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 07/31/17 615,735,252 150,612,140 465,123,112 2,724,799,036 2,412,579,270 312,219,766 156,706,657 156,253,511 126,672,662 29,580,849 12,667,266 0 0 0 0 0

2 ADM INVESTOR SERVICES INC FCM CBOT 07/31/17 323,804,672 191,183,981 132,620,691 4,634,394,095 4,395,500,083 238,894,012 120,000,000 381,611,634 323,564,481 58,047,153 20,000,000 14,194,346 4,164,190 10,030,156 8,000,000 0

3 ADVANTAGE FUTURES LLC FCM CME 07/31/17 25,173,570 9,278,852 15,894,718 493,011,814 480,375,904 12,635,910 8,500,000 34,504,522 32,892,542 1,611,980 1,000,000 0 0 0 0 0

4 AMP GLOBAL CLEARING LLC FCM NFA 07/31/17 2,826,839 1,500,000 1,326,839 53,591,202 50,591,658 2,999,544 900,000 2,446,006 1,995,397 450,609 150,000 0 0 0 0 0

5 APERTURE LLC FCM BD NFA 07/31/17 41,422,335 1,610,696 39,811,639 37,329,408 33,752,898 3,576,510 1,600,000 0 0 0 0 0 0 0 0 0

6 APEX CLEARING CORPORATION FCM BD NFA 07/31/17 132,013,160 27,293,725 104,719,435 885,647 334,465 551,182 500,000 0 0 0 0 0 0 0 0 0

7 BARCLAYS CAPITAL INC FCM BD NYME 07/31/17 7,045,415,859 1,127,434,493 5,917,981,366 5,343,510,983 4,761,879,850 581,631,133 261,903,392 3,768,952,032 3,363,173,765 405,778,267 168,831,323 6,326,725,200 5,393,180,054 933,545,146 214,109,248 0

8 BGC FINANCIAL LP FCM BD NFA 07/31/17 45,110,424 1,873,441 43,236,983 0 0 0 0 0 0 0 0 0 0 0 0 0

9 BNP PARIBAS PRIME BROKERAGE INC FCM BD NYME 07/31/17 1,343,406,451 163,785,635 1,179,620,816 1,923,639,951 1,705,249,473 218,390,478 150,000,000 49,925,912 40,236,560 9,689,352 7,500,000 22,404,640 12,727,365 9,677,275 7,500,000 0

10 BNP PARIBAS SECURITIES CORP FCM BD CBOT 07/31/17 1,475,870,175 218,107,701 1,257,762,474 1,217,182,379 1,114,052,903 103,129,476 82,500,000 95,360,753 66,821,381 28,539,372 22,500,000 944,727,603 793,357,932 151,369,671 120,000,000 0

11 BOCI COMMODITIES & FUTURES USA LLC FCM CME 07/31/17 8,359,731 1,002,491 7,357,240 33,139,059 27,863,652 5,275,407 1,000,000 6 0 6 1 6 0 6 1 0

12 CANTOR FITZGERALD & CO FCM BD CBOT 07/31/17 213,921,043 8,430,025 205,491,018 4,969,921 0 4,969,921 3,000,000 0 0 0 0 0 0 0 0 0

13 CHS HEDGING LLC FCM CBOT 07/31/17 42,218,252 11,191,966 31,026,286 216,577,163 160,719,528 55,857,635 13,600,000 1,521,036 0 1,521,036 200,000 503,912 0 503,912 120,000 0

14 CITIGROUP GLOBAL MARKETS INC FCM BD SD CBOT/NFA 07/31/17 11,149,822,994 1,909,347,390 9,240,475,604 7,193,064,436 6,771,327,396 421,737,040 311,700,000 1,825,129,686 1,538,108,051 287,021,635 150,000,000 18,438,957,525 17,982,334,441 456,623,084 317,375,000 0

15 CREDIT SUISSE SECURITIES (USA) LLC FCM BD CBOT 07/31/17 9,800,963,779 1,527,123,300 8,273,840,479 6,102,942,525 5,701,083,664 401,858,861 285,054,183 3,395,794,072 3,195,166,832 200,627,240 159,758,342 13,549,686,208 12,480,450,995 1,069,235,213 624,022,550 0

16 CUNNINGHAM COMMODITIES LLC FCM CBOT 07/31/17 5,108,460 1,547,241 3,561,219 83,338,889 79,763,113 3,575,776 3,050,000 866,919 423,380 443,539 50,000 0 0 0 0 0

17 DAIWA CAPITAL MARKETS AMERICA INC FCM BD CME 07/31/17 632,013,042 7,779,671 624,233,371 2,170,140 0 2,170,140 1 575,566 0 575,566 1 0 0 0 0 0

18 DEUTSCHE BANK SECURITIES INC FCM BD CBOT 07/31/17 12,449,583,348 675,127,413 11,774,455,935 3,188,818,434 2,986,809,098 202,009,336 125,000,000 850,881,320 724,692,580 126,188,740 75,000,000 3,200,001 0 3,200,001 1,000,000 0

19 DORMAN TRADING LLC FCM CME 07/31/17 11,240,072 2,314,789 8,925,283 187,268,920 183,256,715 4,012,205 2,000,000 4,718,691 3,926,951 791,740 200,000 0 0 0 0 0

20 E D & F MAN CAPITAL MARKETS INC FCM BD CME 07/31/17 133,927,551 54,054,786 79,872,765 1,435,502,943 1,361,258,775 74,244,168 35,000,000 53,303,449 44,882,097 8,421,352 5,000,000 2,886,179 1,737,554 1,148,625 500,000 0

21 E TRADE SECURITIES LLC FCM BD NFA 07/31/17 1,112,977,790 181,716,846 931,260,944 71,064,296 52,304,046 18,760,250 10,000,000 1,000,000 0 1,000,000 1,000,000 0 0 0 0 0

22 EFL FUTURES LIMITED FCM CME 07/31/17 41,636,537 19,635,823 22,000,714 258,322,999 244,247,182 14,075,817 5,000,000 0 0 0 0 0 0 0 0 0

23 GAIN CAPITAL GROUP LLC FCMRFD NFA 07/31/17 44,611,380 33,403,288 11,208,092 223,683,857 211,170,684 12,513,173 10,000,000 4,276,977 2,576,853 1,700,124 1,000,000 0 0 0 0 252,663,625

24 GH FINANCIALS LLC FCM CME 07/31/17 21,998,392 6,814,396 15,183,996 103,722,295 91,016,356 12,705,939 4,000,000 3,143,315 2,047,955 1,095,360 550,000 0 0 0 0 0

25 GOLDMAN SACHS & CO LLC FCM BD SD CBOT/NFA 07/31/17 18,234,354,242 2,442,735,430 15,791,618,812 21,505,955,030 20,632,586,196 873,368,834 675,000,000 11,472,677,093 10,885,883,319 586,793,774 475,000,000 4,508,792,059 4,046,136,607 462,655,452 350,000,000 0

26 HSBC SECURITIES USA INC FCM BD CME 07/31/17 926,978,839 262,554,600 664,424,239 1,324,104,302 1,243,142,471 80,961,831 70,000,000 221,174,336 187,034,940 34,139,396 25,000,000 1,505,980,257 1,371,042,517 134,937,740 120,000,000 0

27 INTERACTIVE BROKERS LLC FCM BD CME 07/31/17 3,639,710,822 373,127,753 3,266,583,069 4,468,248,371 4,266,625,278 201,623,093 155,000,000 494,770,504 368,474,911 126,295,593 80,000,000 0 0 0 0 44,147,956

28 INTL FCSTONE FINANCIAL INC FCM BD CME 07/31/17 165,871,337 77,782,796 88,088,541 2,228,865,059 2,179,258,172 49,606,887 35,000,000 153,342,890 137,117,362 16,225,528 8,000,000 0 0 0 0 0

29 IRONBEAM INC FCM NFA 07/31/17 3,727,851 1,284,233 2,443,618 75,200,158 73,662,380 1,537,778 800,000 518,820 294,899 223,921 50,000 0 0 0 0 0

30 JEFFERIES LLC FCM BD NFA 07/31/17 1,575,650,963 89,815,851 1,485,835,112 0 0 0 0 0 0 0 0 0 0 0 0 0

31 JP MORGAN SECURITIES LLC FCM BD SD CEI/NFA 07/31/17 14,755,414,345 2,766,734,442 11,988,679,903 17,420,814,861 16,026,816,330 1,393,998,531 881,474,898 4,780,102,546 4,346,468,834 433,633,712 369,449,851 12,362,380,138 11,415,580,619 946,799,519 713,473,789 0

32 MACQUARIE FUTURES USA LLC FCM CBOT 07/31/17 278,800,432 131,465,573 147,334,859 1,906,108,481 1,693,491,449 212,617,032 100,000,000 62,871,828 43,278,116 19,593,712 7,000,000 22,707,769 3,969,950 18,737,819 1,000,000 0

33 MAREX NORTH AMERICA LLC FCM CME 07/31/17 23,606,574 15,912,007 7,694,567 194,228,569 190,442,565 3,786,004 2,800,000 61,856,041 60,752,203 1,103,838 500,000 0 0 0 0 0

34 MCVEAN TRADING & INVESTMENTS LLC FCM NFA 07/31/17 14,413,390 1,745,024 12,668,366 770,649,847 749,211,489 21,438,358 18,000,000 2,567,861 0 2,567,861 1,000,000 0 0 0 0 0

35 MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED FCM BD CBOT 07/31/17 13,092,154,688 1,623,659,459 11,468,495,229 12,943,196,576 12,624,535,440 318,661,136 200,000,000 4,192,683,620 3,932,691,346 259,992,274 150,000,000 5,730,444,148 5,416,640,509 313,803,639 150,000,000 0

36 MERRILL LYNCH PROFESSIONAL CLEARING CORP FCM BD NFA 07/31/17 3,321,862,152 623,759,990 2,698,102,162 1,504,345,498 1,116,071,005 388,274,493 300,000,000 0 0 0 0 0 0 0 0 0

37 MID CO COMMODITIES INC FCM NFA 07/31/17 8,688,362 2,840,683 5,847,679 37,114,455 27,801,340 9,313,115 5,138,000 0 0 0 0 0 0 0 0 0

38 MINT BROKERS FCM BD NFA 07/31/17 4,958,701 1,000,000 3,958,701 0 0 0 0 0 0 0 0 0 0 0 0 0

39 MIZUHO SECURITIES USA LLC FCM BD SD CME/NFA 07/31/17 681,666,978 214,389,071 467,277,907 2,573,805,379 2,371,926,231 201,879,148 125,000,000 708,067,087 584,995,879 123,071,208 70,000,000 34,294,770 4,152,449 30,142,321 15,000,000 0

40 MORGAN STANLEY & CO LLC FCM BD SD CME/NFA 07/31/17 10,681,026,294 2,055,484,070 8,625,542,224 14,665,469,378 14,393,874,592 271,594,786 210,000,000 4,813,593,190 4,604,910,370 208,682,820 160,000,000 12,741,367,731 12,541,238,463 200,129,268 92,000,000 0

41 NANHUA USA LLC FCM CME 07/31/17 18,259,441 2,767,918 15,491,523 69,109,268 56,904,996 12,204,272 3,500,000 0 0 0 0 0 0 0 0 0

42 NOMURA SECURITIES INTERNATIONAL INC FCM BD CBOT 07/31/17 1,348,965,044 168,290,287 1,180,674,757 236,624,575 132,571,557 104,053,018 15,000,000 17,894,643 13,781 17,880,862 1,000,000 0 0 0 0 0

43 OANDA CORPORATION FCMRFD NFA 07/31/17 78,777,131 52,394,182 26,382,949 0 0 0 0 0 0 0 0 0 0 0 0 163,500,396

44 OPTIONSXPRESS INC FCM BD NFA 07/31/17 291,997,171 7,290,842 284,706,329 117,637,998 73,733,189 43,904,809 11,059,978 2,380,820 881,580 1,499,240 132,237 0 0 0 0 0

45 PHILLIP CAPITAL INC FCM BD CME 07/31/17 32,798,881 14,075,396 18,723,485 270,759,832 255,385,742 15,374,090 5,000,000 11,468,010 8,488,513 2,979,497 2,000,000 0 0 0 0 0

46 PICTET OVERSEAS INC FCM BD NFA 07/31/17 18,684,779 1,000,000 17,684,779 1,500,000 0 1,500,000 1,500,000 500,000 0 500,000 500,000 0 0 0 0 0

47 RAND FINANCIAL SERVICES INC FCM CME 07/31/17 85,375,507 12,985,152 72,390,355 219,270,900 177,587,300 41,683,600 5,327,600 42,730,500 18,957,900 23,772,600 568,700 0 0 0 0 0

48 RBC CAPITAL MARKETS LLC FCM BD CME 07/31/17 1,977,767,050 212,741,167 1,765,025,883 2,792,474,593 2,521,509,045 270,965,548 200,000,000 305,043,144 261,707,873 43,335,271 20,000,000 652,591,208 393,256,686 259,334,522 40,000,000 0

49 RBS SECURITIES INC FCM BD CBOT 07/31/17 609,033,457 33,822,203 575,211,254 647,240,001 496,575,725 150,664,276 125,000,000 59,017,200 28,853,622 30,163,578 25,000,000 0 0 0 0 0

50 RJ OBRIEN ASSOCIATES LLC FCM SD CME/NFA 07/31/17 211,428,044 151,172,210 60,255,834 4,139,371,484 4,049,901,580 89,469,904 50,000,000 252,580,754 227,202,707 25,378,047 20,000,000 0 0 0 0 0

51 ROSENTHAL COLLINS GROUP LLC FCM CME 07/31/17 80,825,479 53,362,691 27,462,788 1,378,388,851 1,351,636,548 26,752,303 18,000,000 47,142,497 34,250,590 12,891,907 8,000,000 0 0 0 0 0

52 SANTANDER INVESTMENT SECURITIES INC FCM BD NYME 07/31/17 169,473,379 23,653,635 145,819,744 772,367,059 761,637,395 10,729,664 8,000,000 0 0 0 0 0 0 0 0 0

53 SCOTIA CAPITAL USA INC FCM BD CME 07/31/17 631,683,410 44,549,929 587,133,481 0 0 0 0 0 0 0 0 0 0 0 0 0

54 SG AMERICAS SECURITIES LLC FCM BD CME 07/31/17 4,296,382,776 1,125,525,287 3,170,857,489 13,179,218,992 12,366,041,767 813,177,225 500,000,000 4,594,575,601 4,042,637,313 551,938,288 255,000,000 621,790,131 373,255,977 248,534,154 75,000,000 0

55 STRAITS FINANCIAL LLC FCM CME 07/31/17 21,671,146 7,456,299 14,214,847 194,537,177 179,886,758 14,650,419 2,000,000 34,734,723 28,785,908 5,948,815 300,000 0 0 0 0 0

56 TD AMERITRADE FUTURES & FOREX LLC FCM NFA 07/31/17 71,066,004 22,428,252 48,637,752 284,415,336 224,509,688 59,905,648 25,000,000 0 0 0 0 0 0 0 0 58,565,043

57 TRADESTATION SECURITIES INC FCM BD CME 07/31/17 77,010,604 4,267,490 72,743,114 559,965,308 546,150,050 13,815,258 9,000,000 24,446,185 21,893,278 2,552,907 800,000 0 0 0 0 0

58 UBS FINANCIAL SERVICES INC FCM BD NFA 07/31/17 1,474,913,997 125,000,459 1,349,913,538 112,528,941 79,294,282 33,234,659 22,000,000 35,048,416 6,853,963 28,194,453 15,000,000 0 0 0 0 0

59 UBS SECURITIES LLC FCM BD CBOT 07/31/17 5,576,819,868 796,701,148 4,780,118,720 7,122,824,941 6,621,516,245 501,308,696 425,000,000 3,539,124,743 3,163,706,697 375,418,046 300,000,000 934,086,553 660,710,121 273,376,432 200,000,000 0

60 UOBBF CLEARING LIMITED FCM CME 07/31/17 25,921,961 3,696,658 22,225,303 100,036,818 76,483,179 23,553,639 2,000,000 0 0 0 0 0 0 0 0 0

61 WEDBUSH SECURITIES INC FCM BD CBOT 07/31/17 166,515,159 23,517,441 142,997,718 1,498,187,029 1,480,319,235 17,867,794 13,000,000 18,870,040 15,963,346 2,906,694 1,000,000 0 0 0 0 0

62 WELLS FARGO SECURITIES LLC FCM BD CME 07/31/17 8,543,075,410 842,577,592 7,700,497,818 3,985,668,002 3,670,219,633 315,448,369 225,000,000 415,737,134 350,948,056 64,789,078 25,000,000 7,484,893,969 6,754,546,208 730,347,761 500,000,000 0

63 YORK BUSINESS ASSOCIATES LLC FCM NFA 07/31/17 4,846,938 1,000,000 3,846,938 43,718,468 39,277,244 4,441,224 2,000,000 1,907,242 1,453,660 453,582 200,000 0 0 0 0 0

Totals 154,876,881,929 145,575,722,809 9,301,159,120 6,036,614,709 46,997,692,875 42,831,682,453 4,166,010,422 2,645,907,721 85,902,614,353 79,648,482,637 6,254,131,716 3,549,100,588 518,877,020

June Web Page Update 63

Additions 0

None

Deletions 0

None

Name Changes

None

July Web Page Update 63
(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.

(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.

(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. 

(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.

(g): Excess/Deficient funds in segregation is customer assets in segregation, less the customer segregation requirement.

•  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.

(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: 

•  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 

 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.