SELECTED FCM FINANCIAL DATA AS OF 

October 31, 2012

FROM REPORTS FILED BY 

December 03, 2012

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54

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 10/31/2012 318,596,193 158,437,709 160,158,484 2,888,204,004 2,713,216,974 174,987,030 152,968,600 128,407,242 24,561,358 0

2 ADM INVESTOR SERVICES INC FCM CBOT 10/31/2012 290,805,222 168,045,378 122,759,844 3,271,908,744 3,045,484,856 226,423,888 193,055,881 128,506,375 64,549,506 0

3 ADVANCED MARKETS LLC FCMRFD NFA 10/31/2012 20,154,640 20,000,000 154,640 0 0 0 0 0 0 0

4 ADVANTAGE FUTURES LLC FCM CME 10/31/2012 22,564,141 12,703,315 9,860,826 504,783,337 492,888,518 11,894,819 30,010,568 27,982,099 2,028,469 0

5 ALPARI (US) LLC FCMRFD NFA 10/31/2012 29,033,344 20,320,549 8,712,795 3,672,699 1,567,654 2,105,045 692,527 280,988 411,539 16,410,974

6 AMERIPRISE FINANCIAL SERVICES INC FCM BD NFA 10/31/2012 96,178,908 1,000,000 95,178,908 0 0 0 0 0 0 0

7 AMP GLOBAL CLEARING LLC FCM NFA 10/31/2012 2,503,190 1,500,000 1,003,190 38,985,519 37,529,439 1,456,080 674,566 398,384 276,182 0

8 BARCLAYS CAPITAL INC FCM BD NYME 10/31/2012 5,964,383,677 1,015,057,520 4,949,326,157 6,453,508,171 6,229,871,294 223,636,877 3,164,914,903 3,002,026,927 162,887,976 0

9 BGC FINANCIAL LP FCM BD NFA 10/31/2012 39,191,872 4,004,143 35,187,729 0 0 0 0 0 0 0

10 BNP PARIBAS PRIME BROKERAGE INC FCM BD NYME 10/31/2012 2,172,562,892 274,422,553 1,898,140,339 2,154,422,486 1,949,579,449 204,843,037 57,943,320 5,755,821 52,187,499 0

11 BNP PARIBAS SECURITIES CORP FCM BD CBOT 10/31/2012 1,815,843,351 113,432,326 1,702,411,025 655,186,604 542,977,695 112,208,909 0 0 0 0

12 BNY MELLON CLEARING LLC FCM CME 10/31/2012 294,600,190 8,357,559 286,242,631 305,371,750 119,617,208 185,754,542 34,243,146 16,413,215 17,829,931 0

13 BOCI COMMODITIES & FUTURES USA LLC FCM NFA 10/31/2012 4,975,142 1,000,000 3,975,142 0 0 0 0 0 0 0

14 CANTOR FITZGERALD & CO FCM BD CBOT 10/31/2012 231,141,836 11,073,987 220,067,849 6,176,159 1,218,871 4,957,288 0 0 0 0

15 CAPITAL MARKET SERVICES LLC FCM NFA 10/31/2012 2,578,374 1,000,000 1,578,374 0 0 0 0 0 0 0

16 CHS HEDGING INC FCM NFA 10/31/2012 26,430,461 18,744,266 7,686,195 233,874,332 209,973,281 23,901,051 1,856,660 959,415 897,245 0

17 CIBC WORLD MARKETS CORP FCM BD CME 10/31/2012 502,913,323 1,500,000 501,413,323 0 0 0 0 0 0 0

18 CITADEL SECURITIES LLC FCM BD CME 10/31/2012 399,316,792 1,000,000 398,316,792 0 0 0 0 0 0 0

19 CITIGROUP GLOBAL MARKETS INC FCM BD CBOT 10/31/2012 7,210,014,582 694,361,711 6,515,652,871 8,641,835,612 8,354,106,120 287,729,492 972,146,216 763,677,255 208,468,961 0

20 COMMONWEALTH FOREIGN EXCHANGE INC FCM NFA 10/31/2012 1,031,593 1,000,000 31,593 0 0 0 0 0 0 0

21 CREDIT SUISSE SECURITIES (USA) LLC FCM BD CBOT 10/31/2012 5,961,090,948 1,425,563,893 4,535,527,055 6,903,461,073 5,909,602,923 993,858,150 2,629,777,847 2,060,094,810 569,683,037 0

22 CROSSLAND LLC FCM CBOT 10/31/2012 7,773,598 2,983,179 4,790,419 80,912,644 78,048,094 2,864,550 21,303,401 20,122,575 1,180,826 0

23 CUNNINGHAM COMMODITIES LLC FCM CBOT 10/31/2012 2,846,630 1,349,944 1,496,686 75,843,905 74,883,378 960,527 319,125 214,477 104,648 0

24 CX CAPITAL MARKETS LLC FCM BD NFA 10/31/2012 3,335,793 1,000,000 2,335,793 37,237,721 35,068,694 2,169,027 0 0 0 0

25 DAIWA CAPITAL MARKETS AMERICA INC FCM BD CME 10/31/2012 273,757,837 5,532,510 268,225,327 9,418,905 4,738,876 4,680,029 1,049,593 0 1,049,593 0

26 DEUTSCHE BANK SECURITIES INC FCM BD CBOT 10/31/2012 7,958,292,708 741,712,603 7,216,580,105 15,623,918,371 14,757,500,778 866,417,593 1,232,404,649 976,715,276 255,689,373 0

27 DORMAN TRADING LLC FCM CME 10/31/2012 9,288,597 1,796,437 7,492,160 146,397,701 144,045,766 2,351,935 2,525,736 1,688,360 837,376 0

28 E D & F MAN CAPITAL MARKETS INC FCM BD CME 10/31/2012 21,813,312 1,000,000 20,813,312 0 0 0 0 0 0 0

29 EAGLE MARKET MAKERS INC FCM CBOT 10/31/2012 5,975,018 1,000,000 4,975,018 894,815 344,466 550,349 0 0 0 0

30 EASY FOREX US LTD FCM NFA 10/31/2012 1,472,210 1,000,000 472,210 0 0 0 0 0 0 0

31 ENSKILDA FUTURES LTD FCM CME 10/31/2012 36,176,833 14,700,092 21,476,741 242,813,420 234,819,832 7,993,588 0 0 0 0

32 FCSTONE LLC FCM CME 10/31/2012 117,422,194 81,982,746 35,439,448 1,701,968,629 1,677,471,833 24,496,796 54,546,657 41,664,700 12,881,957 0

33 FOREX CAPITAL MARKETS LLC FCMRFD NFA 10/31/2012 50,578,600 30,027,860 20,550,740 0 0 0 0 0 0 210,557,209

34 FOREX CLUB LLC FCMRFD NFA 10/31/2012 22,347,832 22,000,000 347,832 0 0 0 0 0 0 10,477

35 FRIEDBERG MERCANTILE GROUP INC FCM NFA 10/31/2012 3,591,094 1,000,000 2,591,094 10,923,486 10,363,707 559,779 747,041 690,451 56,590 0

36 FRONTIER FUTURES INC FCM NFA 10/31/2012 2,011,925 1,128,630 883,295 33,699,606 33,041,173 658,433 0 0 0 0

37 FX SOLUTIONS LLC FCMRFD NFA 10/31/2012 28,026,423 20,310,357 7,716,066 0 0 0 0 0 0 16,207,142

38 FXDIRECTDEALER LLC FCMRFD NFA 10/31/2012 26,907,682 21,053,161 5,854,521 0 0 0 0 0 0 31,063,212

39 GAIN CAPITAL GROUP LLC FCMRFD NFA 10/31/2012 38,719,266 24,354,160 14,365,106 0 0 0 0 0 0 97,083,191

40 GH FINANCIALS LLC FCM CME 10/31/2012 8,538,014 1,000,000 7,538,014 1,016,774 623,949 392,825 0 0 0 0

41 GLOBAL FUTURES & FOREX LTD FCMRFD NFA 10/31/2012 57,684,443 24,494,533 33,189,910 0 0 0 0 0 0 99,890,659

42 GOLDMAN SACHS & CO FCM BD CBOT 10/31/2012 13,623,454,922 1,793,655,539 11,829,799,383 21,454,214,781 20,463,532,750 990,682,031 8,599,562,287 7,599,087,438 1,000,474,849 0

43 GOLDMAN SACHS EXECUTION & CLEARING LP FCM BD CME 10/31/2012 2,177,523,756 118,606,191 2,058,917,565 1,676,003,510 744,550,989 931,452,521 116,463,382 21,314,406 95,148,976 0

44 GUGGENHEIM SECURITIES LLC FCM BD NFA 10/31/2012 61,790,650 1,066,458 60,724,192 0 0 0 0 0 0 0

45 HSBC SECURITIES USA INC FCM BD CME 10/31/2012 1,140,627,736 135,220,941 1,005,406,795 971,627,809 905,062,904 66,564,905 116,554,529 93,410,043 23,144,486 0

46 IBFX INC RFED NFA 10/31/2012 27,341,191 23,264,719 4,076,472 0 0 0 0 0 0 75,294,377

47 IKON GLOBAL MARKETS INC FCM NFA 10/31/2012 13,711,365 1,000,000 12,711,365 3,746,837 2,585,410 1,161,427 0 0 0 0

48 INSTINET LLC FCM BD NFA 10/31/2012 109,147,282 1,421,298 107,725,984 0 0 0 0 0 0 0

Futures Commission Merchant / Retail Foreign Exchange 

Dealer
SELECTED FCM FINANCIAL DATA AS OF 

October 31, 2012

FROM REPORTS FILED BY 

December 03, 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

55

56

57

58

59

60

61

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63

64

65

66

67

68

69

70

71

72

73

74

75

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49 INSTITUTIONAL LIQUIDITY LLC FCMRFD NFA 10/31/2012 21,202,609 20,238,454 964,155 0 0 0 0 0 0 14,769,090

50 INTEGRATED BROKERAGE SERVICES LLC FCM NFA 10/31/2012 102,215 1,000,000 (897,785) 0 0 0 0 0 0 0

51 INTERACTIVE BROKERS LLC FCM BD NFA 10/31/2012 1,702,927,695 212,255,028 1,490,672,667 1,994,713,252 1,765,864,122 228,849,130 527,482,524 402,029,091 125,453,433 34,796,941

52 IRONBEAM INC FCM NFA 10/31/2012 2,491,948 1,109,145 1,382,803 50,731,918 49,419,482 1,312,436 109,694 2,380 107,314 0

53 ITG DERIVATIVES LLC FCM BD NFA 10/31/2012 4,792,667 1,000,000 3,792,667 0 0 0 0 0 0 0

54 JEFFERIES BACHE LLC FCM CBOT 10/31/2012 252,477,000 177,082,080 75,394,920 2,888,719,000 2,768,273,000 120,446,000 274,119,000 207,332,000 66,787,000 0

55 JP MORGAN CLEARING CORP FCM BD NFA 10/31/2012 7,024,707,465 1,676,738,962 5,347,968,503 910,511,337 656,382,405 254,128,932 536,475,985 324,347,007 212,128,978 0

56 JP MORGAN SECURITIES LLC FCM BD CEI 10/31/2012 12,464,524,585 1,600,339,866 10,864,184,719 20,310,003,310 18,100,941,197 2,209,062,113 3,074,886,950 2,785,981,354 288,905,596 0

57 KNIGHT CAPITAL AMERICAS LLC FCM BD CME 10/31/2012 251,324,852 20,696,628 230,628,224 432,634,983 415,559,024 17,075,959 12,139,204 9,047,937 3,091,267 23,932,551

58 LEK SECURITIES CORPORATION FCM BD NFA 10/31/2012 10,778,982 1,500,000 9,278,982 7,924,529 5,408,466 2,516,063 0 0 0 0

59 LINN GROUP THE FCM NFA 10/31/2012 3,494,157 2,179,913 1,314,244 83,906,027 80,265,504 3,640,523 294,934 85,318 209,616 0

60 LIQUID FUTURES LLC FCM NFA 10/31/2012 1,568,583 1,042,000 526,583 0 0 0 0 0 0 0

61 LPL FINANCIAL LLC FCM BD NFA 10/31/2012 132,086,160 7,690,950 124,395,210 0 0 0 0 0 0 0

62 MACQUARIE FUTURES USA LLC FCM CBOT 10/31/2012 93,149,719 74,087,634 19,062,085 1,035,045,137 944,879,265 90,165,872 50,841,717 30,916,818 19,924,899 0

63 MAREX NORTH AMERICA LLC FCM CME 10/31/2012 11,242,494 7,421,606 3,820,888 94,486,736 89,117,863 5,368,873 3,826,095 3,374,531 451,564 0

64 MAREX USA LIMITED FCM NFA 10/31/2012 2,788,724 1,000,000 1,788,724 0 0 0 0 0 0 0

65 MB TRADING FUTURES INC FCMRFD NFA 10/31/2012 23,905,792 21,231,366 2,674,426 0 0 0 0 0 0 34,627,314

66 MBF CLEARING CORP FCM NFA 10/31/2012 1,872,412 1,000,000 872,412 0 0 0 0 0 0 0

67 MCVEAN TRADING & INVESTMENTS LLC FCM NFA 10/31/2012 14,035,401 3,451,323 10,584,078 961,168,494 939,952,550 21,215,944 510,047 0 510,047 0

68 MERRILL LYNCH PIERCE FENNER & SMITH FCM BD CBOT 10/31/2012 10,630,966,357 726,779,249 9,904,187,108 8,245,080,853 7,715,747,991 529,332,862 2,392,088,847 2,042,107,574 349,981,273 0

69 MERRILL LYNCH PROFESSIONAL CLEARING CORP FCM BD NFA 10/31/2012 2,058,317,814 223,224,328 1,835,093,486 1,513,575,261 955,716,720 557,858,541 103,560,352 391,468 103,168,884 0

70 MID CO COMMODITIES INC FCM NFA 10/31/2012 11,704,825 7,082,123 4,622,702 57,543,810 45,935,519 11,608,291 808,815 236,380 572,435 0

71 MITSUBISHI UFJ SECURITIES USA INC FCM BD NFA 10/31/2012 226,606,914 1,255,408 225,351,506 0 0 0 0 0 0 0

72 MITSUI BUSSAN COMMODITIES USA INC FCM NFA 10/31/2012 3,396,840 1,000,000 2,396,840 0 0 0 0 0 0 0

73 MIZUHO SECURITIES USA INC FCM BD CME 10/31/2012 453,159,707 167,375,482 285,784,225 1,988,606,147 1,763,587,937 225,018,210 455,075,690 355,807,680 99,268,010 0

74 MORGAN KEEGAN & COMPANY INC FCM BD NFA 10/31/2012 261,938,402 8,083,668 253,854,734 0 0 0 0 0 0 0

75 MORGAN STANLEY & CO LLC FCM BD CME 10/31/2012 8,291,855,187 1,358,104,083 6,933,751,104 7,612,259,050 7,403,703,176 208,555,874 1,884,522,330 1,679,589,870 204,932,460 0

76 MORGAN STANLEY SMITH BARNEY LLC FCM BD NFA 10/31/2012 2,595,817,103 143,455,009 2,452,362,094 795,173,317 717,457,116 77,716,201 105,060,723 79,252,636 25,808,087 0

77 NATIXIS SECURITIES AMERICAS LLC FCM BD NFA 10/31/2012 365,842,576 1,700,155 364,142,421 0 0 0 0 0 0 0

78 NEUBERGER BERMAN LLC FCM BD NFA 10/31/2012 40,650,574 1,500,000 39,150,574 0 0 0 0 0 0 0

79 NEWEDGE USA LLC FCM BD NYME 10/31/2012 1,926,356,586 1,176,550,470 749,806,116 17,688,707,931 17,082,323,664 606,384,267 4,127,045,691 3,737,837,902 389,207,789 0

80 NOMURA SECURITIES INTERNATIONAL INC FCM BD CBOT 10/31/2012 2,128,211,310 43,760,569 2,084,450,741 61,616,201 41,547,358 20,068,843 1,367,348 180,053 1,187,295 0

81 OANDA CORPORATION FCMRFD NFA 10/31/2012 151,095,498 27,480,828 123,614,670 0 0 0 0 0 0 159,616,551

82 OMAHA CAPITAL GROUP LLC FCM NFA 10/31/2012 1,947,954 1,000,000 947,954 0 0 0 0 0 0 0

83 OPEN E CRY LLC FCM NFA 10/31/2012 4,565,226 1,374,825 3,190,401 113,653,792 109,198,605 4,455,187 3,215,879 2,822,665 393,214 0

84 OPPENHEIMER & CO INC FCM BD NFA 10/31/2012 156,247,324 24,508,324 131,739,000 39,129,153 28,447,572 10,681,581 0 0 0 0

85 OPTIONSXPRESS INC FCM BD NFA 10/31/2012 78,874,220 5,575,665 73,298,555 113,441,939 96,392,432 17,049,507 5,575,135 3,053,717 2,521,418 0

86 PHILLIP FUTURES INC FCM CME 10/31/2012 27,853,108 20,000,000 7,853,108 219,907,246 193,192,940 26,714,306 585,557 282,101 303,456 0

87 PIONEER FUTURES INC FCM NFA 10/31/2012 1,686,052 1,000,000 686,052 205,511 154,748 50,763 25,000 0 25,000 0

88 RAND FINANCIAL SERVICES INC FCM CME 10/31/2012 76,495,496 24,380,995 52,114,501 430,150,500 391,632,700 38,517,800 40,379,400 19,439,100 20,940,300 0

89 RAYMOND JAMES & ASSOCIATES INC FCM BD NFA 10/31/2012 343,366,366 31,266,811 312,099,555 0 0 0 0 0 0 0

90 RBC CAPITAL MARKETS LLC FCM BD CME 10/31/2012 971,038,494 89,037,624 882,000,870 755,360,609 693,208,923 62,151,686 66,851,824 29,892,265 36,959,559 0

91 RBS SECURITIES INC FCM BD CBOT 10/31/2012 3,975,156,255 186,574,871 3,788,581,384 1,656,140,193 1,516,125,176 140,015,017 149,966,450 32,564,660 117,401,790 0

92 RJ OBRIEN ASSOCIATES LLC FCM CME 10/31/2012 208,432,557 149,094,117 59,338,440 4,059,014,569 3,939,099,756 119,914,813 172,284,950 142,258,563 30,026,387 2,178,376

93 ROSENTHAL COLLINS GROUP LLC FCM CME 10/31/2012 89,443,261 68,559,706 20,883,555 1,688,134,829 1,667,184,154 20,950,675 57,143,006 47,204,871 9,938,135 0

94 SANFORD C BERNSTEIN & CO LLC FCM BD NFA 10/31/2012 160,785,625 17,698,745 143,086,880 0 0 0 0 0 0 0

95 SANTANDER INVESTMENT SECURITIES INC FCM BD NYME 10/31/2012 218,448,210 10,426,947 208,021,263 537,057,327 534,693,642 2,363,685 0 0 0 0

96 STATE STREET GLOBAL MARKETS LLC FCM BD CME 10/31/2012 480,479,216 1,140,244 479,338,972 225,786,661 73,848,152 151,938,509 54,130,445 13,956,829 40,173,616 0
SELECTED FCM FINANCIAL DATA AS OF 

October 31, 2012

FROM REPORTS FILED BY 

December 03, 2012

3 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

103

104

105

106

107

108

109

110

111

112

113

114

115

116

117

118

119

120

121

122

123

124

125

126

127

128

129

130

131

132

133

134

135

136

137

97 STEPHENS INC FCM BD NFA 10/31/2012 85,293,833 17,912,623 67,381,210 0 0 0 0 0 0 0

98 STRAITS FINANCIAL LLC FCM CME 10/31/2012 9,427,185 2,645,080 6,782,105 87,409,453 82,084,022 5,325,431 13,517,566 12,610,179 907,387 0

99 TD AMERITRADE INC FCM BD NFA 10/31/2012 274,761,747 9,167,217 265,594,530 132,872,018 113,352,871 19,519,147 0 0 0 0

100 TIMBER HILL LLC FCM BD CME 10/31/2012 760,298,908 47,422,765 712,876,143 641,941,579 639,416,323 2,525,256 0 0 0 0

101 TRADELINK LLC FCM BD CBOT 10/31/2012 15,316,665 1,000,000 14,316,665 0 0 0 0 0 0 0

102 TRADESTATION SECURITIES INC FCM BD NFA 10/31/2012 52,224,998 3,206,406 49,018,592 402,319,759 392,172,333 10,147,426 16,663,795 15,641,507 1,022,288 0

103 TRADITION SECURITIES AND FUTURES INC FCM NFA 10/31/2012 1,509,617 1,000,000 509,617 0 0 0 0 0 0 0

104 UBS FINANCIAL SERVICES INC FCM BD NFA 10/31/2012 1,174,614,137 118,176,099 1,056,438,038 175,154,151 124,202,252 50,951,899 25,523,581 1,887,948 23,635,633 0

105 UBS SECURITIES LLC FCM BD CBOT 10/31/2012 12,494,193,009 852,286,104 11,641,906,905 9,267,256,291 8,644,856,793 622,399,498 3,744,494,826 2,647,101,940 1,097,392,886 0

106 VELOCITY FUTURES LLC FCM NFA 10/31/2012 1,575,397 1,000,000 575,397 72,548,454 71,512,997 1,035,457 2,362,623 1,759,317 603,306 0

107 VISION FINANCIAL MARKETS LLC FCM BD CME 10/31/2012 28,924,585 14,407,013 14,517,572 679,842,211 662,619,285 17,222,926 21,590,619 18,465,117 3,125,502 0

108 WELLS FARGO ADVISORS FINANCIAL NETWORK LLC FCM BD NFA 10/31/2012 38,906,772 1,000,000 37,906,772 0 0 0 0 0 0 0

109 WELLS FARGO ADVISORS LLC FCM BD NFA 10/31/2012 1,357,325,564 1,500,000 1,355,825,564 0 0 0 0 0 0 0

110 WELLS FARGO SECURITIES LLC FCM BD CME 10/31/2012 2,537,802,688 13,232,951 2,524,569,737 0 0 0 0 0 0 0

111 WHITE COMMERCIAL CORPORATION FCM NFA 10/31/2012 2,847,411 1,000,000 1,847,411 0 0 0 0 0 0 0

112 XPRESSTRADE LLC RFED NFA 10/31/2012 22,860,330 20,000,000 2,860,330 0 0 0 0 0 0 731,011

113 YORK BUSINESS ASSOCIATES LLC FCM NFA 10/31/2012 3,458,238 1,000,000 2,458,238 64,945,803 62,397,189 2,548,614 2,206,297 1,616,464 589,833 0

Totals 162,226,708,745 150,352,192,105 11,874,516,640 35,310,493,533 29,538,487,499 5,772,006,034 817,169,075

September Web Page Update 114

Additions 1

E D & F MAN CAPITAL MARKETS INC

Deletions 2

ICAP CORPORATES LLC

JEFFERIES & COMPANY INC

Name Changes

COUNTRY HEDGING INC to CHS HEDGING INC

October Web Page Update 113
SELECTED FCM FINANCIAL DATA AS OF 

October 31, 2012

FROM REPORTS FILED BY 

December 03, 2012

4 of 4

1

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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

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.