SELECTED FCM FINANCIAL DATA AS OF 

January 31, 2016

FROM REPORTS FILED BY 

February 25, 2016

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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 1/31/2016 637,763,196 175,698,606 462,064,590 3,116,651,286 2,802,231,231 314,420,055 150,148,640 188,944,886 148,231,707 40,713,179 14,823,171 0 0 0 0 0

2 ADM INVESTOR SERVICES INC FCM CBOT 1/31/2016 306,583,663 199,256,128 107,327,535 4,583,641,689 4,301,960,901 281,680,788 120,000,000 315,989,414 258,697,198 57,292,216 20,000,000 14,933,515 4,613,719 10,319,796 8,000,000 0

3 ADVANTAGE FUTURES LLC FCM CME 1/31/2016 22,878,450 12,369,696 10,508,754 500,959,660 484,911,087 16,048,573 8,500,000 29,943,410 27,894,597 2,048,813 1,000,000 0 0 0 0 0

4 AMP GLOBAL CLEARING LLC FCM NFA 1/31/2016 2,641,271 1,500,000 1,141,271 50,551,179 48,573,841 1,977,338 900,000 1,520,864 1,116,604 404,260 150,000 0 0 0 0 0

5 BARCLAYS CAPITAL INC FCM BD NYME 1/31/2016 6,688,971,179 1,178,419,085 5,510,552,094 6,449,577,846 5,594,641,713 854,936,133 307,705,294 3,315,936,299 2,986,228,304 329,707,995 149,908,661 5,230,236,887 4,614,831,187 615,405,700 260,276,479 0

6 BGC FINANCIAL LP FCM BD NFA 1/31/2016 39,353,111 2,527,581 36,825,530 0 0 0 0 0 0 0 0 0 0 0 0 0

7 BNP PARIBAS PRIME BROKERAGE INC FCM BD NYME 1/31/2016 2,535,767,390 229,826,199 2,305,941,191 2,572,539,908 2,263,091,711 309,448,197 226,309,171 18,005,052 4,958,915 13,046,137 10,000,000 12,284,915 4,191,238 8,093,677 5,000,000 0

8 BNP PARIBAS SECURITIES CORP FCM BD CBOT 1/31/2016 1,543,063,994 263,760,809 1,279,303,185 1,095,773,296 871,633,046 224,140,250 174,326,609 117,905,429 94,986,469 22,918,960 9,498,647 937,090,886 690,603,985 246,486,901 69,060,399 0

9 BOCI COMMODITIES & FUTURES USA LLC FCM CME 1/31/2016 10,575,128 1,000,000 9,575,128 5,090,074 3,587,219 1,502,855 1,000,000 184 0 184 1 6 0 6 1 0

10 CANTOR FITZGERALD & CO FCM BD CBOT 1/31/2016 224,274,933 11,293,386 212,981,547 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 1/31/2016 32,981,551 9,810,368 23,171,183 150,754,298 118,518,529 32,235,769 13,100,000 2,087,476 599,191 1,488,285 545,000 503,912 0 503,912 310,000 0

12 CITIGROUP GLOBAL MARKETS INC FCM BD SD CBOT/NFA 1/31/2016 7,692,574,477 1,448,370,411 6,244,204,066 8,549,077,552 8,212,179,479 336,898,073 313,000,000 1,175,110,142 972,161,057 202,949,085 150,000,000 7,703,750,584 7,311,608,862 392,141,722 210,175,000 0

13 CREDIT SUISSE SECURITIES (USA) LLC FCM BD CBOT 1/31/2016 10,121,660,513 1,723,435,754 8,398,224,759 6,896,482,087 6,248,824,185 647,657,902 312,441,209 3,405,881,630 2,858,525,028 547,356,602 142,926,251 10,716,904,779 9,660,974,190 1,055,930,589 483,048,709 0

14 CUNNINGHAM COMMODITIES LLC FCM CBOT 1/31/2016 5,204,051 1,000,000 4,204,051 59,674,943 55,568,978 4,105,965 3,050,000 233,272 18,560 214,712 100,000 0 0 0 0 0

15 DAIWA CAPITAL MARKETS AMERICA INC FCM BD CME 1/31/2016 561,581,274 7,560,870 554,020,404 5,454,273 0 5,454,273 1 540,027 0 540,027 1 0 0 0 0 0

16 DEUTSCHE BANK SECURITIES INC FCM BD CBOT 1/31/2016 11,835,388,896 638,804,238 11,196,584,658 3,849,367,167 3,568,716,240 280,650,927 200,000,000 1,036,375,267 846,972,234 189,403,033 150,000,000 1,778,747,087 1,498,222,237 280,524,850 250,000,000 0

17 DORMAN TRADING LLC FCM CME 1/31/2016 9,466,480 1,648,082 7,818,398 170,812,071 167,150,274 3,661,797 2,000,000 4,180,384 3,244,889 935,495 200,000 0 0 0 0 0

18 E D & F MAN CAPITAL MARKETS INC FCM BD CME 1/31/2016 85,968,698 43,982,577 41,986,121 1,155,257,814 1,119,648,218 35,609,596 20,000,000 64,126,449 59,631,440 4,495,009 3,000,000 2,751,184 1,630,287 1,120,897 500,000 0

19 E TRADE CLEARING LLC FCM BD NFA 1/31/2016 1,005,575,413 147,390,519 858,184,894 57,956,517 42,415,380 15,541,137 10,000,000 1,374,714 265,506 1,109,208 1,000,000 0 0 0 0 0

20 EFL FUTURES LIMITED FCM CME 1/31/2016 37,051,357 22,319,247 14,732,110 276,956,033 263,974,762 12,981,271 5,000,000 0 0 0 0 0 0 0 0 0

21 FOREX CAPITAL MARKETS LLC FCMRFD SD NFA 1/31/2016 61,104,373 29,837,153 31,267,220 0 0 0 0 0 0 0 0 0 0 0 0 176,516,399

22 GAIN CAPITAL GROUP LLC FCMRFD NFA 1/31/2016 40,663,353 27,814,594 12,848,759 257,644,497 244,700,484 12,944,013 5,000,000 13,029,815 10,043,077 2,986,738 1,000,000 0 0 0 0 135,259,767

23 GH FINANCIALS LLC FCM CME 1/31/2016 15,770,000 5,078,749 10,691,251 75,867,376 64,723,565 11,143,811 4,000,000 2,276,541 1,257,993 1,018,548 75,000 0 0 0 0 0

24 GOLDMAN SACHS & CO FCM BD SD CBOT/NFA 1/31/2016 15,779,919,451 2,470,285,759 13,309,633,692 24,967,974,534 24,199,807,882 768,166,652 625,000,000 12,707,423,028 12,139,714,378 567,708,650 475,000,000 4,040,905,751 3,608,641,267 432,264,484 350,000,000 0

25 GOLDMAN SACHS EXECUTION & CLEARING LP FCM BD CME 1/31/2016 1,737,965,494 112,089,301 1,625,876,193 1,389,107,910 780,529,784 608,578,126 540,000,000 94,985,370 46,383,216 48,602,154 40,000,000 0 0 0 0 0

26 HSBC SECURITIES USA INC FCM BD CME 1/31/2016 1,059,059,548 243,284,855 815,774,693 1,552,172,664 1,458,206,813 93,965,851 70,000,000 205,173,704 147,009,686 58,164,018 25,000,000 1,007,919,248 871,912,020 136,007,228 115,000,000 0

27 IBFX INC RFED SD NFA 1/31/2016 55,601,676 22,351,297 33,250,379 0 0 0 0 0 0 0 0 0 0 0 0 48,979,331

28 INTERACTIVE BROKERS LLC FCM BD CME 1/31/2016 2,590,323,119 231,458,291 2,358,864,828 2,807,075,474 2,598,624,088 208,451,386 155,000,000 449,387,662 334,957,611 114,430,051 80,000,000 0 0 0 0 37,130,215

29 INTL FCSTONE FINANCIAL INC FCM BD CME 1/31/2016 132,656,814 70,708,665 61,948,149 1,937,143,345 1,882,765,230 54,378,115 35,000,000 110,756,257 92,359,572 18,396,685 8,000,000 0 0 0 0 0

30 IRONBEAM INC FCM NFA 1/31/2016 2,189,435 1,000,000 1,189,435 41,320,190 39,978,970 1,341,220 800,000 230,602 123,521 107,081 50,000 0 0 0 0 0

31 ITG DERIVATIVES LLC FCM BD NFA 1/31/2016 1,660,494 1,000,000 660,494 0 0 0 0 0 0 0 0 0 0 0 0 0

32 JEFFERIES LLC FCM BD NFA 1/31/2016 1,187,355,383 79,742,582 1,107,612,801 0 0 0 0 0 0 0 0 0 0 0 0 0

33 JP MORGAN CLEARING CORP FCM BD NFA 1/31/2016 7,516,534,560 1,514,458,008 6,002,076,552 887,015,030 668,720,592 218,294,438 133,744,118 738,769,765 520,219,787 218,549,978 104,043,957 250,000 0 250,000 1 0

34 JP MORGAN SECURITIES LLC FCM BD SD CEI/NFA 1/31/2016 13,502,650,862 2,417,276,174 11,085,374,688 17,719,182,427 15,924,085,518 1,795,096,909 796,204,276 3,708,697,296 3,360,582,807 348,114,489 235,240,797 8,170,194,295 7,388,089,567 782,104,728 517,166,270 0

35 MACQUARIE FUTURES USA LLC FCM CBOT 1/31/2016 252,128,392 174,369,605 77,758,787 2,193,859,086 2,039,538,976 154,320,110 100,000,000 35,041,297 18,756,318 16,284,979 7,000,000 26,271,898 7,841,115 18,430,783 1,000,000 0

36 MAREX NORTH AMERICA LLC FCM CME 1/31/2016 22,481,830 14,220,639 8,261,191 193,395,691 188,302,266 5,093,425 4,200,000 46,028,032 44,528,419 1,499,613 1,000,000 0 0 0 0 0

37 MCVEAN TRADING & INVESTMENTS LLC FCM NFA 1/31/2016 11,969,565 3,666,085 8,303,480 879,090,804 857,312,602 21,778,202 18,000,000 2,417,861 0 2,417,861 400,000 0 0 0 0 0

38 MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED FCM BD CBOT 1/31/2016 11,023,221,500 1,637,231,141 9,385,990,359 13,355,377,967 13,061,817,188 293,560,779 200,000,000 3,433,380,152 3,244,304,809 189,075,343 150,000,000 4,879,407,555 4,518,058,846 361,348,709 150,000,000 0

39 MERRILL LYNCH PROFESSIONAL CLEARING CORP FCM BD NFA 1/31/2016 3,054,564,573 471,566,689 2,582,997,884 2,146,602,781 1,509,146,222 637,456,559 300,000,000 3,921,457 106,750 3,814,707 1,000,000 0 0 0 0 0

40 MID CO COMMODITIES INC FCM NFA 1/31/2016 7,829,961 2,821,309 5,008,652 25,214,571 17,063,401 8,151,170 5,138,000 0 0 0 0 0 0 0 0 0

41 MINT BROKERS FCM BD NFA 1/31/2016 5,378,508 1,000,000 4,378,508 0 0 0 0 0 0 0 0 0 0 0 0 0

42 MITSUBISHI UFJ SECURITIES USA INC FCM BD NFA 1/31/2016 561,017,552 1,494,057 559,523,495 0 0 0 0 0 0 0 0 0 0 0 0 0

43 MIZUHO SECURITIES USA INC FCM BD SD CME/NFA 1/31/2016 621,139,042 261,803,612 359,335,430 2,684,183,028 2,484,477,289 199,705,739 125,000,000 959,645,909 859,110,924 100,534,985 70,000,000 32,265,950 6,715,316 25,550,634 15,000,000 0

44 MORGAN STANLEY & CO LLC FCM BD SD CME/NFA 1/31/2016 10,333,159,733 1,741,871,520 8,591,288,213 13,612,177,669 13,408,827,397 203,350,272 105,000,000 4,573,132,220 4,365,086,959 208,045,261 105,000,000 9,964,009,500 9,491,470,750 472,538,750 92,000,000 0

45 NANHUA USA LLC FCM CME 1/31/2016 10,630,230 5,499,152 5,131,078 103,283,680 97,720,255 5,563,425 1,000,000 0 0 0 0 0 0 0 0 0

46 NEUBERGER BERMAN LLC FCM BD NFA 1/31/2016 24,110,693 1,500,000 22,610,693 0 0 0 0 0 0 0 0 0 0 0 0 0

47 NOMURA SECURITIES INTERNATIONAL INC FCM BD CBOT 1/31/2016 2,527,641,632 80,613,593 2,447,028,039 282,820,326 190,739,727 92,080,599 15,000,000 16,848,873 315,531 16,533,342 1,000,000 0 0 0 0 0

48 OANDA CORPORATION FCMRFD NFA 1/31/2016 95,915,772 38,897,312 57,018,460 0 0 0 0 0 0 0 0 0 0 0 0 97,133,939

49 OPTIONSXPRESS INC FCM BD NFA 1/31/2016 248,319,591 6,402,956 241,916,635 108,890,357 78,275,667 30,614,690 11,741,350 4,268,272 1,394,657 2,873,615 209,199 0 0 0 0 0

50 PHILLIP CAPITAL INC FCM BD CME 1/31/2016 34,550,804 20,000,000 14,550,804 187,502,000 168,203,743 19,298,257 8,410,187 23,183,131 15,650,191 7,532,940 782,510 0 0 0 0 0

51 PICTET OVERSEAS INC FCM BD NFA 1/31/2016 17,658,934 1,000,000 16,658,934 0 0 0 0 0 0 0 0 0 0 0 0 0

52 RAND FINANCIAL SERVICES INC FCM CME 1/31/2016 82,752,271 15,090,609 67,661,662 254,354,000 210,803,900 43,550,100 6,324,100 33,799,100 11,135,900 22,663,200 334,100 0 0 0 0 0

53 RBC CAPITAL MARKETS LLC FCM BD CME 1/31/2016 1,665,542,973 220,928,843 1,444,614,130 2,130,529,467 1,927,928,617 202,600,850 120,000,000 181,089,826 140,054,001 41,035,825 20,000,000 884,255,945 662,317,462 221,938,483 80,000,000 0

54 RBS SECURITIES INC FCM BD CBOT 1/31/2016 3,684,079,207 114,210,740 3,569,868,467 1,556,358,719 1,370,446,812 185,911,907 125,000,000 143,493,497 18,571,105 124,922,392 100,000,000 0 0 0 0 0

55 RJ OBRIEN ASSOCIATES LLC FCM SD CME/NFA 1/31/2016 199,769,393 141,355,429 58,413,964 3,889,566,968 3,803,194,818 86,372,150 50,000,000 243,843,917 219,144,567 24,699,350 20,000,000 0 0 0 0 0

56 ROSENTHAL COLLINS GROUP LLC FCM CME 1/31/2016 72,456,957 49,823,400 22,633,557 1,260,795,605 1,235,669,969 25,125,636 18,000,000 29,401,761 17,559,503 11,842,258 8,000,000 0 0 0 0 0

57 SANFORD C BERNSTEIN & CO LLC FCM BD NFA 1/31/2016 203,201,836 27,333,860 175,867,976 0 0 0 0 0 0 0 0 0 0 0 0 0

58 SANTANDER INVESTMENT SECURITIES INC FCM BD NYME 1/31/2016 415,862,594 13,544,482 402,318,112 391,887,135 386,939,851 4,947,284 4,000,000 0 0 0 0 0 0 0 0 0

59 SCOTIA CAPITAL USA INC FCM BD CME 1/31/2016 535,940,692 38,728,789 497,211,903 0 0 0 0 0 0 0 0 0 0 0 0 0

60 SG AMERICAS SECURITIES LLC FCM BD CME 1/31/2016 3,902,561,039 1,244,011,130 2,658,549,909 15,097,061,237 14,220,540,551 876,520,686 500,000,000 3,985,595,335 3,586,179,213 399,416,122 255,000,000 423,432,694 247,542,247 175,890,447 75,000,000 0

61 STATE STREET GLOBAL MARKETS LLC FCM BD CME 1/31/2016 582,440,509 35,413,489 547,027,020 534,012,710 409,284,551 124,728,159 20,464,228 58,414,033 10,250,643 48,163,390 15,000,000 0 0 0 0 0

62 STRAITS FINANCIAL LLC FCM CME 1/31/2016 23,402,389 9,344,828 14,057,561 275,564,082 259,075,721 16,488,361 2,000,000 37,794,257 31,315,480 6,478,777 300,000 0 0 0 0 0

63 TD AMERITRADE FUTURES & FOREX LLC FCM NFA 1/31/2016 97,752,518 12,686,928 85,065,590 241,353,227 177,228,589 64,124,638 18,000,000 0 0 0 0 0 0 0 0 0

64 TRADESTATION SECURITIES INC FCM BD CME 1/31/2016 66,989,202 3,674,247 63,314,955 518,926,030 507,002,792 11,923,238 9,000,000 21,331,737 19,883,887 1,447,850 800,000 0 0 0 0 0

65 TRADOVATE LLC FCM NFA 1/31/2016 1,544,116 1,000,000 544,116 0 0 0 0 0 0 0 0 0 0 0 0 0

66 UBS FINANCIAL SERVICES INC FCM BD NFA 1/31/2016 1,301,620,536 105,047,253 1,196,573,283 174,231,268 98,261,746 75,969,522 22,000,000 26,129,828 3,914,891 22,214,937 15,000,000 0 0 0 0 0

67 UBS SECURITIES LLC FCM BD CBOT 1/31/2016 5,929,862,437 1,108,167,105 4,821,695,332 10,413,967,904 9,849,412,596 564,555,308 425,000,000 4,898,037,059 4,453,422,602 444,614,457 300,000,000 1,869,445,129 1,580,448,821 288,996,308 200,000,000 0

68 UOBBF CLEARING LIMITED FCM NFA 1/31/2016 7,947,205 1,000,000 6,947,205 0 0 0 0 0 0 0 0 0 0 0 0 0

69 WEDBUSH SECURITIES INC FCM BD CBOT 1/31/2016 143,922,873 21,659,707 122,263,166 658,004,115 631,439,590 26,564,525 13,000,000 25,396,250 21,556,304 3,839,946 1,000,000 0 0 0 0 4,319,433

70 WELLS FARGO SECURITIES LLC FCM BD CME 1/31/2016 3,295,206,745 723,506,966 2,571,699,779 2,680,046,925 2,350,881,830 329,165,095 200,000,000 619,112,347 356,483,106 262,629,241 30,000,000 6,386,553,451 5,617,894,689 768,658,762 450,000,000 0

71 XCHANGE FINANCIAL ACCESS LLC FCM BD NFA 1/31/2016 5,793,456 1,000,000 4,793,456 12,306 0 12,306 5,000 0 0 0 0 0 0 0 0 0

72 YORK BUSINESS ASSOCIATES LLC FCM NFA 1/31/2016 4,911,345 1,000,000 3,911,345 40,960,212 36,873,858 4,086,354 2,000,000 2,162,653 1,622,448 540,205 200,000 0 0 0 0 0
SELECTED FCM FINANCIAL DATA AS OF 

January 31, 2016

FROM REPORTS FILED BY 

February 25, 2016

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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

Totals 167,076,080,931 155,606,180,244 11,469,900,687 6,663,512,183 47,112,353,743 42,356,531,555 4,755,822,188 2,723,587,295 64,082,115,171 57,787,607,805 6,294,507,366 3,331,536,859 499,339,084

December Web Page Update 72

Additions 0

NONE

Deletions 0

NONE

Name Changes

NONE

January Web Page Update 72

(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.