SELECTED FCM FINANCIAL DATA AS OF 

September 30, 2012

FROM REPORTS FILED BY 

October 31, 2012

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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 9/30/2012 267,561,890 173,657,487 93,904,403 2,390,221,493 2,227,719,182 162,502,311 537,050,602 509,430,379 27,620,223 0

2 ADM INVESTOR SERVICES INC FCM CBOT 9/30/2012 289,057,209 177,921,480 111,135,729 3,213,764,819 2,975,111,305 238,653,514 238,129,979 172,146,411 65,983,568 0

3 ADVANCED MARKETS LLC FCMRFD NFA 9/30/2012 20,244,891 20,000,000 244,891 0 0 0 0 0 0 0

4 ADVANTAGE FUTURES LLC FCM CME 9/30/2012 19,772,220 12,289,311 7,482,909 456,467,828 446,897,173 9,570,655 57,658,017 55,588,665 2,069,352 0

5 ALPARI (US) LLC FCMRFD NFA 9/30/2012 29,881,262 20,359,210 9,522,052 3,952,795 1,721,068 2,231,727 268,329 3,131 265,198 17,184,199

6 AMERIPRISE FINANCIAL SERVICES INC FCM BD NFA 9/30/2012 93,076,127 1,000,000 92,076,127 0 0 0 0 0 0 0

7 AMP GLOBAL CLEARING LLC FCM NFA 9/30/2012 2,360,029 1,500,000 860,029 37,450,139 36,042,936 1,407,203 424,368 179,181 245,187 0

8 BARCLAYS CAPITAL INC FCM BD NYME 9/30/2012 5,651,430,374 1,008,659,893 4,642,770,481 6,114,481,287 5,904,943,489 209,537,798 3,690,800,312 3,502,141,665 188,658,647 0

9 BGC FINANCIAL LP FCM BD NFA 9/30/2012 49,362,967 2,036,065 47,326,902 0 0 0 0 0 0 0

10 BNP PARIBAS PRIME BROKERAGE INC FCM BD NYME 9/30/2012 2,213,095,393 277,899,113 1,935,196,280 1,461,940,846 1,286,607,375 175,333,471 556,298,883 482,050,671 74,248,212 0

11 BNP PARIBAS SECURITIES CORP FCM BD CBOT 9/30/2012 1,877,042,723 108,989,545 1,768,053,178 576,344,127 481,796,950 94,547,177 0 0 0 0

12 BNY MELLON CLEARING LLC FCM CME 9/30/2012 296,351,456 10,689,726 285,661,730 330,543,203 144,589,984 185,953,219 41,716,885 24,172,515 17,544,370 0

13 BOCI COMMODITIES & FUTURES USA LLC FCM NFA 9/30/2012 4,975,144 1,000,000 3,975,144 0 0 0 0 0 0 0

14 CANTOR FITZGERALD & CO FCM BD CBOT 9/30/2012 247,956,288 10,710,456 237,245,832 6,339,301 1,382,966 4,956,335 0 0 0 0

15 CAPITAL MARKET SERVICES LLC FCM NFA 9/30/2012 2,656,313 1,000,000 1,656,313 0 0 0 0 0 0 0

16 CIBC WORLD MARKETS CORP FCM BD CME 9/30/2012 504,712,940 1,500,000 503,212,940 0 0 0 0 0 0 0

17 CITADEL SECURITIES LLC FCM BD CME 9/30/2012 431,407,696 1,000,000 430,407,696 0 0 0 0 0 0 0

18 CITIGROUP GLOBAL MARKETS INC FCM BD CBOT 9/30/2012 7,092,401,676 723,728,572 6,368,673,104 8,249,410,184 8,018,194,839 231,215,345 1,890,014,391 1,473,021,301 416,993,090 0

19 COMMONWEALTH FOREIGN EXCHANGE INC FCM NFA 9/30/2012 1,790,520 1,000,000 790,520 0 0 0 0 0 0 0

20 COUNTRY HEDGING INC FCM NFA 9/30/2012 25,938,518 20,820,004 5,118,514 190,812,681 141,031,825 49,780,856 1,823,447 932,090 891,357 0

21 CREDIT SUISSE SECURITIES (USA) LLC FCM BD CBOT 9/28/2012 6,060,478,591 1,431,745,034 4,628,733,557 7,247,267,615 6,374,158,803 873,108,812 2,582,826,368 2,036,491,815 546,334,553 0

22 CROSSLAND LLC FCM CBOT 9/30/2012 7,755,332 1,831,105 5,924,227 70,502,398 67,746,163 2,756,235 14,408,310 13,054,729 1,353,581 0

23 CUNNINGHAM COMMODITIES LLC FCM CBOT 9/30/2012 2,937,090 1,324,788 1,612,302 74,433,961 73,352,649 1,081,312 661,121 571,134 89,987 0

24 CX CAPITAL MARKETS LLC FCM BD NFA 9/30/2012 3,340,955 1,000,000 2,340,955 36,155,643 34,030,485 2,125,158 0 0 0 0

25 DAIWA CAPITAL MARKETS AMERICA INC FCM BD CME 9/30/2012 299,104,117 3,856,886 295,247,231 9,919,442 5,233,924 4,685,518 1,052,463 0 1,052,463 0

26 DEUTSCHE BANK SECURITIES INC FCM BD CBOT 9/30/2012 7,289,587,332 685,701,843 6,603,885,489 15,594,298,441 14,828,206,180 766,092,261 1,674,857,727 1,430,781,636 244,076,091 0

27 DORMAN TRADING LLC FCM CME 9/30/2012 9,649,079 1,634,392 8,014,687 140,610,623 138,429,044 2,181,579 2,681,362 1,846,736 834,626 0

28 EAGLE MARKET MAKERS INC FCM CBOT 9/30/2012 6,086,609 1,000,000 5,086,609 691,763 209,396 482,367 0 0 0 0

29 EASY FOREX US LTD FCM NFA 9/30/2012 1,477,521 1,000,000 477,521 0 0 0 0 0 0 0

30 ENSKILDA FUTURES LTD FCM CME 9/28/2012 36,515,131 20,756,325 15,758,806 299,673,773 292,098,674 7,575,099 0 0 0 0

31 FCSTONE LLC FCM CME 9/30/2012 123,562,432 86,347,417 37,215,015 1,665,447,721 1,620,497,802 44,949,919 89,252,044 77,576,937 11,675,107 0

32 FOREX CAPITAL MARKETS LLC FCMRFD NFA 9/30/2012 53,676,388 32,305,567 21,370,821 0 0 0 0 0 0 256,111,341

33 FOREX CLUB LLC FCMRFD NFA 9/30/2012 22,721,674 22,000,000 721,674 0 0 0 0 0 0 15,710

34 FRIEDBERG MERCANTILE GROUP INC FCM NFA 9/30/2012 2,856,425 1,000,000 1,856,425 10,530,417 9,932,426 597,991 757,337 717,063 40,274 0

35 FRONTIER FUTURES INC FCM NFA 9/30/2012 2,025,818 1,127,302 898,516 31,768,144 31,035,462 732,682 0 0 0 0

36 FX SOLUTIONS LLC FCMRFD NFA 9/30/2012 29,823,871 20,307,191 9,516,680 0 0 0 0 0 0 16,143,820

37 FXDIRECTDEALER LLC FCMRFD NFA 9/30/2012 27,165,486 21,155,585 6,009,901 0 0 0 0 0 0 33,111,691

38 GAIN CAPITAL GROUP LLC FCMRFD NFA 9/30/2012 42,800,937 24,255,563 18,545,374 0 0 0 0 0 0 95,111,267

39 GH FINANCIALS LLC FCM CME 9/30/2012 8,527,010 1,000,000 7,527,010 1,017,560 651,264 366,296 0 0 0 0

40 GLOBAL FUTURES & FOREX LTD FCMRFD NFA 9/30/2012 61,738,422 24,569,501 37,168,921 0 0 0 0 0 0 101,390,018

41 GOLDMAN SACHS & CO FCM BD CBOT 9/30/2012 13,236,436,188 1,828,702,352 11,407,733,836 19,682,544,915 19,192,253,250 490,291,665 9,160,178,338 8,642,079,636 518,098,702 0

42 GOLDMAN SACHS EXECUTION & CLEARING LP FCM BD CME 9/28/2012 2,208,386,714 130,512,189 2,077,874,525 1,323,007,614 749,027,498 573,980,116 91,372,743 42,344,858 49,027,885 0

43 GUGGENHEIM SECURITIES LLC FCM BD NFA 9/30/2012 66,195,866 1,936,030 64,259,836 0 0 0 0 0 0 0

44 HSBC SECURITIES USA INC FCM BD CME 9/30/2012 1,128,817,528 124,673,200 1,004,144,328 910,526,442 857,960,635 52,565,807 122,781,969 94,126,819 28,655,150 0

45 IBFX INC RFED NFA 9/30/2012 27,418,588 23,162,837 4,255,751 0 0 0 0 0 0 73,256,746

46 ICAP CORPORATES LLC FCM BD NFA 9/30/2012 50,042,685 1,555,687 48,486,998 0 0 0 0 0 0 0

47 IKON GLOBAL MARKETS INC FCM NFA 9/30/2012 15,286,333 1,000,000 14,286,333 4,065,337 2,916,516 1,148,821 0 0 0 0

48 INSTINET LLC FCM BD NFA 9/30/2012 110,046,890 3,457,839 106,589,051 0 0 0 0 0 0 0

49 INSTITUTIONAL LIQUIDITY LLC FCMRFD NFA 9/30/2012 21,628,778 20,244,107 1,384,671 0 0 0 0 0 0 14,882,149

50 INTEGRATED BROKERAGE SERVICES LLC FCM NFA 9/30/2012 103,162 1,000,000 (896,838) 0 0 0 0 0 0 0

51 INTERACTIVE BROKERS LLC FCM BD NFA 9/28/2012 1,584,698,968 213,272,721 1,371,426,247 1,979,738,326 1,752,302,868 227,435,458 511,837,225 399,704,027 112,133,198 32,641,647

52 IRONBEAM INC FCM NFA 9/30/2012 2,552,820 1,117,247 1,435,573 51,993,283 50,588,185 1,405,098 353,623 250,546 103,077 0

53 ITG DERIVATIVES LLC FCM BD NFA 9/30/2012 4,689,894 1,000,000 3,689,894 0 0 0 0 0 0 0

54 JEFFERIES & COMPANY INC FCM BD NFA 9/30/2012 689,472,062 41,557,901 647,914,161 0 0 0 0 0 0 0

55 JEFFERIES BACHE LLC FCM CBOT 9/30/2012 224,096,000 180,870,240 43,225,760 2,680,216,000 2,579,995,000 100,221,000 632,984,000 566,317,000 66,667,000 0

56 JP MORGAN CLEARING CORP FCM BD NFA 9/30/2012 6,896,149,892 1,790,449,722 5,105,700,170 1,008,177,722 755,701,037 252,476,685 574,374,401 363,901,505 210,472,896 0

Futures Commission Merchant / Retail Foreign Exchange 

Dealer
SELECTED FCM FINANCIAL DATA AS OF 

September 30, 2012

FROM REPORTS FILED BY 

October 31, 2012

2 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

63

64

65

66

67

68

69

70

71

72

73

74

75

76

77

78

79

80

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118

57 JP MORGAN SECURITIES LLC FCM BD CEI 9/30/2012 11,602,384,023 1,615,444,346 9,986,939,677 19,384,983,186 17,516,445,816 1,868,537,370 4,135,823,288 3,813,172,298 322,650,990 0

58 KNIGHT CAPITAL AMERICAS LLC FCM BD CME 9/30/2012 289,318,429 20,705,787 268,612,642 442,089,552 425,818,639 16,270,913 13,854,841 7,924,461 5,930,380 24,115,739

59 LEK SECURITIES CORPORATION FCM BD NFA 9/30/2012 10,475,944 1,500,000 8,975,944 6,893,400 4,390,653 2,502,747 0 0 0 0

60 LINN GROUP THE FCM NFA 9/30/2012 3,673,069 2,162,746 1,510,323 84,136,681 80,400,700 3,735,981 390,456 178,577 211,879 0

61 LIQUID FUTURES LLC FCM NFA 9/30/2012 1,606,281 1,036,000 570,281 0 0 0 0 0 0 0

62 LPL FINANCIAL LLC FCM BD NFA 9/30/2012 128,754,450 7,028,675 121,725,775 0 0 0 0 0 0 0

63 MACQUARIE FUTURES USA LLC FCM CBOT 9/30/2012 92,962,578 68,442,506 24,520,072 830,324,043 736,546,527 93,777,516 125,442,732 108,291,856 17,150,876 0

64 MAREX NORTH AMERICA LLC FCM CME 9/30/2012 11,878,210 6,440,214 5,437,996 95,229,252 89,423,680 5,805,572 4,890,999 4,375,109 515,890 0

65 MAREX USA LIMITED FCM NFA 9/30/2012 2,462,566 1,000,000 1,462,566 0 0 0 0 0 0 0

66 MB TRADING FUTURES INC FCMRFD NFA 9/30/2012 23,709,451 21,133,820 2,575,631 0 0 0 0 0 0 32,676,395

67 MBF CLEARING CORP FCM NFA 9/30/2012 1,960,067 1,000,000 960,067 0 0 0 0 0 0 0

68 MCVEAN TRADING & INVESTMENTS LLC FCM NFA 9/30/2012 13,704,788 3,159,780 10,545,008 961,624,725 940,338,157 21,286,568 6,402,006 5,687,513 714,493 0

69 MERRILL LYNCH PIERCE FENNER & SMITH FCM BD CBOT 9/30/2012 10,641,126,236 738,295,691 9,902,830,545 8,070,220,425 7,529,886,085 540,334,340 2,604,255,801 2,248,726,442 355,529,359 0

70 MERRILL LYNCH PROFESSIONAL CLEARING CORP FCM BD NFA 9/30/2012 1,712,428,407 263,859,147 1,448,569,260 1,393,880,887 812,511,501 581,369,386 165,055,566 64,764,988 100,290,578 0

71 MID CO COMMODITIES INC FCM NFA 9/30/2012 11,573,553 7,666,935 3,906,618 35,742,103 23,801,404 11,940,699 876,866 304,495 572,371 0

72 MITSUBISHI UFJ SECURITIES USA INC FCM BD NFA 9/30/2012 223,368,588 3,482,437 219,886,151 0 0 0 0 0 0 0

73 MITSUI BUSSAN COMMODITIES USA INC FCM NFA 9/30/2012 3,360,591 1,000,000 2,360,591 0 0 0 0 0 0 0

74 MIZUHO SECURITIES USA INC FCM BD CME 9/30/2012 520,340,233 182,519,131 337,821,102 1,075,484,828 942,783,905 132,700,923 1,416,277,346 1,272,080,825 144,196,521 0

75 MORGAN KEEGAN & COMPANY INC FCM BD NFA 9/30/2012 270,413,616 9,247,794 261,165,822 0 0 0 0 0 0 0

76 MORGAN STANLEY & CO LLC FCM BD CME 9/30/2012 7,980,563,414 1,388,969,830 6,591,593,584 7,537,904,098 7,430,418,738 107,485,360 1,738,541,443 1,630,655,922 107,885,521 0

77 MORGAN STANLEY SMITH BARNEY LLC FCM BD NFA 9/30/2012 2,602,866,932 140,902,239 2,461,964,693 767,060,652 727,257,884 39,802,768 114,658,140 100,313,856 14,344,284 0

78 NATIXIS SECURITIES AMERICAS LLC FCM BD NFA 9/28/2012 328,736,306 1,601,757 327,134,549 0 0 0 0 0 0 0

79 NEUBERGER BERMAN LLC FCM BD NFA 9/30/2012 31,771,659 1,500,000 30,271,659 0 0 0 0 0 0 0

80 NEWEDGE USA LLC FCM BD NYME 9/30/2012 1,906,863,681 1,232,237,914 674,625,767 16,976,147,841 16,470,662,993 505,484,848 6,258,377,258 5,759,591,597 498,785,661 0

81 NOMURA SECURITIES INTERNATIONAL INC FCM BD CBOT 9/30/2012 1,877,910,211 29,065,630 1,848,844,581 70,919,623 51,401,021 19,518,602 1,367,217 180,019 1,187,198 0

82 OANDA CORPORATION FCMRFD NFA 9/30/2012 143,300,816 27,419,631 115,881,185 0 0 0 0 0 0 158,392,617

83 OMAHA CAPITAL GROUP LLC FCM NFA 9/30/2012 1,675,472 1,000,000 675,472 0 0 0 0 0 0 0

84 OPEN E CRY LLC FCM NFA 9/30/2012 4,744,016 1,121,200 3,622,816 110,922,342 106,588,383 4,333,959 3,452,451 3,095,283 357,168 0

85 OPPENHEIMER & CO INC FCM BD NFA 9/30/2012 163,392,003 22,333,261 141,058,742 36,085,347 29,288,710 6,796,637 0 0 0 0

86 OPTIONSXPRESS INC FCM BD NFA 9/30/2012 77,835,755 5,245,219 72,590,536 113,905,193 98,548,750 15,356,443 6,280,319 3,704,540 2,575,779 0

87 PHILLIP FUTURES INC FCM CME 9/30/2012 27,490,269 20,000,000 7,490,269 213,264,518 185,464,305 27,800,213 301,530 0 301,530 0

88 PIONEER FUTURES INC FCM NFA 9/30/2012 1,742,977 1,000,000 742,977 64,998 14,994 50,004 25,000 0 25,000 0

89 RAND FINANCIAL SERVICES INC FCM CME 9/30/2012 70,631,864 23,048,284 47,583,580 425,853,100 389,561,200 36,291,900 44,278,100 23,363,000 20,915,100 0

90 RAYMOND JAMES & ASSOCIATES INC FCM BD NFA 9/28/2012 264,314,878 30,695,627 233,619,251 0 0 0 0 0 0 0

91 RBC CAPITAL MARKETS LLC FCM BD CME 9/28/2012 1,422,315,908 91,488,462 1,330,827,446 647,414,792 581,272,569 66,142,223 104,399,452 72,675,583 31,723,869 0

92 RBS SECURITIES INC FCM BD CBOT 9/28/2012 3,948,600,695 192,012,899 3,756,587,796 1,844,652,953 1,704,883,054 139,769,899 150,101,545 32,730,071 117,371,474 0

93 RJ OBRIEN ASSOCIATES LLC FCM CME 9/30/2012 207,488,574 152,920,585 54,567,989 4,110,328,886 4,001,516,644 108,812,242 224,058,019 194,328,577 29,729,442 2,248,966

94 ROSENTHAL COLLINS GROUP LLC FCM CME 9/30/2012 97,656,953 69,647,118 28,009,835 1,649,452,885 1,625,069,117 24,383,768 93,174,004 83,215,613 9,958,391 0

95 SANFORD C BERNSTEIN & CO LLC FCM BD NFA 9/30/2012 160,767,155 18,076,074 142,691,081 0 0 0 0 0 0 0

96 SANTANDER INVESTMENT SECURITIES INC FCM BD NYME 9/30/2012 220,765,124 9,357,862 211,407,262 537,269,701 534,835,661 2,434,040 0 0 0 0

97 STATE STREET GLOBAL MARKETS LLC FCM BD CME 9/30/2012 489,284,932 6,020,551 483,264,381 294,187,927 141,401,244 152,786,683 83,324,280 43,188,170 40,136,110 0

98 STEPHENS INC FCM BD NFA 9/30/2012 88,554,137 15,068,655 73,485,482 0 0 0 0 0 0 0

99 STRAITS FINANCIAL LLC FCM CME 9/30/2012 9,524,860 2,180,557 7,344,303 83,470,113 78,507,886 4,962,227 13,552,883 12,430,240 1,122,643 0

100 TD AMERITRADE INC FCM BD NFA 9/30/2012 261,414,889 8,131,796 253,283,093 127,292,650 102,906,148 24,386,502 0 0 0 0

101 TIMBER HILL LLC FCM BD CME 9/30/2012 635,857,146 42,754,140 593,103,006 570,945,461 568,420,338 2,525,123 0 0 0 0

102 TRADELINK LLC FCM BD CBOT 9/30/2012 16,791,337 1,000,000 15,791,337 0 0 0 0 0 0 0

103 TRADESTATION SECURITIES INC FCM BD NFA 9/30/2012 48,410,904 2,926,863 45,484,041 398,892,557 389,201,488 9,691,069 16,023,248 15,055,439 967,809 0

104 TRADITION SECURITIES AND FUTURES INC FCM NFA 9/30/2012 1,515,199 1,000,000 515,199 0 0 0 0 0 0 0

105 UBS FINANCIAL SERVICES INC FCM BD NFA 9/30/2012 1,197,789,753 108,052,740 1,089,737,013 166,874,699 131,846,304 35,028,395 25,718,979 2,979,277 22,739,702 0

106 UBS SECURITIES LLC FCM BD CBOT 9/30/2012 12,068,419,428 898,767,602 11,169,651,826 9,578,337,620 8,938,321,868 640,015,752 4,101,798,401 3,671,645,187 430,153,214 0

107 VELOCITY FUTURES LLC FCM NFA 9/30/2012 1,557,680 1,000,000 557,680 59,027,348 58,059,706 967,642 15,254,637 14,686,368 568,269 0

108 VISION FINANCIAL MARKETS LLC FCM BD CME 9/30/2012 26,773,607 13,195,119 13,578,488 558,346,838 538,374,352 19,972,486 11,957,826 9,670,427 2,287,399 0

109 WELLS FARGO ADVISORS FINANCIAL NETWORK LLC FCM BD NFA 9/30/2012 37,094,777 1,000,000 36,094,777 0 0 0 0 0 0 0

110 WELLS FARGO ADVISORS LLC FCM BD NFA 9/30/2012 1,226,086,174 1,500,000 1,224,586,174 0 0 0 0 0 0 0

111 WELLS FARGO SECURITIES LLC FCM BD CME 9/30/2012 2,557,421,759 11,944,359 2,545,477,400 0 0 0 0 0 0 0

112 WHITE COMMERCIAL CORPORATION FCM NFA 9/30/2012 2,570,453 1,000,000 1,570,453 0 0 0 0 0 0 0
SELECTED FCM FINANCIAL DATA AS OF 

September 30, 2012

FROM REPORTS FILED BY 

October 31, 2012

3 of 4

1

2

3

4

5

6

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

119

120

121

122

123

124

125

126

127

128

129

130

131

132

133

134

135

136

113 XPRESSTRADE LLC RFED NFA 9/30/2012 22,872,066 20,000,000 2,872,066 0 0 0 0 0 0 761,488

114 YORK BUSINESS ASSOCIATES LLC FCM NFA 9/30/2012 3,437,316 1,000,000 2,437,316 66,794,489 63,966,846 2,827,643 2,552,642 1,907,678 644,964 0

Totals 155,180,341,556 145,132,503,623 10,047,837,933 43,957,031,519 39,090,353,861 4,866,677,658 858,043,793

August Web Page Update 113

Additions 1

OMAHA CAPITAL GROUP LLC

Deletions 0

None

Name Changes

None

September Web Page Update 114
SELECTED FCM FINANCIAL DATA AS OF 

September 30, 2012

FROM REPORTS FILED BY 

October 31, 2012

4 of 4

1

2

3

4

5

6

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

137

138

139

140

141

142

143

144

145

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(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.

(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.

(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.

(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.

•  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.

•  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. 

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

(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.