SELECTED FCM FINANCIAL DATA AS OF 

October 31, 2014

FROM REPORTS FILED BY 

December 02, 2014

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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 10/31/2014 510,677,466 147,746,949 362,930,517 2,773,033,463 2,385,904,134 387,129,329 130,837,639 205,638,209 156,967,657 48,670,552 23,545,149 0 0 0 0 0

2 ADM INVESTOR SERVICES INC FCM CBOT 10/31/2014 296,108,128 153,513,879 142,594,249 3,418,171,156 3,142,728,527 275,442,629 120,000,000 230,572,257 172,224,732 58,347,525 20,000,000 12,820,208 3,194,215 9,625,993 8,000,000 0

3 ADVANTAGE FUTURES LLC FCM CME 10/31/2014 25,362,511 11,980,825 13,381,686 473,249,082 457,873,230 15,375,852 8,500,000 47,715,869 45,866,274 1,849,595 1,000,000 0 0 0 0 0

4 AMP GLOBAL CLEARING LLC FCM NFA 10/31/2014 2,869,638 1,500,000 1,369,638 55,889,216 54,089,561 1,799,655 900,000 1,195,030 758,257 436,773 150,000 0 0 0 0 0

5 BARCLAYS CAPITAL INC FCM BD NYME 10/31/2014 7,096,641,813 1,378,069,262 5,718,572,551 6,768,881,422 6,306,865,090 462,016,332 223,263,024 2,790,800,208 2,650,599,067 140,201,141 92,505,907 6,992,665,958 5,902,166,746 1,090,499,212 549,491,724 0

6 BGC FINANCIAL LP FCM BD NFA 10/31/2014 42,886,034 1,872,574 41,013,460 0 0 0 0 0 0 0 0 0 0 0 0 0

7 BNP PARIBAS PRIME BROKERAGE INC FCM BD NYME 10/31/2014 3,324,371,926 218,919,047 3,105,452,879 2,839,421,674 2,536,204,314 303,217,360 253,620,431 16,629,180 4,733,355 11,895,825 10,000,000 11,344,930 3,246,504 8,098,426 5,000,000 0

8 BNP PARIBAS SECURITIES CORP FCM BD CBOT 10/31/2014 1,595,417,079 245,240,420 1,350,176,659 1,093,154,731 869,246,814 223,907,917 173,849,363 35,693,445 20,269,211 15,424,234 2,026,921 589,153,096 526,161,657 62,991,439 52,616,166 0

9 BOCI COMMODITIES & FUTURES USA LLC FCM CME 10/31/2014 13,392,523 1,000,000 12,392,523 203 0 203 1 184 0 184 1 6 0 6 1 0

10 CANTOR FITZGERALD & CO FCM BD CBOT 10/31/2014 186,770,050 7,002,310 179,767,740 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 10/31/2014 27,386,925 11,384,404 16,002,521 157,820,747 131,602,452 26,218,295 13,100,000 943,007 214,302 728,705 235,000 1,388,312 705,531 682,781 310,000 0

12 CITIGROUP GLOBAL MARKETS INC FCM BD SD CBOT/NFA 10/31/2014 4,669,216,442 1,058,843,839 3,610,372,603 5,541,977,159 5,261,232,807 280,744,352 254,800,000 1,286,749,433 1,004,107,738 282,641,695 150,000,000 6,007,126,457 5,680,092,048 327,034,409 208,175,000 0

13 CREDIT SUISSE SECURITIES (USA) LLC FCM BD CBOT 10/31/2014 7,568,613,958 2,491,873,169 5,076,740,789 9,393,561,383 8,142,006,255 1,251,555,128 407,100,313 3,515,626,562 2,861,899,012 653,727,550 143,094,951 11,398,947,089 9,407,989,053 1,990,958,036 470,399,453 0

14 CUNNINGHAM COMMODITIES LLC FCM CBOT 10/31/2014 5,526,448 1,668,302 3,858,146 69,887,676 65,730,145 4,157,531 3,050,000 424,422 133,255 291,167 100,000 0 0 0 0 0

15 DAIWA CAPITAL MARKETS AMERICA INC FCM BD CME 10/31/2014 528,439,879 8,353,351 520,086,528 5,466,301 0 5,466,301 1 587,815 0 587,815 1 0 0 0 0 0

16 DEUTSCHE BANK SECURITIES INC FCM BD CBOT 10/31/2014 9,021,344,935 748,213,017 8,273,131,918 12,263,635,166 11,650,714,934 612,920,232 500,000,000 1,296,240,062 1,005,269,170 290,970,892 200,000,000 2,158,527,546 1,805,646,845 352,880,701 250,000,000 0

17 DORMAN TRADING LLC FCM CME 10/31/2014 9,258,952 2,522,191 6,736,761 171,524,856 167,860,669 3,664,187 2,000,000 3,454,253 2,850,800 603,453 200,000 0 0 0 0 0

18 E D & F MAN CAPITAL MARKETS INC FCM BD CME 10/31/2014 51,371,315 17,534,017 33,837,298 654,929,843 634,107,704 20,822,139 9,000,000 39,315,610 37,590,808 1,724,802 1,000,000 0 0 0 0 0

19 E TRADE CLEARING LLC FCM BD NFA 10/31/2014 763,037,210 165,378,907 597,658,303 58,138,163 45,438,965 12,699,198 10,000,000 1,457,369 448,299 1,009,070 1,000,000 0 0 0 0 0

20 EFL FUTURES LIMITED FCM CME 10/31/2014 36,278,393 16,657,131 19,621,262 276,670,535 263,732,334 12,938,201 5,000,000 0 0 0 0 0 0 0 0 0

21 FCSTONE LLC FCM CME 10/31/2014 114,971,593 68,468,880 46,502,713 1,722,477,496 1,683,530,539 38,946,957 26,000,000 71,247,280 50,892,872 20,354,408 15,000,000 0 0 0 0 0

22 FOREX CAPITAL MARKETS LLC FCMRFD SD NFA 10/31/2014 57,109,862 30,393,715 26,716,147 0 0 0 0 0 0 0 0 0 0 0 0 217,874,306

23 FRONTIER FUTURES INC FCM NFA 10/31/2014 1,963,211 1,000,000 963,211 0 0 0 0 0 0 0 0 0 0 0 0 0

24 FXDIRECTDEALER LLC FCMRFD SD NFA 10/31/2014 20,416,729 20,000,000 416,729 0 0 0 0 0 0 0 0 0 0 0 0 0

25 GAIN CAPITAL GROUP LLC FCMRFD NFA 10/31/2014 34,512,949 24,785,806 9,727,143 194,800,841 182,904,407 11,896,434 2,500,000 5,654,355 3,181,694 2,472,661 312,500 0 0 0 0 105,716,112

26 GH FINANCIALS LLC FCM CME 10/31/2014 11,214,213 2,429,863 8,784,350 33,947,053 30,730,538 3,216,515 575,000 462,970 164,222 298,748 75,000 0 0 0 0 0

27 GOLDMAN SACHS & CO FCM BD SD CBOT/NFA 10/31/2014 12,733,827,665 2,284,416,103 10,449,411,562 21,549,169,131 21,038,527,105 510,642,026 475,000,000 11,184,801,684 10,529,921,460 654,880,224 475,000,000 2,894,880,662 2,477,315,590 417,565,072 150,000,000 0

28 GOLDMAN SACHS EXECUTION & CLEARING LP FCM BD CME 10/31/2014 1,477,612,633 205,988,671 1,271,623,962 1,300,599,277 733,376,381 567,222,896 540,000,000 65,233,205 17,427,190 47,806,015 40,000,000 0 0 0 0 0

29 GUGGENHEIM SECURITIES LLC FCM BD NFA 10/31/2014 75,900,060 1,578,246 74,321,814 0 0 0 0 0 0 0 0 0 0 0 0 0

30 HSBC SECURITIES USA INC FCM BD CME 10/31/2014 1,074,773,078 191,258,014 883,515,064 1,530,592,302 1,424,833,454 105,758,848 50,000,000 174,659,194 126,885,695 47,773,499 40,254,554 755,460,670 661,822,422 93,638,248 30,000,000 0

31 IBFX INC RFED SD NFA 10/31/2014 28,210,314 21,991,029 6,219,285 0 0 0 0 0 0 0 0 0 0 0 0 47,038,786

32 INSTITUTIONAL LIQUIDITY LLC FCMRFD NFA 10/31/2014 31,477,688 20,000,000 11,477,688 0 0 0 0 0 0 0 0 0 0 0 0 34,985

33 INTERACTIVE BROKERS LLC FCM BD NFA 10/31/2014 2,319,127,949 363,150,963 1,955,976,986 2,447,922,227 2,241,816,418 206,105,809 155,000,000 402,902,532 309,502,837 93,399,695 80,000,000 0 0 0 0 41,441,871

34 IRONBEAM INC FCM NFA 10/31/2014 2,302,055 1,000,000 1,302,055 37,188,585 35,897,548 1,291,037 800,000 110,959 0 110,959 50,000 0 0 0 0 0

35 ITG DERIVATIVES LLC FCM BD NFA 10/31/2014 2,668,878 1,000,000 1,668,878 0 0 0 0 0 0 0 0 0 0 0 0 0

36 JEFFERIES LLC FCM BD CBOT 10/31/2014 986,748,542 112,763,046 873,985,496 2,053,637,130 1,954,068,958 99,568,172 90,000,000 192,214,035 122,958,156 69,255,879 50,000,000 70,923,921 50,856,840 20,067,081 5,000,000 0

37 JP MORGAN CLEARING CORP FCM BD NFA 10/31/2014 7,657,184,903 1,871,181,803 5,786,003,100 921,012,884 576,053,677 344,959,207 51,844,831 617,548,215 424,160,188 193,388,027 38,174,417 250,000 0 250,000 1 0

38 JP MORGAN SECURITIES LLC FCM BD SD CEI/NFA 10/31/2014 8,221,297,560 2,131,633,324 6,089,664,236 19,710,712,306 17,692,673,831 2,018,038,475 1,592,340,645 3,324,773,714 2,921,411,868 403,361,846 262,927,068 5,115,611,419 4,558,164,927 557,446,492 410,234,843 0

39 KCG AMERICAS LLC FCM BD CME 10/31/2014 279,515,269 38,191,564 241,323,705 746,095,357 728,037,147 18,058,210 15,000,000 8,689,364 5,165,134 3,524,230 2,500,000 0 0 0 0 36,296,862

40 LEK SECURITIES CORPORATION FCM BD NFA 10/31/2014 9,603,556 1,500,000 8,103,556 858,695 609,651 249,044 200,000 0 0 0 0 0 0 0 0 0

41 LINN GROUP THE FCM NFA 10/31/2014 1,705,738 1,000,000 705,738 840,158 0 840,158 1 39,522 0 39,522 1 0 0 0 0 0

42 MACQUARIE FUTURES USA LLC FCM CBOT 10/31/2014 173,228,522 125,880,258 47,348,264 1,617,569,210 1,432,717,793 184,851,417 90,000,000 17,355,621 2,706,874 14,648,747 189,481 22,341,670 4,041,033 18,300,637 282,872 0

43 MAREX NORTH AMERICA LLC FCM CME 10/31/2014 12,481,415 8,250,717 4,230,698 102,175,846 95,583,631 6,592,215 4,779,182 23,594,471 21,289,451 2,305,020 2,128,945 0 0 0 0 0

44 MB TRADING FUTURES INC RFED NFA 10/31/2014 24,629,577 20,668,278 3,961,299 0 0 0 0 0 0 0 0 0 0 0 0 23,365,559

45 MCVEAN TRADING & INVESTMENTS LLC FCM NFA 10/31/2014 13,511,110 3,092,895 10,418,215 961,395,015 940,864,604 20,530,411 18,000,000 2,417,861 0 2,417,861 400,000 0 0 0 0 0

46 MERRILL LYNCH PIERCE FENNER & SMITH FCM BD CBOT 10/31/2014 10,031,369,494 1,152,912,318 8,878,457,176 10,541,770,056 10,274,637,144 267,132,912 200,000,000 3,210,712,381 2,992,220,976 218,491,405 150,000,000 2,468,257,483 2,180,533,553 287,723,930 150,000,000 0

47 MERRILL LYNCH PROFESSIONAL CLEARING CORP FCM BD NFA 10/31/2014 2,336,775,422 449,053,327 1,887,722,095 1,707,989,576 1,196,552,577 511,436,999 300,000,000 4,287,826 578,905 3,708,921 1,000,000 0 0 0 0 0

48 MID CO COMMODITIES INC FCM NFA 10/31/2014 9,739,361 4,221,422 5,517,939 38,446,666 28,444,574 10,002,092 5,000,000 0 0 0 0 0 0 0 0 0

49 MINT BROKERS FCM BD NFA 10/31/2014 9,388,231 1,000,000 8,388,231 0 0 0 0 0 0 0 0 0 0 0 0 0

50 MITSUBISHI UFJ SECURITIES USA INC FCM BD NFA 10/31/2014 391,455,067 1,081,447 390,373,620 0 0 0 0 0 0 0 0 0 0 0 0 0

51 MIZUHO SECURITIES USA INC FCM BD SD CME/NFA 10/31/2014 457,372,752 216,713,818 240,658,934 2,343,233,888 2,159,694,226 183,539,662 150,000,000 634,352,442 533,980,087 100,372,355 80,000,000 63,380,466 33,315,324 30,065,142 20,000,000 0

52 MORGAN STANLEY & CO LLC FCM BD SD CME/NFA 10/31/2014 9,228,178,177 1,631,257,185 7,596,920,992 10,033,324,871 9,832,768,894 200,555,977 105,000,000 2,702,672,653 2,494,496,136 208,176,517 105,000,000 6,217,514,383 6,100,592,145 116,922,238 92,000,000 0

53 NANHUA USA LLC FCM NFA 10/31/2014 7,549,518 1,000,000 6,549,518 0 0 0 0 0 0 0 0 0 0 0 0 0

54 NEUBERGER BERMAN LLC FCM BD NFA 10/31/2014 103,464,683 1,500,000 101,964,683 0 0 0 0 0 0 0 0 0 0 0 0 0

55 NEWEDGE USA LLC FCM BD SD NYME/NFA 10/31/2014 1,789,666,132 931,632,255 858,033,877 13,534,972,763 12,557,587,679 977,385,084 500,000,000 3,529,138,956 3,104,238,764 424,900,192 255,000,000 572,063,517 396,315,767 175,747,750 75,000,000 0

56 NOMURA SECURITIES INTERNATIONAL INC FCM BD CBOT 10/31/2014 1,650,511,914 80,061,691 1,570,450,223 100,183,105 72,103,043 28,080,062 15,000,000 9,649,397 931,688 8,717,709 1,000,000 35,322,915 12,328,367 22,994,548 20,000,000 0

57 OANDA CORPORATION FCMRFD NFA 10/31/2014 71,753,995 26,140,405 45,613,590 0 0 0 0 0 0 0 0 0 0 0 0 132,808,106

58 OPTIONSXPRESS INC FCM BD NFA 10/31/2014 122,947,056 6,846,166 116,100,890 108,389,314 79,112,270 29,277,044 7,911,227 1,975,388 801,205 1,174,183 80,120 0 0 0 0 0

59 PHILLIP CAPITAL INC FCM CME 10/31/2014 26,864,395 20,000,000 6,864,395 194,949,005 180,313,267 14,635,738 9,015,663 5,863,106 2,578,960 3,284,146 128,948 0 0 0 0 0

60 RAND FINANCIAL SERVICES INC FCM CME 10/31/2014 81,097,500 16,820,849 64,276,651 285,128,000 240,387,700 44,740,300 7,211,600 29,283,300 7,468,700 21,814,600 224,100 0 0 0 0 0

61 RBC CAPITAL MARKETS LLC FCM BD CME 10/31/2014 1,113,423,612 111,511,724 1,001,911,888 1,127,086,114 989,113,741 137,972,373 40,000,000 136,263,714 111,771,837 24,491,877 20,000,000 0 0 0 0 0

62 RBS SECURITIES INC FCM BD CBOT 10/31/2014 5,169,003,037 134,261,096 5,034,741,941 1,850,132,139 1,685,214,453 164,917,686 125,000,000 209,026,504 54,521,581 154,504,923 100,000,000 119,769,939 10,312,839 109,457,100 80,000,000 0

63 RJ OBRIEN ASSOCIATES LLC FCM SD CME/NFA 10/31/2014 193,612,502 139,934,256 53,678,246 4,012,665,534 3,918,400,329 94,265,205 40,000,000 189,520,033 165,195,226 24,324,807 20,000,000 0 0 0 0 1,213,358

64 ROSENTHAL COLLINS GROUP LLC FCM CME 10/31/2014 74,859,263 52,058,058 22,801,205 1,400,235,151 1,374,891,833 25,343,318 18,000,000 28,068,804 17,615,752 10,453,052 9,000,000 0 0 0 0 0

65 SANFORD C BERNSTEIN & CO LLC FCM BD NFA 10/31/2014 186,026,553 22,564,080 163,462,473 0 0 0 0 0 0 0 0 0 0 0 0 0

66 SANTANDER INVESTMENT SECURITIES INC FCM BD NYME 10/31/2014 124,683,095 11,810,129 112,872,966 653,124,865 650,680,154 2,444,711 2,000,000 0 0 0 0 0 0 0 0 0

67 STATE STREET GLOBAL MARKETS LLC FCM BD CME 10/31/2014 525,380,418 53,089,270 472,291,148 617,992,635 428,531,161 189,461,474 21,426,558 47,941,840 6,599,690 41,342,150 15,000,000 486,490,763 355,953,696 130,537,067 50,000,000 0

68 STRAITS FINANCIAL LLC FCM CME 10/31/2014 15,553,333 12,779,149 2,774,184 393,675,179 381,379,003 12,296,176 2,000,000 22,992,742 19,476,154 3,516,588 300,000 0 0 0 0 0

69 TD AMERITRADE FUTURES & FOREX LLC FCM NFA 10/31/2014 1,993,037 1,000,000 993,037 0 0 0 0 0 0 0 0 0 0 0 0 0

70 TD AMERITRADE INC FCM BD NFA 10/31/2014 383,869,218 16,299,740 367,569,478 240,122,022 188,059,583 52,062,439 18,000,000 0 0 0 0 0 0 0 0 0

71 TIMBER HILL LLC FCM BD CME 10/31/2014 278,681,850 61,996,447 216,685,403 836,969,641 831,913,507 5,056,134 5,000,000 0 0 0 0 0 0 0 0 0

72 TRADESTATION SECURITIES INC FCM BD NFA 10/31/2014 59,059,177 4,028,617 55,030,560 450,086,317 439,881,279 10,205,038 9,000,000 21,357,884 20,288,899 1,068,985 800,000 0 0 0 0 0

73 UBS FINANCIAL SERVICES INC FCM BD NFA 10/31/2014 1,377,638,055 100,248,531 1,277,389,524 168,529,868 109,563,145 58,966,723 22,000,000 37,384,019 9,225,880 28,158,139 15,000,000 0 0 0 0 0

74 UBS SECURITIES LLC FCM BD CBOT 10/31/2014 7,981,704,931 890,412,825 7,091,292,106 9,126,272,070 8,483,782,538 642,489,532 593,864,778 4,113,274,784 3,659,549,229 453,725,555 400,000,000 1,058,673,044 822,482,175 236,190,869 200,000,000 0

75 VISION FINANCIAL MARKETS LLC FCM BD CME 10/31/2014 36,488,249 13,061,490 23,426,759 456,643,335 443,377,166 13,266,169 8,000,000 10,541,394 7,758,362 2,783,032 1,500,000 0 0 0 0 0

76 WEDBUSH SECURITIES INC FCM BD CBOT 10/31/2014 120,527,101 10,909,496 109,617,605 110,883,469 104,936,408 5,947,061 2,750,000 7,481,143 6,199,449 1,281,694 500,000 0 0 0 0 0

77 WELLS FARGO SECURITIES LLC FCM BD CME 10/31/2014 2,859,581,737 276,512,465 2,583,069,272 1,008,808,135 810,567,462 198,240,673 80,000,000 184,061,977 148,774,020 35,287,957 3,000,000 2,683,957,361 2,128,285,768 555,671,593 160,000,000 0

78 WHOTRADES FX LLC FCM NFA 10/31/2014 2,336,633 1,000,000 1,336,633 0 0 0 0 0 0 0 0 0 0 0 0 0

79 XCHANGE FINANCIAL ACCESS LLC FCM BD NFA 10/31/2014 7,259,667 1,107,046 6,152,621 32,256,705 30,121,087 2,135,618 1,750,000 0 0 0 0 0 0 0 0 0

80 YORK BUSINESS ASSOCIATES LLC FCM NFA 10/31/2014 5,128,395 1,000,000 4,128,395 47,369,651 44,079,362 3,290,289 700,000 1,866,049 1,606,868 259,181 200,000 0 0 0 0 0

Totals 162,372,616,284 150,443,657,202 11,928,959,082 7,518,690,257 40,702,464,233 35,865,477,946 4,836,986,287 2,829,603,064 49,736,871,815 43,121,523,045 6,615,348,770 2,986,510,060 605,789,945
SELECTED FCM FINANCIAL DATA AS OF 

October 31, 2014

FROM REPORTS FILED BY 

December 02, 2014

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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)

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September Web Page Update 80

Additions 1

TD AMERITRADE FUTURES & FOREX LLC

Deletions 1

FRIEDBERG MERCANTILE GROUP INC

Name Changes

None

October Web Page Update 80

(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.