SELECTED FCM FINANCIAL DATA AS OF 

June 30, 2016

FROM REPORTS FILED BY 

July 26, 2016

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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

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 6/30/2016 558,448,835 166,912,485 391,536,350 2,920,130,990 2,618,085,012 302,045,978 152,527,838 138,610,596 110,001,600 28,608,996 11,000,160 0 0 0 0 0

2 ADM INVESTOR SERVICES INC FCM CBOT 6/30/2016 312,768,626 206,422,274 106,346,352 4,856,097,021 4,594,418,699 261,678,322 120,000,000 370,885,798 312,177,768 58,708,030 20,000,000 12,545,152 1,625,051 10,920,101 8,000,000 0

3 ADVANTAGE FUTURES LLC FCM CME 6/30/2016 23,010,989 12,607,226 10,403,763 562,998,148 545,954,726 17,043,422 8,500,000 33,550,787 31,755,484 1,795,303 1,000,000 0 0 0 0 0

4 AMP GLOBAL CLEARING LLC FCM NFA 6/30/2016 2,409,341 1,500,000 909,341 57,610,708 56,033,427 1,577,281 900,000 1,908,899 1,583,490 325,409 150,000 0 0 0 0 0

5 APERTURE LLC FCM NFA 6/30/2016 14,675,960 1,000,000 13,675,960 1,888,135 1,322,667 565,468 300,000 0 0 0 0 0 0 0 0 0

6 BARCLAYS CAPITAL INC FCM BD NYME 6/30/2016 7,318,924,545 1,108,007,170 6,210,917,375 6,078,217,882 5,197,645,996 880,571,886 285,870,530 3,008,452,995 2,644,609,913 363,843,082 132,759,418 5,763,722,820 4,953,572,154 810,150,666 279,381,469 0

7 BGC FINANCIAL LP FCM BD NFA 6/30/2016 30,940,754 1,348,888 29,591,866 0 0 0 0 0 0 0 0 0 0 0 0 0

8 BNP PARIBAS PRIME BROKERAGE INC FCM BD NYME 6/30/2016 2,148,112,072 221,726,594 1,926,385,478 2,760,076,718 2,451,199,507 308,877,211 245,119,951 46,546,977 26,101,293 20,445,684 10,000,000 19,616,625 11,516,825 8,099,800 5,000,000 0

9 BNP PARIBAS SECURITIES CORP FCM BD CBOT 6/30/2016 1,901,568,714 233,915,979 1,667,652,735 1,182,456,289 953,600,852 228,855,437 190,720,170 205,089,249 173,752,325 31,336,924 17,375,233 1,017,800,432 762,893,074 254,907,358 76,289,307 0

10 BOCI COMMODITIES & FUTURES USA LLC FCM CME 6/30/2016 9,562,728 1,000,000 8,562,728 24,210,815 22,618,836 1,591,979 1,000,000 185 0 185 1 6 0 6 1 0

11 CANTOR FITZGERALD & CO FCM BD CBOT 6/30/2016 330,089,696 17,918,703 312,170,993 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 6/30/2016 34,364,608 12,140,883 22,223,725 166,445,432 129,509,028 36,936,404 13,100,000 2,046,349 614,645 1,431,704 545,000 503,912 0 503,912 310,000 0

13 CITIGROUP GLOBAL MARKETS INC FCM BD SD CBOT/NFA 6/30/2016 8,101,303,565 1,617,945,730 6,483,357,835 9,002,340,575 8,634,628,372 367,712,203 322,500,000 1,366,493,905 1,180,879,120 185,614,785 150,000,000 11,403,991,399 11,012,184,934 391,806,465 257,975,000 0

14 CREDIT SUISSE SECURITIES (USA) LLC FCM BD CBOT 6/30/2016 11,596,945,878 1,525,997,414 10,070,948,464 6,359,746,092 5,898,019,896 461,726,196 294,900,995 2,796,895,888 2,580,491,893 216,403,995 129,024,595 11,480,532,720 10,766,089,589 714,443,131 538,304,479 0

15 CUNNINGHAM COMMODITIES LLC FCM CBOT 6/30/2016 5,211,965 1,301,088 3,910,877 69,822,991 65,606,320 4,216,671 3,050,000 233,105 16,885 216,220 100,000 0 0 0 0 0

16 DAIWA CAPITAL MARKETS AMERICA INC FCM BD CME 6/30/2016 564,091,335 6,953,789 557,137,546 5,481,436 0 5,481,436 1 571,701 0 571,701 1 0 0 0 0 0

17 DEUTSCHE BANK SECURITIES INC FCM BD CBOT 6/30/2016 12,470,192,638 666,873,308 11,803,319,330 3,964,006,142 3,636,540,613 327,465,529 200,000,000 1,239,472,639 943,841,302 295,631,337 150,000,000 1,791,145,482 1,454,842,691 336,302,791 250,000,000 0

18 DORMAN TRADING LLC FCM CME 6/30/2016 9,677,432 1,616,314 8,061,118 167,465,628 163,359,860 4,105,768 2,000,000 4,632,339 3,825,556 806,783 200,000 0 0 0 0 0

19 E D & F MAN CAPITAL MARKETS INC FCM BD CME 6/30/2016 115,932,297 64,760,085 51,172,212 1,480,578,150 1,424,681,241 55,896,909 20,000,000 66,820,595 59,790,224 7,030,371 3,000,000 2,400,531 1,273,994 1,126,537 500,000 0

20 E TRADE CLEARING LLC FCM BD NFA 6/30/2016 875,186,986 150,240,498 724,946,488 63,877,770 47,471,291 16,406,479 10,000,000 1,371,298 262,084 1,109,214 1,000,000 0 0 0 0 0

21 EFL FUTURES LIMITED FCM CME 6/30/2016 30,485,341 18,128,718 12,356,623 249,635,384 236,490,710 13,144,674 5,000,000 0 0 0 0 0 0 0 0 0

22 FOREX CAPITAL MARKETS LLC FCMRFD SD NFA 6/30/2016 53,187,254 34,203,865 18,983,389 0 0 0 0 0 0 0 0 0 0 0 0 174,991,480

23 GAIN CAPITAL GROUP LLC FCMRFD NFA 6/30/2016 42,136,984 27,451,578 14,685,406 432,245,904 415,803,905 16,441,999 5,000,000 5,353,503 3,698,988 1,654,515 1,000,000 0 0 0 0 129,705,882

24 GH FINANCIALS LLC FCM CME 6/30/2016 15,905,461 7,951,463 7,953,998 119,344,810 106,500,802 12,844,008 4,000,000 3,314,559 2,271,008 1,043,551 550,000 0 0 0 0 0

25 GOLDMAN SACHS & CO FCM BD SD CBOT/NFA 6/30/2016 17,085,387,553 2,581,888,469 14,503,499,084 22,960,540,874 21,933,726,394 1,026,814,480 875,000,000 11,948,916,320 11,362,627,298 586,289,022 475,000,000 3,795,006,602 3,331,979,299 463,027,303 350,000,000 0

26 GOLDMAN SACHS EXECUTION & CLEARING LP FCM BD CME 6/30/2016 237,176,702 1,000,000 236,176,702 10,000,000 0 10,000,000 5,000,000 10,000,000 0 10,000,000 5,000,000 0 0 0 0 0

27 HSBC SECURITIES USA INC FCM BD CME 6/30/2016 1,086,212,148 213,643,521 872,568,627 1,325,166,408 1,218,950,075 106,216,333 70,000,000 213,476,233 166,889,053 46,587,180 25,000,000 980,310,228 863,924,957 116,385,271 96,000,000 0

28 INTERACTIVE BROKERS LLC FCM BD CME 6/30/2016 2,923,386,601 244,504,730 2,678,881,871 3,051,122,488 2,841,904,688 209,217,800 155,000,000 454,069,131 332,085,864 121,983,267 80,000,000 0 0 0 0 31,835,244

29 INTL FCSTONE FINANCIAL INC FCM BD CME 6/30/2016 128,720,062 82,169,077 46,550,985 1,991,417,928 1,939,474,806 51,943,122 35,000,000 116,443,401 98,874,843 17,568,558 8,000,000 0 0 0 0 0

30 IRONBEAM INC FCM NFA 6/30/2016 2,307,206 1,480,687 826,519 63,283,479 61,898,225 1,385,254 800,000 252,502 128,141 124,361 50,000 0 0 0 0 0

31 ITG DERIVATIVES LLC FCM BD NFA 6/30/2016 2,273,301 1,000,000 1,273,301 0 0 0 0 0 0 0 0 0 0 0 0 0

32 JEFFERIES LLC FCM BD NFA 6/30/2016 1,302,945,787 83,500,670 1,219,445,117 0 0 0 0 0 0 0 0 0 0 0 0 0

33 JP MORGAN CLEARING CORP FCM BD NFA 6/30/2016 7,201,207,283 1,554,239,361 5,646,967,922 824,736,147 613,823,481 210,912,666 122,764,696 631,083,460 469,521,726 161,561,734 93,904,345 250,000 0 250,000 1 0

34 JP MORGAN SECURITIES LLC FCM BD SD CEI/NFA 6/30/2016 13,568,089,663 2,577,261,508 10,990,828,155 18,348,008,771 16,676,008,357 1,672,000,414 833,800,418 3,947,206,667 3,587,224,419 359,982,248 251,105,709 9,992,798,585 9,095,240,401 897,558,184 636,666,828 0

35 MACQUARIE FUTURES USA LLC FCM CBOT 6/30/2016 251,619,279 178,231,829 73,387,450 2,650,561,191 2,470,268,282 180,292,909 100,000,000 99,805,047 65,763,840 34,041,207 7,000,000 27,524,891 9,035,104 18,489,787 1,000,000 0

36 MAREX NORTH AMERICA LLC FCM CME 6/30/2016 23,541,566 15,022,462 8,519,104 226,791,309 215,468,762 11,322,547 5,200,000 55,122,990 53,688,725 1,434,265 1,000,000 0 0 0 0 0

37 MCVEAN TRADING & INVESTMENTS LLC FCM NFA 6/30/2016 13,640,135 2,109,214 11,530,921 823,654,749 801,947,352 21,707,397 18,000,000 2,417,861 0 2,417,861 400,000 0 0 0 0 0

38 MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED FCM BD CBOT 6/30/2016 11,435,064,095 1,553,829,249 9,881,234,846 13,172,096,892 12,880,143,857 291,953,035 200,000,000 3,481,205,326 3,215,119,793 266,085,533 150,000,000 5,848,660,741 5,254,975,744 593,684,997 150,000,000 0

39 MERRILL LYNCH PROFESSIONAL CLEARING CORP FCM BD NFA 6/30/2016 3,166,152,388 534,938,344 2,631,214,044 1,269,221,883 566,055,986 703,165,897 300,000,000 0 0 0 0 0 0 0 0 0

40 MID CO COMMODITIES INC FCM NFA 6/30/2016 8,314,128 4,883,132 3,430,996 39,393,847 31,197,681 8,196,166 5,138,000 0 0 0 0 0 0 0 0 0

41 MINT BROKERS FCM BD NFA 6/30/2016 5,342,466 1,000,000 4,342,466 0 0 0 0 0 0 0 0 0 0 0 0 0

42 MIZUHO SECURITIES USA INC FCM BD SD CME/NFA 6/30/2016 580,722,893 271,017,117 309,705,776 3,149,004,092 2,947,627,002 201,377,090 125,000,000 836,417,340 735,124,543 101,292,797 70,000,000 45,743,510 12,636,512 33,106,998 15,000,000 0

43 MORGAN STANLEY & CO LLC FCM BD SD CME/NFA 6/30/2016 10,352,963,753 1,956,178,942 8,396,784,811 14,790,427,276 14,580,826,595 209,600,681 105,000,000 4,243,469,178 3,992,755,044 250,714,134 105,000,000 12,459,057,126 12,232,957,613 226,099,513 92,000,000 0

44 MUFG SECURITIES AMERICAS INC FCM BD NFA 6/30/2016 361,197,455 1,072,040 360,125,415 0 0 0 0 0 0 0 0 0 0 0 0 0

45 NANHUA USA LLC FCM CME 6/30/2016 20,283,838 3,822,341 16,461,497 80,979,638 65,325,622 15,654,016 1,983,184 0 0 0 0 0 0 0 0 0

46 NEUBERGER BERMAN LLC FCM BD NFA 6/30/2016 11,801,576 1,500,000 10,301,576 0 0 0 0 0 0 0 0 0 0 0 0 0

47 NOMURA SECURITIES INTERNATIONAL INC FCM BD CBOT 6/30/2016 2,531,926,073 73,270,901 2,458,655,172 275,095,184 173,295,098 101,800,086 15,000,000 18,264,590 57,349 18,207,241 1,000,000 0 0 0 0 0

48 OANDA CORPORATION FCMRFD NFA 6/30/2016 93,209,390 47,807,125 45,402,265 0 0 0 0 0 0 0 0 0 0 0 0 126,991,487

49 OPTIONSXPRESS INC FCM BD NFA 6/30/2016 259,754,995 6,978,418 252,776,577 118,041,280 81,668,041 36,373,239 12,250,206 4,209,851 1,298,816 2,911,035 194,822 0 0 0 0 0

50 PHILLIP CAPITAL INC FCM BD CME 6/30/2016 33,730,018 14,629,827 19,100,191 234,982,638 213,044,391 21,938,247 10,652,220 11,657,323 6,302,048 5,355,275 315,102 0 0 0 0 0

51 PICTET OVERSEAS INC FCM BD NFA 6/30/2016 15,767,291 1,000,000 14,767,291 0 0 0 0 0 0 0 0 0 0 0 0 0

52 RAND FINANCIAL SERVICES INC FCM CME 6/30/2016 83,881,185 13,362,429 70,518,756 254,177,400 209,805,700 44,371,700 6,294,200 31,756,400 8,966,800 22,789,600 269,000 0 0 0 0 0

53 RBC CAPITAL MARKETS LLC FCM BD CME 6/30/2016 1,979,798,228 262,054,465 1,717,743,763 2,802,182,830 2,560,904,316 241,278,514 200,000,000 297,775,361 255,759,258 42,016,103 20,000,000 1,130,312,724 795,007,319 335,305,405 80,000,000 0

54 RBS SECURITIES INC FCM BD CBOT 6/30/2016 3,565,193,253 104,215,461 3,460,977,792 1,452,543,237 1,262,218,835 190,324,402 125,000,000 171,544,469 45,399,331 126,145,138 100,000,000 0 0 0 0 0

55 RJ OBRIEN ASSOCIATES LLC FCM SD CME/NFA 6/30/2016 211,424,079 145,477,418 65,946,661 4,177,976,325 4,063,876,453 114,099,872 50,000,000 224,785,663 198,872,244 25,913,419 20,000,000 0 0 0 0 0

56 ROSENTHAL COLLINS GROUP LLC FCM CME 6/30/2016 86,468,027 63,200,247 23,267,780 1,659,110,838 1,632,616,975 26,493,863 18,000,000 35,037,894 23,047,537 11,990,357 8,000,000 0 0 0 0 0

57 SANFORD C BERNSTEIN & CO LLC FCM BD NFA 6/30/2016 192,768,256 32,293,302 160,474,954 0 0 0 0 0 0 0 0 0 0 0 0 0

58 SANTANDER INVESTMENT SECURITIES INC FCM BD NYME 6/30/2016 112,785,305 13,998,387 98,786,918 509,145,879 503,348,734 5,797,145 4,000,000 0 0 0 0 0 0 0 0 0

59 SCOTIA CAPITAL USA INC FCM BD CME 6/30/2016 651,922,737 35,249,122 616,673,615 0 0 0 0 0 0 0 0 0 0 0 0 0

60 SG AMERICAS SECURITIES LLC FCM BD CME 6/30/2016 3,376,867,104 1,316,176,905 2,060,690,199 17,296,088,112 15,887,651,913 1,408,436,199 500,000,000 4,317,994,952 3,819,579,405 498,415,547 255,000,000 530,093,629 262,857,369 267,236,260 75,000,000 0

61 STATE STREET GLOBAL MARKETS LLC FCM BD CME 6/30/2016 532,231,131 19,553,729 512,677,402 376,750,634 248,710,306 128,040,328 12,435,515 56,057,108 7,481,483 48,575,625 15,000,000 0 0 0 0 0

62 STRAITS FINANCIAL LLC FCM CME 6/30/2016 25,002,034 9,569,768 15,432,266 276,710,820 259,977,107 16,733,713 2,000,000 41,782,792 34,905,094 6,877,698 300,000 0 0 0 0 0

63 TD AMERITRADE FUTURES & FOREX LLC FCM NFA 6/30/2016 109,627,702 21,612,443 88,015,259 305,999,203 240,754,172 65,245,031 18,000,000 0 0 0 0 0 0 0 0 42,248,861

64 TRADESTATION SECURITIES INC FCM BD CME 6/30/2016 67,803,646 3,627,965 64,175,681 544,579,979 531,031,331 13,548,648 9,000,000 25,817,732 24,211,360 1,606,372 800,000 0 0 0 0 0

65 UBS FINANCIAL SERVICES INC FCM BD NFA 6/30/2016 1,135,456,616 124,867,259 1,010,589,357 100,226,504 61,726,208 38,500,296 22,000,000 28,705,879 4,613,457 24,092,422 15,000,000 0 0 0 0 0

66 UBS SECURITIES LLC FCM BD CBOT 6/30/2016 4,329,663,468 893,215,528 3,436,447,940 8,174,202,525 7,604,910,636 569,291,889 425,000,000 4,403,702,008 3,881,673,149 522,028,859 300,000,000 1,016,657,093 715,088,730 301,568,363 200,000,000 0

67 UOBBF CLEARING LIMITED FCM NFA 6/30/2016 7,768,807 1,000,000 6,768,807 0 0 0 0 0 0 0 0 0 0 0 0 0

68 WEDBUSH SECURITIES INC FCM BD CBOT 6/30/2016 161,637,613 52,250,951 109,386,662 1,183,505,164 1,162,862,754 20,642,410 13,000,000 39,726,970 36,986,688 2,740,282 1,000,000 0 0 0 0 0

69 WELLS FARGO SECURITIES LLC FCM BD CME 6/30/2016 3,434,923,944 920,168,155 2,514,755,789 3,413,746,390 3,081,297,419 332,448,971 275,000,000 507,953,936 287,477,661 220,476,275 30,000,000 8,984,441,272 7,896,227,406 1,088,213,866 575,000,000 0

70 YORK BUSINESS ASSOCIATES LLC FCM NFA 6/30/2016 5,143,188 1,000,000 4,143,188 43,573,194 38,595,931 4,977,263 2,000,000 2,172,907 1,850,892 322,015 200,000 0 0 0 0 0

Totals 168,504,692,049 156,862,435,245 11,642,256,804 6,564,807,924 45,551,082,658 40,793,959,439 4,757,123,219 2,666,243,386 76,303,115,480 69,433,928,766 6,869,186,714 3,686,427,085 505,772,954
SELECTED FCM FINANCIAL DATA AS OF 

June 30, 2016

FROM REPORTS FILED BY 

July 26, 2016

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ABCDEFGH I JKLMNOPQRSTU

May Web Page Update 70

Additions0

NONE

Deletions

0

NONE

Name Changes

MITSUBISHI UFJ SECURITIES USA INC to

MUFG SECURITIES AMERICAS INC

June Web Page Update 70

 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.

(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.

(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.

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

(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. 

(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.

(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.