SELECTED FCM FINANCIAL DATA AS OF 

August 31, 2015

FROM REPORTS FILED BY 

September 28, 2015

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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 8/31/2015 607,737,348 184,302,342 423,435,006 3,401,468,777 2,839,568,692 561,900,085 169,629,284 218,770,602 173,150,626 45,619,976 25,972,594 0 0 0 0 0

2 ADM INVESTOR SERVICES INC FCM CBOT 8/31/2015 300,532,943 176,082,442 124,450,501 4,331,838,147 4,065,365,653 266,472,494 120,000,000 324,650,011 262,282,784 62,367,227 20,000,000 11,748,037 1,446,335 10,301,702 8,000,000 0

3 ADVANTAGE FUTURES LLC FCM CME 8/31/2015 26,494,757 12,438,775 14,055,982 527,391,720 509,698,796 17,692,924 9,000,000 33,181,164 31,272,427 1,908,737 1,000,000 0 0 0 0 0

4 AMP GLOBAL CLEARING LLC FCM NFA 8/31/2015 2,866,895 1,500,000 1,366,895 51,975,455 50,026,104 1,949,351 900,000 1,573,351 1,187,451 385,900 150,000 0 0 0 0 0

5 BARCLAYS CAPITAL INC FCM BD NYME 8/31/2015 6,929,918,188 1,141,978,227 5,787,939,961 6,691,804,222 5,888,075,891 803,728,331 323,844,174 2,674,981,342 2,395,661,622 279,319,720 120,262,213 5,324,578,443 4,628,664,278 695,914,165 261,056,665 0

6 BGC FINANCIAL LP FCM BD NFA 8/31/2015 47,079,597 1,000,000 46,079,597 0 0 0 0 0 0 0 0 0 0 0 0 0

7 BNP PARIBAS PRIME BROKERAGE INC FCM BD NYME 8/31/2015 2,840,268,734 264,839,096 2,575,429,638 2,120,182,324 1,864,848,032 255,334,292 186,484,803 20,885,502 7,909,279 12,976,223 10,000,000 10,464,246 2,353,218 8,111,028 5,000,000 0

8 BNP PARIBAS SECURITIES CORP FCM BD CBOT 8/31/2015 1,936,480,440 236,734,604 1,699,745,836 1,083,792,264 875,129,253 208,663,011 175,025,851 44,093,104 28,379,874 15,713,230 2,837,987 747,472,216 633,090,310 114,381,906 63,309,031 0

9 BOCI COMMODITIES & FUTURES USA LLC FCM CME 8/31/2015 11,551,676 1,000,000 10,551,676 203 0 203 1 184 0 184 1 6 0 6 1 0

10 CANTOR FITZGERALD & CO FCM BD CBOT 8/31/2015 193,254,915 9,064,003 184,190,912 4,969,921 0 4,969,921 3,000,000 0 0 0 0 0 0 0 0 0

11 CHS HEDGING LLC FCM CBOT 8/31/2015 29,609,991 11,049,410 18,560,581 166,118,277 136,286,403 29,831,874 13,100,000 2,139,450 698,208 1,441,242 545,000 663,491 159,405 504,086 310,000 0

12 CITIGROUP GLOBAL MARKETS INC FCM BD SD CBOT/NFA 8/31/2015 6,688,259,583 1,302,105,990 5,386,153,593 7,507,928,206 7,142,533,824 365,394,382 312,500,000 1,440,768,314 1,137,437,728 303,330,586 150,000,000 6,514,891,192 6,182,722,173 332,169,019 211,775,000 0

13 CREDIT SUISSE SECURITIES (USA) LLC FCM BD CBOT 8/31/2015 7,345,548,894 2,053,578,236 5,291,970,658 8,696,111,027 8,036,826,408 659,284,619 401,841,320 3,675,190,739 3,303,607,812 371,582,927 165,180,391 12,162,833,698 11,158,977,579 1,003,856,119 557,948,879 0

14 CUNNINGHAM COMMODITIES LLC FCM CBOT 8/31/2015 5,187,254 1,111,569 4,075,685 66,470,365 61,953,409 4,516,956 3,050,000 329,731 45,480 284,251 100,000 0 0 0 0 0

15 DAIWA CAPITAL MARKETS AMERICA INC FCM BD CME 8/31/2015 519,964,681 8,214,160 511,750,521 5,454,159 0 5,454,159 1 548,283 0 548,283 1 0 0 0 0 0

16 DEUTSCHE BANK SECURITIES INC FCM BD CBOT 8/31/2015 11,031,608,789 633,412,021 10,398,196,768 4,091,789,686 3,795,791,216 295,998,470 200,000,000 1,178,392,501 988,731,142 189,661,359 150,000,000 2,167,793,949 1,837,649,744 330,144,205 250,000,000 0

17 DORMAN TRADING LLC FCM CME 8/31/2015 10,010,877 1,949,623 8,061,254 177,471,155 172,938,386 4,532,769 2,000,000 3,949,176 3,239,023 710,153 200,000 0 0 0 0 0

18 E D & F MAN CAPITAL MARKETS INC FCM BD CME 8/31/2015 73,707,551 34,689,845 39,017,706 983,614,114 956,737,989 26,876,125 14,000,000 51,386,446 46,042,822 5,343,624 2,000,000 5,194,017 3,386,594 1,807,423 500,000 0

19 E TRADE CLEARING LLC FCM BD NFA 8/31/2015 972,151,420 174,812,721 797,338,699 59,816,617 45,106,219 14,710,398 10,000,000 1,483,797 374,640 1,109,157 1,000,000 0 0 0 0 0

20 EFL FUTURES LIMITED FCM CME 8/31/2015 35,906,975 17,598,734 18,308,241 241,462,692 228,539,671 12,923,021 5,000,000 0 0 0 0 0 0 0 0 0

21 FOREX CAPITAL MARKETS LLC FCMRFD SD NFA 8/31/2015 54,223,750 28,276,148 25,947,602 0 0 0 0 0 0 0 0 0 0 0 0 175,522,956

22 GAIN CAPITAL GROUP LLC FCMRFD NFA 8/31/2015 35,352,816 25,085,943 10,266,873 252,517,416 235,253,627 17,263,789 5,000,000 8,476,964 4,099,953 4,377,011 1,000,000 0 0 0 0 111,718,853

23 GH FINANCIALS LLC FCM CME 8/31/2015 15,628,346 5,909,409 9,718,937 83,852,956 70,894,064 12,958,892 2,500,000 302,865 3,413 299,452 75,000 0 0 0 0 0

24 GOLDMAN SACHS & CO FCM BD SD CBOT/NFA 8/31/2015 15,730,320,911 2,620,865,780 13,109,455,131 24,447,365,496 23,734,389,180 712,976,316 475,000,000 14,086,582,561 13,450,104,965 636,477,596 475,000,000 4,242,835,033 3,829,472,550 413,362,483 350,000,000 0

25 GOLDMAN SACHS EXECUTION & CLEARING LP FCM BD CME 8/31/2015 1,562,622,458 192,489,445 1,370,133,013 1,286,069,099 675,820,581 610,248,518 540,000,000 63,514,680 13,637,404 49,877,276 40,000,000 0 0 0 0 0

26 HSBC SECURITIES USA INC FCM BD CME 8/31/2015 1,039,947,420 257,602,508 782,344,912 1,300,642,548 1,111,296,961 189,345,587 50,000,000 167,635,825 124,900,852 42,734,973 10,000,000 1,274,885,163 1,124,135,879 150,749,284 70,000,000 0

27 IBFX INC RFED SD NFA 8/31/2015 37,228,263 21,961,452 15,266,811 0 0 0 0 0 0 0 0 0 0 0 0 47,148,380

28 INTERACTIVE BROKERS LLC FCM BD CME 8/31/2015 2,318,234,664 277,245,889 2,040,988,775 2,737,302,131 2,539,499,960 197,802,171 155,000,000 471,218,422 346,281,179 124,937,243 80,000,000 0 0 0 0 52,016,992

29 INTL FCSTONE FINANCIAL INC FCM BD CME 8/31/2015 148,493,900 66,265,857 82,228,043 1,802,601,614 1,753,008,779 49,592,835 26,000,000 79,680,279 59,616,785 20,063,494 8,000,000 0 0 0 0 0

30 IRONBEAM INC FCM NFA 8/31/2015 2,184,182 1,000,000 1,184,182 39,938,661 38,641,904 1,296,757 800,000 272,862 167,292 105,570 50,000 0 0 0 0 0

31 ITG DERIVATIVES LLC FCM BD NFA 8/31/2015 1,962,141 1,000,000 962,141 0 0 0 0 0 0 0 0 0 0 0 0 0

32 JEFFERIES LLC FCM BD CBOT 8/31/2015 1,260,104,565 82,964,010 1,177,140,555 26,949,314 1,294,347 25,654,967 1,000,000 1,528,012 82,599 1,445,413 500,000 0 0 0 0 0

33 JP MORGAN CLEARING CORP FCM BD NFA 8/31/2015 7,663,999,680 1,705,975,795 5,958,023,885 1,108,563,724 818,126,622 290,437,102 73,631,396 555,780,909 399,608,261 156,172,648 35,964,743 250,000 0 250,000 1 0

34 JP MORGAN SECURITIES LLC FCM BD SD CEI/NFA 8/31/2015 12,612,583,957 2,469,690,049 10,142,893,908 18,994,541,325 17,229,835,289 1,764,706,036 1,550,685,176 3,596,277,192 3,229,475,479 366,801,713 290,652,793 7,529,796,893 6,832,084,108 697,712,785 614,887,570 0

35 MACQUARIE FUTURES USA LLC FCM CBOT 8/31/2015 81,959,648 168,469,350 (86,509,702) 2,093,259,795 2,053,580,745 39,679,050 90,000,000 38,661,150 22,578,537 16,082,613 1,580,498 24,710,749 6,359,413 18,351,336 445,159 0

36 MAREX NORTH AMERICA LLC FCM CME 8/31/2015 17,709,813 11,763,990 5,945,823 149,498,889 145,007,257 4,491,632 3,500,000 40,800,985 39,523,273 1,277,712 1,000,000 0 0 0 0 0

37 MB TRADING FUTURES INC RFED NFA 8/31/2015 23,989,113 20,419,392 3,569,721 0 0 0 0 0 0 0 0 0 0 0 0 18,387,834

38 MCVEAN TRADING & INVESTMENTS LLC FCM NFA 8/31/2015 12,110,647 2,815,460 9,295,187 917,518,954 896,875,898 20,643,056 18,000,000 2,417,861 0 2,417,861 400,000 0 0 0 0 0

39 MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED FCM BD CBOT 8/31/2015 9,086,843,105 1,481,155,883 7,605,687,222 12,656,382,723 12,378,721,359 277,661,364 200,000,000 3,406,552,334 3,177,659,139 228,893,195 150,000,000 3,925,089,209 3,650,331,834 274,757,375 150,000,000 0

40 MERRILL LYNCH PROFESSIONAL CLEARING CORP FCM BD NFA 8/31/2015 2,454,390,554 426,057,423 2,028,333,131 1,806,319,565 1,218,827,425 587,492,140 300,000,000 3,841,619 132,973 3,708,646 1,000,000 0 0 0 0 0

41 MID CO COMMODITIES INC FCM NFA 8/31/2015 7,788,962 3,107,599 4,681,363 36,093,924 27,242,636 8,851,288 5,138,000 0 0 0 0 0 0 0 0 0

42 MINT BROKERS FCM BD NFA 8/31/2015 6,486,028 1,000,000 5,486,028 0 0 0 0 0 0 0 0 0 0 0 0 0

43 MITSUBISHI UFJ SECURITIES USA INC FCM BD NFA 8/31/2015 392,589,881 1,002,272 391,587,609 0 0 0 0 0 0 0 0 0 0 0 0 0

44 MIZUHO SECURITIES USA INC FCM BD SD CME/NFA 8/31/2015 651,917,638 227,244,423 424,673,215 2,580,839,400 2,383,155,107 197,684,293 125,000,000 801,801,990 673,779,101 128,022,889 70,000,000 28,987,384 3,290,937 25,696,447 15,000,000 0

45 MORGAN STANLEY & CO LLC FCM BD SD CME/NFA 8/31/2015 8,711,152,536 1,812,554,282 6,898,598,254 12,718,794,592 12,506,100,110 212,694,482 105,000,000 4,181,352,499 3,955,355,477 225,997,022 105,000,000 9,838,264,920 9,687,806,582 150,458,338 92,000,000 0

46 NANHUA USA LLC FCM CME 8/31/2015 10,351,922 3,098,285 7,253,637 61,470,177 56,212,711 5,257,466 1,000,000 0 0 0 0 0 0 0 0 0

47 NEUBERGER BERMAN LLC FCM BD NFA 8/31/2015 30,943,105 1,500,000 29,443,105 0 0 0 0 0 0 0 0 0 0 0 0 0

48 NOMURA SECURITIES INTERNATIONAL INC FCM BD CBOT 8/31/2015 1,647,465,619 90,513,079 1,556,952,540 362,150,463 241,299,410 120,851,053 15,000,000 18,355,986 1,704,246 16,651,740 1,000,000 32,199,265 9,230,432 22,968,833 20,000,000 0

49 OANDA CORPORATION FCMRFD NFA 8/31/2015 85,056,332 24,711,389 60,344,943 0 0 0 0 0 0 0 0 0 0 0 0 104,227,784

50 OPTIONSXPRESS INC FCM BD NFA 8/31/2015 234,598,433 8,195,478 226,402,955 108,599,324 68,421,702 40,177,622 10,263,255 3,224,115 563,923 2,660,192 84,589 0 0 0 0 0

51 PHILLIP CAPITAL INC FCM CME 8/31/2015 36,028,483 20,000,000 16,028,483 174,926,254 153,651,996 21,274,258 7,682,600 9,910,464 2,952,760 6,957,704 147,638 0 0 0 0 0

52 PICTET OVERSEAS INC FCM BD NFA 8/31/2015 17,611,747 1,000,000 16,611,747 0 0 0 0 0 0 0 0 0 0 0 0 0

53 RAND FINANCIAL SERVICES INC FCM CME 8/31/2015 81,528,571 14,014,780 67,513,791 262,418,100 218,989,700 43,428,400 6,569,700 27,642,900 4,933,700 22,709,200 148,000 0 0 0 0 0

54 RBC CAPITAL MARKETS LLC FCM BD CME 8/31/2015 1,490,891,052 183,792,403 1,307,098,649 2,217,874,710 2,016,600,572 201,274,138 160,000,000 183,830,124 145,266,172 38,563,952 20,000,000 728,036,410 541,464,088 186,572,322 80,000,000 0

55 RBS SECURITIES INC FCM BD CBOT 8/31/2015 4,533,994,038 116,663,308 4,417,330,730 1,686,384,084 1,521,813,475 164,570,609 125,000,000 171,882,137 46,691,419 125,190,718 100,000,000 0 0 0 0 0

56 RJ OBRIEN ASSOCIATES LLC FCM SD CME/NFA 8/31/2015 192,141,836 140,887,758 51,254,078 4,165,058,608 4,079,327,627 85,730,981 50,000,000 249,377,881 224,456,300 24,921,581 20,000,000 0 0 0 0 1,634,849

57 ROSENTHAL COLLINS GROUP LLC FCM CME 8/31/2015 76,518,012 56,691,035 19,826,977 1,474,887,973 1,448,293,999 26,593,974 18,000,000 35,026,990 24,035,824 10,991,166 8,000,000 0 0 0 0 0

58 SANFORD C BERNSTEIN & CO LLC FCM BD NFA 8/31/2015 188,564,053 25,987,500 162,576,553 0 0 0 0 0 0 0 0 0 0 0 0 0

59 SANTANDER INVESTMENT SECURITIES INC FCM BD NYME 8/31/2015 133,293,861 13,977,242 119,316,619 469,952,736 465,686,960 4,265,776 4,000,000 0 0 0 0 0 0 0 0 0

60 SCOTIA CAPITAL USA INC FCM BD CME 8/31/2015 513,986,294 49,483,702 464,502,592 0 0 0 0 0 0 0 0 0 0 0 0 0

61 SG AMERICAS SECURITIES LLC FCM BD SD CME/NFA 8/31/2015 3,398,553,385 1,139,139,707 2,259,413,678 14,565,949,267 13,847,216,874 718,732,393 500,000,000 3,877,361,463 3,458,104,483 419,256,980 255,000,000 330,357,160 154,638,753 175,718,407 75,000,000 0

62 STATE STREET GLOBAL MARKETS LLC FCM BD CME 8/31/2015 399,680,060 31,952,028 367,728,032 620,892,998 464,252,471 156,640,527 23,212,624 55,604,711 7,950,958 47,653,753 15,000,000 0 0 0 0 0

63 STRAITS FINANCIAL LLC FCM CME 8/31/2015 23,127,745 14,542,114 8,585,631 527,170,913 512,356,623 14,814,290 2,000,000 57,361,991 49,400,518 7,961,473 300,000 0 0 0 0 0

64 TD AMERITRADE FUTURES & FOREX LLC FCM NFA 8/31/2015 86,145,380 13,556,466 72,588,914 267,646,379 214,127,991 53,518,388 18,000,000 0 0 0 0 0 0 0 0 0

65 TIMBER HILL LLC FCM BD CME 8/31/2015 384,284,377 1,000,000 383,284,377 5,335,550 0 5,335,550 5,000,000 0 0 0 0 0 0 0 0 0

66 TRADESTATION SECURITIES INC FCM BD CME 8/31/2015 64,596,081 3,516,788 61,079,293 492,321,792 481,958,225 10,363,567 9,000,000 25,379,913 24,033,005 1,346,908 800,000 0 0 0 0 0

67 UBS FINANCIAL SERVICES INC FCM BD NFA 8/31/2015 1,234,152,567 106,776,930 1,127,375,637 153,503,834 112,014,287 41,489,547 22,000,000 31,036,515 3,436,949 27,599,566 15,000,000 0 0 0 0 0

68 UBS SECURITIES LLC FCM BD CBOT 8/31/2015 6,816,091,763 1,095,598,094 5,720,493,669 9,403,282,127 8,650,617,246 752,664,881 605,543,207 5,641,043,338 5,131,301,973 509,741,365 400,000,000 1,383,366,701 1,106,126,855 277,239,846 200,000,000 0

69 UOBBF CLEARING LIMITED FCM NFA 8/31/2015 7,878,354 1,000,000 6,878,354 3,840 0 3,840 100 0 0 0 0 0 0 0 0 0

70 WEDBUSH SECURITIES INC FCM BD CBOT 8/31/2015 122,354,826 21,619,181 100,735,645 655,524,929 632,125,325 23,399,604 17,750,000 31,055,092 26,000,141 5,054,951 1,000,000 0 0 0 0 42,383,622

71 WELLS FARGO SECURITIES LLC FCM BD CME 8/31/2015 3,352,244,755 552,841,540 2,799,403,215 2,487,248,197 2,179,444,759 307,803,438 150,000,000 256,174,045 190,703,410 65,470,635 30,000,000 5,055,591,345 4,470,519,722 585,071,623 350,000,000 0

72 XCHANGE FINANCIAL ACCESS LLC FCM BD NFA 8/31/2015 7,166,919 1,000,000 6,166,919 45,721,544 42,467,328 3,254,216 1,750,000 0 0 0 0 0 0 0 0 0

73 YORK BUSINESS ASSOCIATES LLC FCM NFA 8/31/2015 4,684,410 1,000,000 3,684,410 43,158,790 38,871,235 4,287,555 2,000,000 2,046,625 1,611,661 434,964 200,000 0 0 0 0 0

Totals 165,500,194,046 153,932,748,313 11,567,445,733 7,429,401,492 47,855,336,996 43,220,175,042 4,635,161,954 2,786,151,448 61,340,009,527 55,863,910,789 5,476,098,738 3,375,232,306 553,041,270

July Web Page Update 73

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SELECTED FCM FINANCIAL DATA AS OF 

August 31, 2015

FROM REPORTS FILED BY 

September 28, 2015

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ABCDEFGH I JKLMNOPQRSTU

Name Changes

NONE

August Web Page Update 73

(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.

(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.

(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. 

(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.

•  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. 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: 

 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.