BD CME 3/31/2017 75,921,022 4,139,145 71,781,877 548,510,966 536,909,604 11,601,362 9,000,000 25,862,712 24,134,573 1,728,139 800,000 0 0 0 0 0

59 UBS FINANCIAL SERVICES INC FCM BD NFA 3/31/2017 1,279,952,100 121,411,307 1,158,540,793 129,431,918 94,173,660 35,258,258 22,000,000 32,828,515 6,124,621 26,703,894 15,000,000 0 0 0 0 0

60 UBS SECURITIES LLC FCM BD CBOT 3/31/2017 4,804,298,092 993,192,464 3,811,105,628 8,594,024,190 8,092,377,887 501,646,303 425,000,000 5,312,410,275 4,940,307,115 372,103,160 300,000,000 977,716,026 710,473,896 267,242,130 200,000,000 0

61 UOBBF CLEARING LIMITED FCM CME 3/31/2017 25,968,297 2,307,787 23,660,510 48,070,242 44,677,299 3,392,943 2,000,000 0 0 0 0 0 0 0 0 0

62 WEDBUSH SECURITIES INC FCM BD CBOT 3/31/2017 164,489,762 24,639,122 139,850,640 1,432,747,872 1,415,003,682 17,744,190 13,000,000 21,371,983 18,808,977 2,563,006 1,000,000 0 0 0 0 0

63 WELLS FARGO SECURITIES LLC FCM BD CME 3/31/2017 4,066,972,774 923,775,727 3,143,197,047 4,036,609,096 3,675,277,115 361,331,981 275,000,000 327,956,429 235,020,997 92,935,432 30,000,000 8,395,867,076 7,681,979,435 713,887,641 625,000,000 0

64 YORK BUSINESS ASSOCIATES LLC FCM NFA 3/31/2017 4,699,064 1,000,000 3,699,064 42,702,206 38,274,646 4,427,560 2,000,000 2,218,761 1,776,384 442,377 200,000 0 0 0 0 0

Totals 169,266,689,304 159,099,105,222 10,167,584,082 6,444,575,249 48,856,732,380 44,566,117,422 4,290,614,958 2,727,225,513 83,754,191,712 77,951,729,428 5,802,462,284 3,700,141,595 523,750,637

February Web Page Update 63

Additions 1

APEX CLEARING CORPORATION

Deletions 0

None

Name Changes

March Web Page Update 64

None
 RFED: Retail Foreign Exchange Dealer that is registered with the Commodity Futures Trading Commission.

(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.

 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.

•  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

(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: 

(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.

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

•  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.

(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.

(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.

(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.

(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.

(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. 

(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.

(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.

(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.