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 08/31/17 595,278,230 160,761,949 434,516,281 2,865,126,947 2,436,415,567 428,711,380 160,286,146 160,828,266 131,729,601 29,098,665 13,172,960 0 0 0 0 0

2 ADM INVESTOR SERVICES INC FCM CBOT 08/31/17 328,719,548 189,849,208 138,870,340 4,559,023,011 4,351,718,276 207,304,735 120,000,000 396,575,472 338,456,891 58,118,581 20,000,000 14,029,607 4,796,708 9,232,899 8,000,000 0

3 ADVANTAGE FUTURES LLC FCM CME 08/31/17 25,335,897 8,684,730 16,651,167 553,727,948 537,377,930 16,350,018 8,500,000 43,173,236 41,471,710 1,701,526 1,000,000 0 0 0 0 0

4 AMP GLOBAL CLEARING LLC FCM NFA 08/31/17 2,872,025 1,000,000 1,872,025 52,490,698 49,445,701 3,044,997 900,000 2,102,188 1,740,502 361,686 150,000 0 0 0 0 0

5 APEX CLEARING CORPORATION FCM BD NFA 08/31/17 133,707,732 15,462,262 118,245,470 1,444,690 473,692 970,998 500,000 0 0 0 0 0 0 0 0 0

6 BARCLAYS CAPITAL INC FCM BD NYME 08/31/17 7,013,048,769 1,084,252,546 5,928,796,223 5,541,145,726 4,930,878,141 610,267,585 271,198,298 3,717,977,193 3,293,351,079 424,626,114 165,326,224 5,822,183,402 5,041,914,773 780,268,629 200,164,017 0

7 BGC FINANCIAL LP FCM BD NFA 08/31/17 26,321,022 1,652,909 24,668,113 0 0 0 0 0 0 0 0 0 0 0 0 0

8 BNP PARIBAS PRIME BROKERAGE INC FCM BD NYME 08/31/17 1,325,179,041 169,193,836 1,155,985,205 1,784,911,007 1,537,659,686 247,251,321 150,000,000 60,245,283 44,000,485 16,244,798 7,500,000 20,284,080 10,592,303 9,691,777 7,500,000 0

9 BNP PARIBAS SECURITIES CORP FCM BD CBOT 08/31/17 1,420,225,355 212,305,789 1,207,919,566 1,191,766,070 1,088,680,652 103,085,418 82,500,000 103,975,641 75,041,618 28,934,023 22,500,000 1,031,301,792 880,095,281 151,206,511 120,000,000 0

10 BOCI COMMODITIES & FUTURES USA LLC FCM CME 08/31/17 8,217,411 1,433,095 6,784,316 44,446,566 39,065,708 5,380,858 1,000,000 6 0 6 1 6 0 6 1 0

11 CANTOR FITZGERALD & CO FCM BD CBOT 08/31/17 187,417,192 7,606,110 179,811,082 4,969,921 0 4,969,921 3,000,000 0 0 0 0 0 0 0 0 0

12 CHS HEDGING LLC FCM CBOT 08/31/17 42,033,786 9,593,650 32,440,136 190,490,573 137,813,649 52,676,924 13,600,000 1,521,074 0 1,521,074 200,000 503,912 0 503,912 120,000 0

13 CITIGROUP GLOBAL MARKETS INC FCM BD SD CBOT/NFA 08/31/17 10,848,106,055 1,944,799,575 8,903,306,480 7,019,085,479 6,646,734,896 372,350,583 315,400,000 1,867,416,204 1,528,661,091 338,755,113 150,000,000 19,053,797,972 18,588,175,628 465,622,344 373,800,000 0

14 CREDIT SUISSE SECURITIES (USA) LLC FCM BD CBOT 08/31/17 10,106,573,633 1,407,288,708 8,699,284,925 5,914,888,904 5,513,758,259 401,130,645 275,687,913 3,585,007,154 3,382,936,906 202,070,248 169,146,845 12,146,075,558 11,436,566,481 709,509,077 571,828,324 0

15 CUNNINGHAM COMMODITIES LLC FCM CBOT 08/31/17 5,115,967 1,385,776 3,730,191 85,238,116 81,973,079 3,265,037 3,050,000 949,458 503,699 445,759 100,000 0 0 0 0 0

16 DAIWA CAPITAL MARKETS AMERICA INC FCM BD CME 08/31/17 633,708,387 8,585,665 625,122,722 2,170,566 0 2,170,566 1 577,249 0 577,249 1 0 0 0 0 0

17 DEUTSCHE BANK SECURITIES INC FCM BD CBOT 08/31/17 12,450,837,442 697,412,170 11,753,425,272 2,440,276,098 2,239,002,194 201,273,904 125,000,000 972,333,755 846,634,471 125,699,284 75,000,000 2,000,000 0 2,000,000 1,000,000 0

18 DORMAN TRADING LLC FCM CME 08/31/17 11,415,801 2,333,123 9,082,678 187,055,240 182,876,357 4,178,883 2,000,000 4,809,769 4,155,929 653,840 200,000 0 0 0 0 0

19 E D & F MAN CAPITAL MARKETS INC FCM BD CME 08/31/17 137,951,736 51,252,421 86,699,315 1,493,429,466 1,411,403,720 82,025,746 35,000,000 49,967,811 41,440,782 8,527,029 5,000,000 2,987,254 1,835,977 1,151,277 500,000 0

20 E TRADE SECURITIES LLC FCM BD NFA 08/31/17 1,099,993,474 199,124,517 900,868,957 0 0 0 0 0 0 0 0 0 0 0 0 0

21 E*TRADE FUTURES LLC FCM BD NFA 08/31/17 18,081,793 2,712,760 15,369,033 62,940,576 51,706,831 11,233,745 5,000,000 0 0 0 0 0 0 0 0 0

22 EFL FUTURES LIMITED FCM CME 08/31/17 40,981,082 20,306,488 20,674,594 293,701,100 279,432,050 14,269,050 5,000,000 0 0 0 0 0 0 0 0 0

23 GAIN CAPITAL GROUP LLC FCMRFD NFA 08/31/17 44,679,415 33,894,260 10,785,155 228,216,121 216,022,582 12,193,539 10,000,000 4,145,126 2,385,281 1,759,845 1,000,000 0 0 0 0 254,086,577

24 GH FINANCIALS LLC FCM CME 08/31/17 21,397,598 5,546,024 15,851,574 93,290,850 78,352,016 14,938,834 4,000,000 3,155,682 2,055,888 1,099,794 550,000 0 0 0 0 0

25 GOLDMAN SACHS & CO LLC FCM BD SD CBOT/NFA 08/31/17 17,980,614,006 2,485,502,682 15,495,111,324 23,499,953,651 22,638,582,024 861,371,627 675,000,000 12,533,011,992 11,987,023,939 545,988,053 475,000,000 4,617,057,022 4,168,400,950 448,656,072 350,000,000 0

26 HSBC SECURITIES USA INC FCM BD CME 08/31/17 1,005,828,615 257,786,221 748,042,394 1,501,520,638 1,420,399,662 81,120,976 70,000,000 182,919,507 147,952,551 34,966,956 25,000,000 1,265,924,180 1,130,522,500 135,401,680 120,000,000 0

27 HUATAI FINANCIAL USA INC FCM NFA 08/31/17 2,480,446 1,000,000 1,480,446 0 0 0 0 0 0 0 0 0 0 0 0 0

28 INTERACTIVE BROKERS LLC FCM BD CME 08/31/17 3,862,634,957 390,103,500 3,472,531,457 4,673,560,084 4,472,907,258 200,652,826 155,000,000 498,151,649 372,549,281 125,602,368 80,000,000 0 0 0 0 39,037,499

29 INTL FCSTONE FINANCIAL INC FCM BD CME 08/31/17 154,375,815 76,467,978 77,907,837 2,174,692,111 2,119,994,118 54,697,993 35,000,000 158,637,865 142,241,620 16,396,245 8,000,000 0 0 0 0 0

30 IRONBEAM INC FCM NFA 08/31/17 3,741,805 1,426,668 2,315,137 75,155,168 73,590,305 1,564,863 800,000 465,670 240,225 225,445 50,000 0 0 0 0 0

31 JEFFERIES LLC FCM BD NFA 08/31/17 1,491,121,531 79,496,108 1,411,625,423 0 0 0 0 0 0 0 0 0 0 0 0 0

32 JP MORGAN SECURITIES LLC FCM BD SD CEI/NFA 08/31/17 15,509,459,408 2,841,434,581 12,668,024,827 16,792,476,858 15,493,221,813 1,299,255,045 852,127,200 5,060,446,037 4,554,681,092 505,764,945 387,147,893 12,468,515,898 11,497,534,093 970,981,805 718,595,881 0

33 MACQUARIE FUTURES USA LLC FCM CBOT 08/31/17 279,493,238 136,909,948 142,583,290 1,864,346,479 1,658,084,197 206,262,282 100,000,000 57,321,196 37,685,049 19,636,147 7,000,000 22,467,507 3,688,743 18,778,764 1,000,000 0

34 MAREX NORTH AMERICA LLC FCM CME 08/31/17 21,823,455 12,900,519 8,922,936 174,443,573 170,592,406 3,851,167 2,800,000 70,421,507 69,251,721 1,169,786 500,000 0 0 0 0 0

35 MCVEAN TRADING & INVESTMENTS LLC FCM NFA 08/31/17 14,684,693 1,590,242 13,094,451 775,522,979 754,178,220 21,344,759 18,000,000 2,567,861 0 2,567,861 1,000,000 0 0 0 0 0

36 MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED FCM BD CBOT 08/31/17 12,872,228,838 1,679,250,916 11,192,977,922 13,013,862,171 12,710,438,068 303,424,103 200,000,000 4,301,592,429 4,066,921,891 234,670,538 150,000,000 5,820,162,381 5,520,987,357 299,175,024 150,000,000 0

37 MERRILL LYNCH PROFESSIONAL CLEARING CORP FCM BD NFA 08/31/17 3,493,215,633 613,665,188 2,879,550,445 1,304,854,200 909,944,036 394,910,164 300,000,000 0 0 0 0 0 0 0 0 0

38 MID CO COMMODITIES INC FCM NFA 08/31/17 8,437,345 2,497,524 5,939,821 25,092,431 15,683,677 9,408,754 5,138,000 0 0 0 0 0 0 0 0 0

39 MINT BROKERS FCM BD NFA 08/31/17 4,928,433 1,000,000 3,928,433 0 0 0 0 0 0 0 0 0 0 0 0 0

40 MIZUHO SECURITIES USA LLC FCM BD SD CME/NFA 08/31/17 698,496,573 227,274,872 471,221,701 2,347,274,877 2,146,697,661 200,577,216 125,000,000 754,739,494 629,393,878 125,345,616 70,000,000 34,762,385 4,405,352 30,357,033 15,000,000 0

41 MORGAN STANLEY & CO LLC FCM BD SD CME/NFA 08/31/17 10,739,945,376 2,100,602,859 8,639,342,517 14,940,871,738 14,595,609,840 345,261,898 285,000,000 5,076,401,706 4,883,363,393 193,038,313 140,000,000 13,273,993,684 13,151,327,109 122,666,575 92,000,000 0

42 NANHUA USA LLC FCM CME 08/31/17 18,276,922 2,628,373 15,648,549 60,271,882 47,736,658 12,535,224 3,500,000 0 0 0 0 0 0 0 0 0

43 NOMURA SECURITIES INTERNATIONAL INC FCM BD CBOT 08/31/17 2,003,862,769 197,774,922 1,806,087,847 249,022,788 144,679,790 104,342,998 15,000,000 17,960,270 16,504 17,943,766 1,000,000 0 0 0 0 0

44 OANDA CORPORATION FCMRFD NFA 08/31/17 88,035,141 52,697,616 35,337,525 0 0 0 0 0 0 0 0 0 0 0 0 168,185,010

45 OPTIONSXPRESS INC FCM BD NFA 08/31/17 289,898,799 7,225,223 282,673,576 117,067,853 72,347,005 44,720,848 10,852,051 2,284,483 782,691 1,501,792 117,404 0 0 0 0 0

46 PHILLIP CAPITAL INC FCM BD CME 08/31/17 37,889,722 14,039,920 23,849,802 261,826,605 244,866,413 16,960,192 5,000,000 10,326,141 7,436,342 2,889,799 2,000,000 0 0 0 0 0

47 PICTET OVERSEAS INC FCM BD NFA 08/31/17 18,317,901 1,000,000 17,317,901 1,500,000 0 1,500,000 1,500,000 500,000 0 500,000 500,000 0 0 0 0 0

48 RAND FINANCIAL SERVICES INC FCM CME 08/31/17 85,743,376 14,008,799 71,734,577 232,312,700 189,700,500 42,612,200 5,691,000 43,937,200 20,165,400 23,771,800 605,000 0 0 0 0 0

49 RBC CAPITAL MARKETS LLC FCM BD CME 08/31/17 2,163,862,588 227,563,686 1,936,298,902 3,026,011,765 2,753,734,242 272,277,523 200,000,000 326,893,879 283,455,919 43,437,960 20,000,000 568,432,040 308,924,136 259,507,904 40,000,000 0

50 RBS SECURITIES INC FCM BD CBOT 08/31/17 601,707,506 32,598,638 569,108,868 622,585,944 474,315,459 148,270,485 125,000,000 65,367,142 33,238,024 32,129,118 25,000,000 0 0 0 0 0

51 RJ OBRIEN ASSOCIATES LLC FCM SD CME/NFA 08/31/17 205,235,220 145,342,710 59,892,510 4,025,933,493 3,955,067,770 70,865,723 50,000,000 234,380,000 210,178,572 24,201,428 20,000,000 0 0 0 0 0

52 ROSENTHAL COLLINS GROUP LLC FCM CME 08/31/17 73,358,003 45,772,577 27,585,426 1,240,398,918 1,212,738,920 27,659,998 18,000,000 36,757,306 24,737,510 12,019,796 8,000,000 0 0 0 0 0

53 SANTANDER INVESTMENT SECURITIES INC FCM BD NYME 08/31/17 172,986,276 25,327,993 147,658,283 645,962,621 634,722,973 11,239,648 9,000,000 0 0 0 0 0 0 0 0 0

54 SCOTIA CAPITAL USA INC FCM BD CME 08/31/17 639,781,442 43,561,527 596,219,915 0 0 0 0 0 0 0 0 0 0 0 0 0

55 SG AMERICAS SECURITIES LLC FCM BD CME 08/31/17 4,320,094,221 1,183,984,115 3,136,110,106 13,123,876,008 12,293,534,078 830,341,930 500,000,000 5,133,862,605 4,624,069,059 509,793,546 255,000,000 652,647,109 406,812,955 245,834,154 75,000,000 0

56 STRAITS FINANCIAL LLC FCM CME 08/31/17 21,816,060 7,063,282 14,752,778 197,715,551 183,232,176 14,483,375 2,000,000 34,673,602 28,592,577 6,081,025 300,000 0 0 0 0 0

57 TD AMERITRADE FUTURES & FOREX LLC FCM NFA 08/31/17 73,204,361 22,484,130 50,720,231 311,252,541 237,885,788 73,366,753 25,000,000 0 0 0 0 0 0 0 0 59,682,599

58 TRADESTATION SECURITIES INC FCM BD CME 08/31/17 74,166,857 4,206,500 69,960,357 568,339,799 554,734,490 13,605,309 9,000,000 24,758,900 22,192,857 2,566,043 800,000 0 0 0 0 0

59 UBS FINANCIAL SERVICES INC FCM BD NFA 08/31/17 1,406,933,533 125,955,976 1,280,977,557 110,477,167 76,660,719 33,816,448 22,000,000 33,040,627 6,105,273 26,935,354 15,000,000 0 0 0 0 0

60 UBS SECURITIES LLC FCM BD CBOT 08/31/17 6,126,579,003 819,997,147 5,306,581,856 7,635,105,273 7,130,863,008 504,242,265 425,000,000 3,901,364,136 3,525,385,885 375,978,251 300,000,000 935,955,106 662,649,773 273,305,333 200,000,000 0

61 UOBBF CLEARING LIMITED FCM CME 08/31/17 26,103,330 3,004,402 23,098,928 84,831,705 61,165,486 23,666,219 2,000,000 0 0 0 0 0 0 0 0 0

62 WEDBUSH SECURITIES INC FCM BD CBOT 08/31/17 171,418,796 21,894,377 149,524,419 1,548,034,987 1,531,682,375 16,352,612 13,000,000 17,642,434 12,958,563 4,683,871 1,000,000 0 0 0 0 0

63 WELLS FARGO SECURITIES LLC FCM BD CME 08/31/17 8,096,709,480 841,595,745 7,255,113,735 3,933,665,889 3,631,265,346 302,400,543 225,000,000 426,199,223 370,725,396 55,473,827 25,000,000 7,274,975,429 6,674,529,312 600,446,117 500,000,000 0

64 YORK BUSINESS ASSOCIATES LLC FCM NFA 08/31/17 4,851,625 1,000,000 3,851,625 42,811,473 38,722,473 4,089,000 2,000,000 1,833,442 1,225,212 608,230 200,000 0 0 0 0 0

Totals 155,812,467,593 146,460,369,940 9,352,097,653 6,084,030,609 49,983,218,870 45,797,136,357 4,186,082,513 2,649,066,328 85,028,056,324 79,493,759,431 5,534,296,893 3,544,508,223 520,991,685

July Web Page Update 63

Additions 1

HUATAI FINANCIAL USA INC

Deletions 0

None

Name Changes

APERTURE LLC to ETRADE FUTURES LLC

August Web Page Update 64
 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.

•  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: 

(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.

(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. 

(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.