SELECTED FCM FINANCIAL DATA AS OF 

April 30, 2013

FROM REPORTS FILED BY 

June 3, 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 4/30/2013 442,065,545 149,344,234 292,721,311 2,740,080,435 2,486,797,607 253,282,828 165,486,063 123,929,510 41,556,553 0

2 ADM INVESTOR SERVICES INC FCM CBOT 4/30/2013 276,916,418 139,592,983 137,323,435 3,165,875,619 2,935,661,757 230,213,862 206,509,009 141,901,651 64,607,358 0

3 ADVANCED MARKETS LLC FCMRFD NFA 4/30/2013 10,511,786 1,000,000 9,511,786 0 0 0 0 0 0 0

4 ADVANTAGE FUTURES LLC FCM CME 4/30/2013 23,121,168 10,955,433 12,165,735 430,982,204 417,809,711 13,172,493 28,107,296 26,254,083 1,853,213 0

5 ALPARI (US) LLC FCMRFD NFA 4/30/2013 25,238,318 20,125,154 5,113,164 6,395,756 2,396,645 3,999,111 1,811,763 1,582,081 229,682 12,503,088

6 AMERIPRISE FINANCIAL SERVICES INC FCM BD NFA 4/30/2013 123,446,783 1,000,000 122,446,783 0 0 0 0 0 0 0

7 AMP GLOBAL CLEARING LLC FCM NFA 4/30/2013 2,507,793 1,500,000 1,007,793 42,322,501 40,968,470 1,354,031 762,685 404,308 358,377 0

8 BARCLAYS CAPITAL INC FCM BD NYME 4/30/2013 6,020,774,967 1,113,713,660 4,907,061,307 7,033,041,364 6,739,781,032 293,260,332 4,198,976,373 3,992,487,369 206,489,004 0

9 BGC FINANCIAL LP FCM BD NFA 4/30/2013 59,496,466 1,331,501 58,164,965 0 0 0 0 0 0 0

10 BNP PARIBAS PRIME BROKERAGE INC FCM BD NYME 4/30/2013 2,507,689,632 238,426,037 2,269,263,595 2,184,789,173 1,968,030,318 216,758,855 21,424,022 3,729,178 17,694,844 0

11 BNP PARIBAS SECURITIES CORP FCM BD CBOT 4/30/2013 1,569,174,367 118,474,189 1,450,700,178 811,608,181 650,593,169 161,015,012 1,000,000 0 1,000,000 0

12 BNY MELLON CLEARING LLC FCM CME 4/30/2013 290,200,766 9,489,154 280,711,612 427,907,129 241,745,643 186,161,486 37,426,783 19,554,769 17,872,014 0

13 BOCI COMMODITIES & FUTURES USA LLC FCM NFA 4/30/2013 4,792,981 1,000,000 3,792,981 0 0 0 0 0 0 0

14 CANTOR FITZGERALD & CO FCM BD CBOT 4/30/2013 202,343,545 5,888,350 196,455,195 6,170,552 1,209,398 4,961,154 0 0 0 0

15 CAPITAL MARKET SERVICES LLC FCM NFA 4/30/2013 2,243,298 1,000,000 1,243,298 0 0 0 0 0 0 0

16 CHS HEDGING INC FCM CBOT 4/30/2013 27,497,618 10,837,857 16,659,761 176,778,693 151,657,919 25,120,774 1,271,200 284,357 986,843 0

17 CITADEL SECURITIES LLC FCM BD CME 4/30/2013 454,848,596 1,000,000 453,848,596 0 0 0 0 0 0 0

18 CITIGROUP GLOBAL MARKETS INC FCM BD CBOT 4/30/2013 7,395,584,471 699,658,262 6,695,926,209 7,717,514,602 7,516,864,262 200,650,340 1,252,899,436 982,761,465 270,137,971 0

19 COMMONWEALTH FOREIGN EXCHANGE INC FCM NFA 4/30/2013 1,667,826 1,000,000 667,826 0 0 0 0 0 0 0

20 CREDIT SUISSE SECURITIES (USA) LLC FCM BD CBOT 4/30/2013 6,456,009,033 1,873,121,086 4,582,887,947 7,787,995,680 6,945,770,639 842,225,041 3,206,286,216 2,768,751,872 437,534,344 0

21 CROSSLAND LLC FCM CBOT 4/30/2013 7,867,721 2,914,548 4,953,173 81,705,869 79,724,891 1,980,978 15,377,443 14,916,391 461,052 0

22 CUNNINGHAM COMMODITIES LLC FCM CBOT 4/30/2013 2,805,330 1,261,888 1,543,442 70,864,309 69,900,115 964,194 418,976 287,316 131,660 0

23 CX CAPITAL MARKETS LLC FCM BD NFA 4/30/2013 1,019,513 1,000,000 19,513 0 0 0 0 0 0 0

24 DAIWA CAPITAL MARKETS AMERICA INC FCM BD CME 4/30/2013 302,533,143 8,568,697 293,964,446 8,610,010 3,970,716 4,639,294 1,020,677 0 1,020,677 0

25 DEUTSCHE BANK SECURITIES INC FCM BD CBOT 4/30/2013 8,080,445,880 666,818,838 7,413,627,042 14,990,927,432 14,369,030,422 621,897,010 1,165,509,673 953,559,444 211,950,229 0

26 DORMAN TRADING LLC FCM CME 4/30/2013 10,138,103 1,678,332 8,459,771 138,182,653 135,322,196 2,860,457 2,213,786 1,788,359 425,427 0

27 E D & F MAN CAPITAL MARKETS INC FCM BD CME 4/30/2013 19,362,499 5,964,726 13,397,773 162,804,954 155,222,149 7,582,805 1,008,261 402,106 606,155 0

28 E TRADE CLEARING LLC FCM BD NFA 4/30/2013 668,846,335 125,146,148 543,700,187 42,927,147 32,825,757 10,101,390 1,557,278 557,077 1,000,201 0

29 ENSKILDA FUTURES LTD FCM CME 4/30/2013 37,865,476 16,019,035 21,846,441 228,141,802 218,108,331 10,033,471 0 0 0 0

30 FCSTONE LLC FCM CME 4/30/2013 110,344,765 68,953,182 41,391,583 1,573,677,298 1,542,536,599 31,140,699 101,604,913 90,612,324 10,992,589 0

31 FOREX CAPITAL MARKETS LLC FCMRFD NFA 4/30/2013 54,531,549 26,800,176 27,731,373 0 0 0 0 0 0 146,003,514

32 FRIEDBERG MERCANTILE GROUP INC FCM NFA 4/30/2013 4,637,016 1,000,000 3,637,016 6,290,410 5,689,472 600,938 1,199,867 1,142,321 57,546 0

33 FRONTIER FUTURES INC FCM NFA 4/30/2013 1,975,016 1,000,000 975,016 27,573,507 26,816,114 757,393 0 0 0 0

34 FX SOLUTIONS LLC FCMRFD NFA 4/30/2013 23,518,747 20,000,000 3,518,747 0 0 0 0 0 0 0

35 FXDIRECTDEALER LLC FCMRFD NFA 4/30/2013 23,551,957 20,831,556 2,720,401 0 0 0 0 0 0 26,631,125

36 GAIN CAPITAL GROUP LLC FCMRFD NFA 4/30/2013 44,694,198 25,023,137 19,671,061 126,124,225 120,456,333 5,667,892 3,687,625 2,579,211 1,108,414 110,462,727

37 GH FINANCIALS LLC FCM CME 4/30/2013 8,867,879 1,000,000 7,867,879 1,318,101 825,828 492,273 0 0 0 0

38 GLOBAL FUTURES & FOREX LTD FCMRFD NFA 4/30/2013 3,147,684 20,000,000 -16,852,316 0 0 0 0 0 0 0

39 GOLDMAN SACHS & CO FCM BD CBOT 4/30/2013 15,181,528,816 1,932,462,042 13,249,066,774 19,554,428,613 19,062,963,790 491,464,823 9,669,986,599 9,193,885,229 476,101,370 0

40 GOLDMAN SACHS EXECUTION & CLEARING LP FCM BD CME 4/30/2013 2,040,732,557 110,588,252 1,930,144,305 1,372,429,784 790,078,224 582,351,560 61,800,442 14,360,684 47,439,758 0

41 GUGGENHEIM SECURITIES LLC FCM BD NFA 4/30/2013 59,321,384 1,311,697 58,009,687 0 0 0 0 0 0 0

42 HSBC SECURITIES USA INC FCM BD CME 4/30/2013 1,003,315,178 106,744,501 896,570,677 1,060,076,139 995,943,587 64,132,552 86,896,563 70,319,364 16,577,199 0

43 IBFX INC RFED NFA 4/30/2013 28,126,293 23,231,610 4,894,683 0 0 0 0 0 0 74,632,196

44 INSTINET LLC FCM BD NFA 4/30/2013 108,011,036 2,631,656 105,379,380 0 0 0 0 0 0 0

45 INSTITUTIONAL LIQUIDITY LLC FCMRFD NFA 4/30/2013 35,075,678 20,100,095 14,975,583 0 0 0 0 0 0 12,001,902

46 INTERACTIVE BROKERS LLC FCM BD NFA 4/30/2013 1,678,485,907 251,580,102 1,426,905,805 2,218,269,553 2,032,292,263 185,977,290 629,486,806 524,277,031 105,209,775 40,729,381

47 IRONBEAM INC FCM NFA 4/30/2013 2,524,994 1,029,153 1,495,841 42,732,134 41,282,421 1,449,713 109,960 2,288 107,672 0

48 ITG DERIVATIVES LLC FCM BD NFA 4/30/2013 4,549,873 1,000,000 3,549,873 0 0 0 0 0 0 0

49 JEFFERIES BACHE LLC FCM CBOT 4/30/2013 244,836,000 140,160,640 104,675,360 2,149,266,000 2,047,228,000 102,038,000 180,272,000 109,029,000 71,243,000 0

50 JP MORGAN CLEARING CORP FCM BD NFA 4/30/2013 6,570,744,794 1,704,872,419 4,865,872,375 917,599,692 689,831,453 227,768,239 607,711,379 352,229,438 255,481,941 0

51 JP MORGAN SECURITIES LLC FCM BD CEI 4/30/2013 14,000,013,627 1,670,285,863 12,329,727,764 19,153,165,237 17,086,024,125 2,067,141,112 3,560,095,202 3,150,200,041 409,895,161 0

52 KNIGHT CAPITAL AMERICAS LLC FCM BD CME 4/30/2013 362,605,257 22,622,809 339,982,448 482,999,446 465,936,050 17,063,396 12,096,440 8,250,638 3,845,802 34,190,762

53 LEK SECURITIES CORPORATION FCM BD NFA 4/30/2013 10,187,773 1,500,000 8,687,773 6,770,586 5,303,026 1,467,560 0 0 0 0

54 LINN GROUP THE FCM NFA 4/30/2013 3,306,332 2,188,768 1,117,564 75,177,463 71,504,842 3,672,621 347,789 0 347,789 0

Futures Commission Merchant / Retail Foreign Exchange 

Dealer
SELECTED FCM FINANCIAL DATA AS OF 

April 30, 2013

FROM REPORTS FILED BY 

June 3, 2013

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

61

62

63

64

65

66

67

68

69

70

71

72

73

74

75

76

77

78

79

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81

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115

55 LPL FINANCIAL LLC FCM BD NFA 4/30/2013 166,904,777 6,417,495 160,487,282 0 0 0 0 0 0 0

56 MACQUARIE FUTURES USA LLC FCM CBOT 4/30/2013 139,614,370 90,792,751 48,821,619 1,306,197,918 1,148,668,935 157,528,983 30,300,929 23,677,540 6,623,389 0

57 MAREX NORTH AMERICA LLC FCM CME 4/30/2013 11,400,381 6,461,092 4,939,289 86,045,347 80,305,558 5,739,789 5,887,526 5,257,777 629,749 0

58 MAREX USA LIMITED FCM NFA 4/30/2013 2,882,518 1,000,000 1,882,518 0 0 0 0 0 0 0

59 MB TRADING FUTURES INC FCMRFD NFA 4/30/2013 24,402,546 21,490,467 2,912,079 0 0 0 0 0 0 39,809,331

60 MCVEAN TRADING & INVESTMENTS LLC FCM NFA 4/30/2013 13,452,478 3,261,498 10,190,980 871,672,138 851,314,693 20,357,445 2,650,556 0 2,650,556 0

61 MERRILL LYNCH PIERCE FENNER & SMITH FCM BD CBOT 4/30/2013 10,697,060,465 808,448,430 9,888,612,035 8,509,611,369 8,112,892,865 396,718,504 2,892,989,162 2,536,252,413 356,736,749 0

62 MERRILL LYNCH PROFESSIONAL CLEARING CORP FCM BD NFA 4/30/2013 1,815,021,289 236,960,252 1,578,061,037 1,857,052,166 1,095,744,364 761,307,802 28,813,297 843,886 27,969,411 0

63 MID CO COMMODITIES INC FCM NFA 4/30/2013 9,793,942 3,995,029 5,798,913 39,828,612 30,998,921 8,829,691 572,574 0 572,574 0

64 MITSUBISHI UFJ SECURITIES USA INC FCM BD NFA 4/30/2013 212,084,178 1,071,998 211,012,180 0 0 0 0 0 0 0

65 MITSUI BUSSAN COMMODITIES USA INC FCM NFA 4/30/2013 3,331,833 1,000,000 2,331,833 0 0 0 0 0 0 0

66 MIZUHO SECURITIES USA INC FCM BD CME 4/30/2013 434,434,411 177,057,790 257,376,621 2,507,747,638 2,324,155,178 183,592,460 355,160,121 256,274,329 98,885,792 0

67 MORGAN STANLEY & CO LLC FCM BD CME 4/30/2013 8,926,079,139 1,420,936,504 7,505,142,635 7,972,926,233 7,756,321,924 216,604,309 2,240,202,762 1,987,473,744 252,729,018 0

68 MORGAN STANLEY SMITH BARNEY LLC FCM BD NFA 4/30/2013 2,609,544,517 135,754,370 2,473,790,147 747,912,225 661,492,113 86,420,112 102,399,419 65,974,627 36,424,792 0

69 NATIXIS SECURITIES AMERICAS LLC FCM BD NFA 4/30/2013 369,198,255 2,092,869 367,105,386 0 0 0 0 0 0 0

70 NEUBERGER BERMAN LLC FCM BD NFA 4/30/2013 55,567,766 1,500,000 54,067,766 0 0 0 0 0 0 0

71 NEWEDGE USA LLC FCM BD NYME 4/30/2013 2,016,800,981 1,056,581,750 960,219,231 15,179,039,447 14,574,269,548 604,769,899 3,961,746,345 3,562,397,989 399,348,356 0

72 NOMURA SECURITIES INTERNATIONAL INC FCM BD CBOT 4/30/2013 2,461,166,207 27,294,749 2,433,871,458 65,118,054 49,078,913 16,039,141 7,576,164 5,493,172 2,082,992 0

73 OANDA CORPORATION FCMRFD NFA 4/30/2013 148,427,158 26,936,912 121,490,246 0 0 0 0 0 0 148,738,246

74 OPPENHEIMER & CO INC FCM BD NFA 4/30/2013 151,303,866 25,182,364 126,121,502 44,418,754 25,754,467 18,664,287 0 0 0 0

75 OPTIONSXPRESS INC FCM BD NFA 4/30/2013 92,456,192 6,140,054 86,316,138 121,407,540 96,858,096 24,549,444 4,083,220 1,579,177 2,504,043 0

76 PHILLIP FUTURES INC FCM CME 4/30/2013 27,465,940 20,000,000 7,465,940 197,276,408 174,598,457 22,677,951 3,120,324 690,676 2,429,648 0

77 PIONEER FUTURES INC FCM NFA 4/30/2013 1,756,081 1,000,000 756,081 2,822,426 2,556,233 266,193 50,000 0 50,000 0

78 RAND FINANCIAL SERVICES INC FCM CME 4/30/2013 77,990,375 23,886,520 54,103,855 388,446,800 347,317,500 41,129,300 36,534,800 14,421,800 22,113,000 0

79 RAYMOND JAMES & ASSOCIATES INC FCM BD NFA 4/30/2013 330,244,182 36,442,350 293,801,832 0 0 0 0 0 0 0

80 RBC CAPITAL MARKETS LLC FCM BD CME 4/30/2013 1,023,844,540 110,551,782 913,292,758 863,785,469 783,435,405 80,350,064 146,019,827 82,353,001 63,666,826 0

81 RBS SECURITIES INC FCM BD CBOT 4/30/2013 4,077,240,197 176,306,611 3,900,933,586 1,865,814,745 1,719,866,182 145,948,563 160,991,924 42,573,894 118,418,030 0

82 RJ OBRIEN ASSOCIATES LLC FCM CME 4/30/2013 200,900,877 139,267,633 61,633,244 3,872,215,873 3,753,926,215 118,289,658 189,158,460 163,501,697 25,656,763 1,624,416

83 ROSENTHAL COLLINS GROUP LLC FCM CME 4/30/2013 81,656,656 59,387,422 22,269,234 1,514,589,405 1,492,734,715 21,854,690 45,008,018 34,903,036 10,104,982 0

84 SANFORD C BERNSTEIN & CO LLC FCM BD NFA 4/30/2013 158,561,117 18,692,993 139,868,124 0 0 0 0 0 0 0

85 SANTANDER INVESTMENT SECURITIES INC FCM BD NYME 4/30/2013 262,266,924 7,585,709 254,681,215 639,861,347 637,468,443 2,392,904 0 0 0 0

86 STATE STREET GLOBAL MARKETS LLC FCM BD CME 4/30/2013 509,821,361 9,741,660 500,079,701 293,483,184 137,465,423 156,017,761 48,504,280 8,897,888 39,606,392 0

87 STEPHENS INC FCM BD NFA 4/30/2013 114,505,181 10,807,981 103,697,200 0 0 0 0 0 0 0

88 STRAITS FINANCIAL LLC FCM CME 4/30/2013 10,044,601 3,043,469 7,001,132 101,151,211 94,124,751 7,026,460 23,016,241 20,971,543 2,044,698 0

89 TD AMERITRADE INC FCM BD NFA 4/30/2013 256,364,589 11,031,704 245,332,885 160,511,023 136,589,101 23,921,922 0 0 0 0

90 TIMBER HILL LLC FCM BD CME 4/30/2013 327,351,954 53,814,931 273,537,023 693,072,274 690,546,293 2,525,981 0 0 0 0

91 TRADELINK LLC FCM BD CBOT 4/30/2013 12,247,912 1,000,000 11,247,912 0 0 0 0 0 0 0

92 TRADESTATION SECURITIES INC FCM BD NFA 4/30/2013 50,935,970 3,313,261 47,622,709 396,159,412 386,084,453 10,074,959 15,590,310 14,600,659 989,651 0

93 TULLETT PREBON FINANCIAL SERVICES LLC FCM BD NFA 4/30/2013 32,820,319 1,000,000 31,820,319 0 0 0 0 0 0 0

94 UBS FINANCIAL SERVICES INC FCM BD NFA 4/30/2013 1,336,080,243 106,127,022 1,229,953,221 134,740,803 105,065,937 29,674,866 24,795,390 851,690 23,943,700 0

95 UBS SECURITIES LLC FCM BD CBOT 4/30/2013 11,444,487,395 983,792,486 10,460,694,909 9,783,327,413 9,095,272,782 688,054,631 4,445,781,953 3,935,052,261 510,729,692 0

96 VELOCITY FUTURES LLC FCM NFA 4/30/2013 1,149,773 1,000,000 149,773 65,169,648 64,379,438 790,210 1,826,671 1,252,890 573,781 0

97 VISION FINANCIAL MARKETS LLC FCM BD CME 4/30/2013 34,118,074 12,060,153 22,057,921 516,027,080 503,094,530 12,932,550 12,466,521 9,882,948 2,583,573 0

98 WELLS FARGO ADVISORS FINANCIAL NETWORK LLC FCM BD NFA 4/30/2013 51,169,774 1,000,000 50,169,774 0 0 0 0 0 0 0

99 WELLS FARGO ADVISORS LLC FCM BD NFA 4/30/2013 1,372,034,864 1,500,000 1,370,534,864 0 0 0 0 0 0 0

100 WELLS FARGO SECURITIES LLC FCM BD CME 4/30/2013 1,835,259,947 16,307,895 1,818,952,052 10,026,860 0 10,026,860 0 0 0 0

101 WHITE COMMERCIAL CORPORATION FCM NFA 4/30/2013 2,334,146 1,000,000 1,334,146 0 0 0 0 0 0 0

102 XCHANGE FINANCIAL ACCESS LLC FCM BD NFA 4/30/2013 5,371,265 1,000,000 4,371,265 34,131,612 31,963,159 2,168,453 0 0 0 0

103 XPRESSTRADE LLC RFED NFA 4/30/2013 22,862,666 20,000,000 2,862,666 0 0 0 0 0 0 433,235

104 YORK BUSINESS ASSOCIATES LLC FCM NFA 4/30/2013 4,205,893 1,000,000 3,205,893 57,256,918 55,245,824 2,011,094 2,369,104 1,849,239 519,865 0

157,922,371,605 147,167,693,690 10,754,677,915 40,011,978,423 35,327,066,781 4,684,911,642 647,759,923

Totals 157,922,371,605 147,167,693,690 10,754,677,915 40,011,978,423 35,327,066,781 4,684,911,642 647,759,923

March Web Page Update 105
SELECTED FCM FINANCIAL DATA AS OF 

April 30, 2013

FROM REPORTS FILED BY 

June 3, 2013

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

116

117

118

119

120

121

122

123

124

125

126

127

128

Additions 0

None

Deletions 1

MORGAN KEEGAN & COMPANY INC

Name Changes

None

April Web Page Update 104
SELECTED FCM FINANCIAL DATA AS OF 

April 30, 2013

FROM REPORTS FILED BY 

June 3, 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

129

130

131

132

133

134

135

136

137

138

139

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(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. 

(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.

(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.