SELECTED FCM FINANCIAL DATA AS OF 

August 31, 2013

FROM REPORTS FILED BY 

October 20, 2013

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A B C D E F G H I J K L M N O

Reg As DSRO A/O Adjusted Net Capital Excess Customers' Customers' Excess/Deficient Funds in Separate Customer Excess/Deficient Total Amount

Date Net Capital Requirement Net Capital Assets Seg Required Funds in Seg Section 30.7 Amount Pt. 30 Funds in Separate of Retail Forex

in Seg 4d(a)(2) Accounts Required Section 30.7 Obligation

Accounts

(a) (b) (c) (d) (e) (f) (g) (h) (i) (j) (k)

1 ABN AMRO CLEARING CHICAGO LLC FCM BD CBOT 8/31/2013 473,546,898 126,916,852 346,630,046 2,421,304,031 2,155,844,919 265,459,112 136,526,442 97,450,568 39,075,874 0

2 ADM INVESTOR SERVICES INC FCM CBOT 8/31/2013 273,152,612 159,487,997 113,664,615 3,247,709,972 3,023,968,059 223,741,913 219,407,917 152,330,252 67,077,665 0

3 ADVANTAGE FUTURES LLC FCM CME 8/31/2013 22,232,959 11,980,457 10,252,502 490,240,063 475,496,995 14,743,068 32,786,729 30,655,181 2,131,548 0

4 ALPARI (US) LLC FCMRFD NFA 8/31/2013 22,679,022 20,022,498 2,656,524 3,825,718 1,367,638 2,458,080 4,547,017 2,708,232 1,838,785 10,449,969

5 AMERIPRISE FINANCIAL SERVICES INC FCM BD NFA 8/31/2013 124,129,973 1,000,000 123,129,973 0 0 0 0 0 0 0

6 AMP GLOBAL CLEARING LLC FCM NFA 8/31/2013 2,508,019 1,500,000 1,008,019 42,937,031 41,518,716 1,418,315 515,240 342,644 172,596 0

7 BARCLAYS CAPITAL INC FCM BD NYME 8/31/2013 6,372,576,408 1,298,135,344 5,074,441,064 7,460,486,750 7,205,377,895 255,108,855 4,021,237,749 3,808,609,000 212,628,749 0

8 BGC FINANCIAL LP FCM BD NFA 8/31/2013 45,056,783 1,000,000 44,056,783 0 0 0 0 0 0 0

9 BNP PARIBAS PRIME BROKERAGE INC FCM BD NYME 8/31/2013 3,421,523,700 218,566,087 3,202,957,613 2,812,198,788 2,543,727,984 268,470,804 18,293,875 2,370,873 15,923,002 0

10 BNP PARIBAS SECURITIES CORP FCM BD CBOT 8/31/2013 1,409,543,613 150,419,928 1,259,123,685 1,341,919,804 1,092,246,851 249,672,953 6,000,000 0 6,000,000 0

11 BNY MELLON CLEARING LLC FCM CME 8/31/2013 286,003,949 20,000,000 266,003,949 222,563,633 95,539,220 127,024,413 37,046,559 17,536,511 19,510,048 0

12 BOCI COMMODITIES & FUTURES USA LLC FCM NFA 8/31/2013 4,679,044 1,000,000 3,679,044 0 0 0 0 0 0 0

13 CANTOR FITZGERALD & CO FCM BD CBOT 8/31/2013 221,560,825 7,194,549 214,366,276 6,234,288 1,266,887 4,967,401 0 0 0 0

14 CAPITAL MARKET SERVICES LLC FCM NFA 8/31/2013 1,944,708 1,000,000 944,708 0 0 0 0 0 0 0

15 CHS HEDGING INC FCM CBOT 8/31/2013 25,128,312 10,011,878 15,116,434 160,732,755 135,481,734 25,251,021 829,626 240,032 589,594 0

16 CITADEL SECURITIES LLC FCM BD CME 8/31/2013 365,797,100 1,000,000 364,797,100 0 0 0 0 0 0 0

17 CITIGROUP GLOBAL MARKETS INC FCM BD CBOT 8/31/2013 6,512,301,783 807,010,825 5,705,290,958 6,475,697,228 6,154,185,257 321,511,971 1,144,008,950 951,116,695 192,892,255 0

18 CREDIT SUISSE SECURITIES (USA) LLC FCM BD CBOT 8/31/2013 8,167,976,773 2,065,386,324 6,102,590,449 8,926,766,166 7,462,504,665 1,464,261,501 3,445,974,973 2,965,350,154 480,624,819 0

19 CROSSLAND LLC FCM CBOT 8/31/2013 9,103,453 1,484,390 7,619,063 74,498,386 72,195,328 2,303,058 9,110,815 8,372,284 738,531 0

20 CUNNINGHAM COMMODITIES LLC FCM CBOT 8/31/2013 2,999,396 1,041,576 1,957,820 65,861,347 64,749,571 1,111,776 684,673 507,263 177,410 0

21 DAIWA CAPITAL MARKETS AMERICA INC FCM BD CME 8/31/2013 384,605,625 7,040,652 377,564,973 8,349,264 3,710,927 4,638,337 625,615 0 625,615 0

22 DEUTSCHE BANK SECURITIES INC FCM BD CBOT 8/31/2013 8,929,824,740 679,139,789 8,250,684,951 14,768,283,890 14,198,359,639 569,924,251 1,178,765,489 901,065,143 277,700,346 0

23 DORMAN TRADING LLC FCM CME 8/31/2013 11,125,418 1,395,110 9,730,308 139,803,961 136,087,522 3,716,439 2,547,529 2,234,061 313,468 0

24 E D & F MAN CAPITAL MARKETS INC FCM BD CME 8/31/2013 19,760,620 5,916,819 13,843,801 179,477,593 169,320,606 10,156,987 2,201,878 1,580,711 621,167 0

25 E TRADE CLEARING LLC FCM BD NFA 8/31/2013 699,714,296 138,464,651 561,249,645 48,859,297 38,220,484 10,638,813 1,404,279 402,862 1,001,417 0

26 EFL FUTURES LIMITED FCM CME 8/31/2013 36,683,844 17,686,590 18,997,254 216,785,039 204,503,033 12,282,006 0 0 0 0

27 FCSTONE LLC FCM CME 8/31/2013 105,963,398 68,084,559 37,878,839 1,697,160,573 1,672,924,972 24,235,601 64,192,408 50,090,497 14,101,911 0

28 FIXI AMERICAS LLC FCM NFA 8/31/2013 1,661,970 1,000,000 661,970 0 0 0 0 0 0 0

29 FOREX CAPITAL MARKETS LLC FCMRFD NFA 8/31/2013 91,054,006 26,871,435 64,182,571 0 0 0 0 0 0 147,428,704

30 FRIEDBERG MERCANTILE GROUP INC FCM NFA 8/31/2013 4,821,560 1,000,000 3,821,560 5,105,123 4,558,538 546,585 1,337,731 1,269,234 68,497 0

31 FRONTIER FUTURES INC FCM NFA 8/31/2013 1,989,376 1,000,000 989,376 26,487,718 25,559,370 928,348 0 0 0 0

32 FXDIRECTDEALER LLC FCMRFD NFA 8/31/2013 23,364,530 20,869,596 2,494,934 0 0 0 0 0 0 27,391,929

33 GAIN CAPITAL GROUP LLC FCMRFD NFA 8/31/2013 51,536,188 24,963,621 26,572,567 140,299,208 133,741,521 6,557,687 4,470,179 3,038,934 1,431,245 109,272,410

34 GFI SECURITIES LLC FCM BD NFA 8/31/2013 14,442,353 1,000,000 13,442,353 0 0 0 0 0 0 0

35 GH FINANCIALS LLC FCM CME 8/31/2013 9,735,472 1,000,000 8,735,472 2,402,319 1,744,071 658,248 473,180 373,078 100,102 0

36 GLOBAL FUTURES & FOREX LTD FCMRFD NFA 8/31/2013 2,942,170 1,000,000 1,942,170 0 0 0 0 0 0 0

37 GOLDMAN SACHS & CO FCM BD CBOT 8/31/2013 15,389,009,301 2,031,299,361 13,357,709,940 18,899,996,206 18,340,907,743 559,088,463 8,956,601,797 8,294,881,440 661,720,357 0

38 GOLDMAN SACHS EXECUTION & CLEARING LP FCM BD CME 8/31/2013 2,060,014,082 125,971,537 1,934,042,545 1,537,287,696 962,258,164 575,029,532 75,928,420 29,645,534 46,282,886 0

39 GUGGENHEIM SECURITIES LLC FCM BD NFA 8/31/2013 81,631,568 1,283,286 80,348,282 0 0 0 0 0 0 0

40 HSBC SECURITIES USA INC FCM BD CME 8/31/2013 1,006,902,477 122,940,219 883,962,258 975,314,404 901,678,905 73,635,499 85,387,839 68,002,067 17,385,772 0

41 IBFX INC RFED NFA 8/31/2013 28,257,206 23,142,067 5,115,139 0 0 0 0 0 0 72,841,348

42 INSTINET LLC FCM BD NFA 8/31/2013 108,787,354 2,727,682 106,059,672 0 0 0 0 0 0 0

43 INSTITUTIONAL LIQUIDITY LLC FCMRFD NFA 8/31/2013 34,107,790 20,203,199 13,904,591 0 0 0 0 0 0 14,063,980

44 INTERACTIVE BROKERS LLC FCM BD NFA 8/31/2013 1,773,545,724 265,675,076 1,507,870,648 2,232,361,220 2,029,696,274 202,664,946 397,710,317 294,082,378 103,627,939 38,631,305

45 IRONBEAM INC FCM NFA 8/31/2013 2,355,690 1,000,000 1,355,690 42,500,203 41,147,249 1,352,954 111,311 4,263 107,048 0

46 ITG DERIVATIVES LLC FCM BD NFA 8/31/2013 5,344,705 1,000,000 4,344,705 0 0 0 0 0 0 0

47 JEFFERIES BACHE LLC FCM CBOT 8/31/2013 242,273,000 128,849,360 113,423,640 2,120,400,000 2,020,726,000 99,674,000 192,314,000 120,864,000 71,450,000 0

48 JP MORGAN CLEARING CORP FCM BD NFA 8/30/2013 6,617,707,578 1,744,125,283 4,873,582,295 918,748,194 660,139,874 258,608,320 810,483,562 572,075,380 238,408,182 0

49 JP MORGAN SECURITIES LLC FCM BD CEI 8/31/2013 14,391,378,001 1,907,110,258 12,484,267,743 18,909,687,595 17,003,537,011 1,906,150,584 3,692,485,621 3,288,227,013 404,258,608 0

50 KNIGHT CAPITAL AMERICAS LLC FCM BD CME 8/31/2013 393,564,515 21,299,514 372,265,001 524,422,450 507,983,223 16,439,227 11,125,109 7,709,553 3,415,556 35,990,275

51 LEK SECURITIES CORPORATION FCM BD NFA 8/31/2013 8,629,040 1,500,000 7,129,040 10,391,116 9,251,390 1,139,726 0 0 0 0

Futures Commission Merchant / Retail Foreign Exchange 

Dealer
SELECTED FCM FINANCIAL DATA AS OF 

August 31, 2013

FROM REPORTS FILED BY 

October 20, 2013

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A B C D E F G H I J K L M N O

Reg As DSRO A/O Adjusted Net Capital Excess Customers' Customers' Excess/Deficient Funds in Separate Customer Excess/Deficient Total Amount

Date Net Capital Requirement Net Capital Assets Seg Required Funds in Seg Section 30.7 Amount Pt. 30 Funds in Separate of Retail Forex

in Seg 4d(a)(2) Accounts Required Section 30.7 Obligation

Accounts

(a) (b) (c) (d) (e) (f) (g) (h) (i) (j) (k)

Futures Commission Merchant / Retail Foreign Exchange 

Dealer

58

59

60

61

62

63

64

65

66

67

68

69

70

71

72

73

74

75

76

77

78

79

80

81

82

83

84

85

86

87

88

89

90

91

92

93

94

95

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97

98

99

100

101

102

103

104

105

106

107

108

52 LINN GROUP THE FCM NFA 8/30/2013 3,512,272 1,740,692 1,771,580 77,519,668 73,769,499 3,750,169 347,705 0 347,705 0

53 LPL FINANCIAL LLC FCM BD NFA 8/31/2013 247,868,285 6,116,615 241,751,670 0 0 0 0 0 0 0

54 MACQUARIE FUTURES USA LLC FCM CBOT 8/31/2013 139,156,423 102,181,921 36,974,502 1,509,882,397 1,338,623,144 171,259,253 33,616,998 26,857,521 6,759,477 0

55 MAREX NORTH AMERICA LLC FCM CME 8/31/2013 11,339,086 7,170,269 4,168,817 97,813,383 92,334,058 5,479,325 7,409,265 6,583,370 825,895 0

56 MB TRADING FUTURES INC FCMRFD NFA 8/31/2013 25,686,354 21,443,335 4,243,019 0 0 0 0 0 0 38,866,701

57 MCVEAN TRADING & INVESTMENTS LLC FCM NFA 8/30/2013 13,471,936 3,440,553 10,031,383 821,732,159 800,326,139 21,406,020 2,650,556 0 2,650,556 0

58 MERRILL LYNCH PIERCE FENNER & SMITH FCM BD CBOT 8/31/2013 12,371,725,244 888,631,217 11,483,094,027 8,647,074,913 8,306,741,430 340,333,483 2,860,615,387 2,608,996,478 251,618,909 0

59 MERRILL LYNCH PROFESSIONAL CLEARING CORP FCM BD NFA 8/31/2013 1,992,517,535 289,528,351 1,702,989,184 1,529,344,999 734,763,410 794,581,589 28,870,475 872,285 27,998,190 0

60 MID CO COMMODITIES INC FCM NFA 8/31/2013 10,453,965 3,234,530 7,219,435 39,109,065 27,706,492 11,402,573 0 0 0 0

61 MITSUBISHI UFJ SECURITIES USA INC FCM BD NFA 8/31/2013 233,209,567 1,001,875 232,207,692 0 0 0 0 0 0 0

62 MITSUI BUSSAN COMMODITIES USA INC FCM NFA 8/31/2013 3,413,763 1,000,000 2,413,763 0 0 0 0 0 0 0

63 MIZUHO SECURITIES USA INC FCM BD CME 8/31/2013 445,906,409 202,337,248 243,569,161 2,537,620,973 2,340,373,727 197,247,246 493,851,257 390,298,894 103,552,363 0

64 MORGAN STANLEY & CO LLC FCM BD CME 8/31/2013 8,067,131,104 1,505,791,061 6,561,340,043 8,832,330,541 8,621,730,636 210,599,905 2,400,582,329 2,191,426,937 209,155,392 0

65 MORGAN STANLEY SMITH BARNEY LLC FCM BD NFA 8/31/2013 3,712,839,347 157,836,219 3,555,003,128 757,725,529 662,407,321 95,318,208 85,129,469 60,298,478 24,830,991 0

66 NATIXIS SECURITIES AMERICAS LLC FCM BD NFA 8/31/2013 296,812,874 2,322,274 294,490,600 0 0 0 0 0 0 0

67 NEUBERGER BERMAN LLC FCM BD NFA 8/31/2013 84,080,671 1,500,000 82,580,671 0 0 0 0 0 0 0

68 NEWEDGE USA LLC FCM BD NYME 8/31/2013 1,983,468,148 989,576,249 993,891,899 15,347,336,571 14,752,553,387 594,783,184 3,068,945,979 2,756,356,250 312,589,729 0

69 NOMURA SECURITIES INTERNATIONAL INC FCM BD CBOT 8/30/2013 1,921,925,949 39,691,254 1,882,234,695 73,854,512 63,028,109 10,826,403 2,113,087 807,638 1,305,449 0

70 OANDA CORPORATION FCMRFD NFA 8/31/2013 141,309,014 26,120,612 115,188,402 0 0 0 0 0 0 132,412,242

71 OPPENHEIMER & CO INC FCM BD NFA 8/31/2013 150,264,202 27,726,809 122,537,393 35,466,672 17,692,454 17,774,218 0 0 0 0

72 OPTIONSXPRESS INC FCM BD NFA 8/31/2013 103,703,949 6,823,577 96,880,372 110,390,047 82,315,127 28,074,920 3,663,181 1,099,241 2,563,940 0

73 PHILLIP FUTURES INC FCM CME 8/31/2013 27,870,719 20,000,000 7,870,719 135,953,619 115,774,899 20,178,720 5,532,778 2,968,958 2,563,820 0

74 PIONEER FUTURES INC FCM NFA 8/31/2013 2,393,189 1,000,000 1,393,189 0 0 0 0 0 0 0

75 RAND FINANCIAL SERVICES INC FCM CME 8/31/2013 78,651,037 20,646,916 58,004,121 337,365,900 295,252,400 42,113,500 29,249,300 7,320,900 21,928,400 0

76 RAYMOND JAMES & ASSOCIATES INC FCM BD NFA 8/31/2013 472,430,684 35,728,666 436,702,018 0 0 0 0 0 0 0

77 RBC CAPITAL MARKETS LLC FCM BD CME 8/31/2013 1,271,624,038 106,188,106 1,165,435,932 876,389,631 809,782,462 66,607,169 230,957,169 153,203,918 77,753,251 0

78 RBS SECURITIES INC FCM BD CBOT 8/30/2013 4,302,823,147 131,450,581 4,171,372,566 1,661,068,642 1,508,731,838 152,336,804 151,240,689 34,616,389 116,624,300 0

79 RJ OBRIEN ASSOCIATES LLC FCM CME 8/31/2013 202,375,365 127,016,458 75,358,907 3,806,024,640 3,691,464,622 114,560,018 161,646,047 136,758,813 24,887,234 1,606,668

80 ROSENTHAL COLLINS GROUP LLC FCM CME 8/31/2013 73,298,585 53,831,628 19,466,957 1,463,873,821 1,442,903,853 20,969,968 34,239,014 24,285,539 9,953,475 0

81 SANFORD C BERNSTEIN & CO LLC FCM BD NFA 8/31/2013 158,253,220 19,300,402 138,952,818 0 0 0 0 0 0 0

82 SANTANDER INVESTMENT SECURITIES INC FCM BD NYME 8/31/2013 125,748,284 8,965,995 116,782,289 664,515,001 662,213,499 2,301,502 0 0 0 0

83 STATE STREET GLOBAL MARKETS LLC FCM BD CME 8/31/2013 529,717,926 29,450,862 500,267,064 390,100,671 302,590,962 87,509,709 92,597,931 51,827,154 40,770,777 0

84 STRAITS FINANCIAL LLC FCM CME 8/31/2013 9,613,297 3,656,374 5,956,923 125,969,467 118,424,870 7,544,597 23,530,853 22,043,315 1,487,538 0

85 TD AMERITRADE INC FCM BD NFA 8/31/2013 301,681,825 7,463,430 294,218,395 179,827,157 95,154,186 84,672,971 0 0 0 0

86 TIMBER HILL LLC FCM BD CME 8/31/2013 512,640,966 46,068,266 466,572,700 643,938,900 641,412,774 2,526,126 0 0 0 0

87 TRADELINK LLC FCM BD CBOT 8/30/2013 16,104,614 1,000,000 15,104,614 0 0 0 0 0 0 0

88 TRADESTATION SECURITIES INC FCM BD NFA 8/31/2013 56,752,082 3,096,054 53,656,028 409,485,235 399,186,653 10,298,582 16,628,345 15,557,349 1,070,996 0

89 TULLETT PREBON FINANCIAL SERVICES LLC FCM BD NFA 8/31/2013 29,770,740 1,000,000 28,770,740 0 0 0 0 0 0 0

90 UBS FINANCIAL SERVICES INC FCM BD NFA 8/31/2013 1,483,182,631 95,390,209 1,387,792,422 116,742,978 95,833,360 20,909,618 24,916,057 3,107,816 21,808,241 0

91 UBS SECURITIES LLC FCM BD CBOT 8/31/2013 9,276,463,348 963,622,914 8,312,840,434 9,230,549,304 8,583,665,400 646,883,904 4,655,251,291 4,240,074,287 415,177,004 0

92 VELOCITY FUTURES LLC FCM NFA 8/31/2013 1,255,300 1,000,000 255,300 60,032,891 58,982,604 1,050,287 1,300,739 890,472 410,267 0

93 VISION FINANCIAL MARKETS LLC FCM BD CME 8/31/2013 35,577,326 9,686,744 25,890,582 475,219,867 463,392,011 11,827,856 14,256,425 12,287,858 1,968,567 0

94 WELLS FARGO ADVISORS FINANCIAL NETWORK LLC FCM BD NFA 8/31/2013 51,756,946 1,000,000 50,756,946 0 0 0 0 0 0 0

95 WELLS FARGO ADVISORS LLC FCM BD NFA 8/31/2013 1,376,490,513 1,500,000 1,374,990,513 0 0 0 0 0 0 0

96 WELLS FARGO SECURITIES LLC FCM BD CME 8/31/2013 2,976,593,919 15,251,223 2,961,342,696 14,761,834 4,696,747 10,065,087 4,959,683 0 4,959,683 0

97 WHITE COMMERCIAL CORPORATION FCM NFA 8/31/2013 2,737,946 1,000,000 1,737,946 0 0 0 0 0 0 0

98 WHOTRADES FX LLC FCM NFA 8/31/2013 1,821,975 1,000,000 821,975 0 0 0 0 0 0 0

99 XCHANGE FINANCIAL ACCESS LLC FCM BD NFA 8/31/2013 5,860,317 1,000,000 4,860,317 34,425,252 32,290,716 2,134,536 0 0 0 0

100 YORK BUSINESS ASSOCIATES LLC FCM NFA 8/31/2013 4,676,179 1,000,000 3,676,179 53,650,685 51,833,717 1,816,968 2,482,946 2,173,468 309,478 0
SELECTED FCM FINANCIAL DATA AS OF 

August 31, 2013

FROM REPORTS FILED BY 

October 20, 2013

3 of 4

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2

3

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A B C D E F G H I J K L M N O

Reg As DSRO A/O Adjusted Net Capital Excess Customers' Customers' Excess/Deficient Funds in Separate Customer Excess/Deficient Total Amount

Date Net Capital Requirement Net Capital Assets Seg Required Funds in Seg Section 30.7 Amount Pt. 30 Funds in Separate of Retail Forex

in Seg 4d(a)(2) Accounts Required Section 30.7 Obligation

Accounts

(a) (b) (c) (d) (e) (f) (g) (h) (i) (j) (k)

Futures Commission Merchant / Retail Foreign Exchange 

Dealer

109

110

111

112

113

114

115

116

117

118

119

120

121

122

Totals 158,254,195,953 146,879,480,741 11,374,715,212 38,991,721,784 34,423,849,165 4,567,872,619 628,955,531

July Web Page Update 99

Additions 1

GFI SECURITIES LLC

Deletions 0

None

Name Changes

ENSKILDA FUTURES LTD to EFL FUTURES LIMITED

August Web Page Update 100
SELECTED FCM FINANCIAL DATA AS OF 

August 31, 2013

FROM REPORTS FILED BY 

October 20, 2013

4 of 4

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A B C D E F G H I J K L M N O

Reg As DSRO A/O Adjusted Net Capital Excess Customers' Customers' Excess/Deficient Funds in Separate Customer Excess/Deficient Total Amount

Date Net Capital Requirement Net Capital Assets Seg Required Funds in Seg Section 30.7 Amount Pt. 30 Funds in Separate of Retail Forex

in Seg 4d(a)(2) Accounts Required Section 30.7 Obligation

Accounts

(a) (b) (c) (d) (e) (f) (g) (h) (i) (j) (k)

Futures Commission Merchant / Retail Foreign Exchange 

Dealer

123

124

125

126

127

128

129

130

131

132

133

134

135

136

137

138

139

140

141

142

143

144

145

146

147

148

149

150

151

152

153

154

(c): A firm's net capital requirement is the greater of: 

•  FCM minimum dollar amount ($1,000,000); or

(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;

 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.

(b): DSRO: Designated Self-Regulatory Organization. 

•  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 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.

(k): 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 amount of funds an FCM is required to set aside for customers who trade on commodity exchanges located outside of the United States. 

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