SELECTED FCM FINANCIAL DATA AS OF 

November 30, 2012

FROM REPORTS FILED BY 

January 02, 2013

1 of 4

1

2

3

4

5

6

7

8

9

10

11

12

13

14

15

16

17

18

19

20

21

22

23

24

25

26

27

28

29

30

31

32

33

34

35

36

37

38

39

40

41

42

43

44

45

46

47

48

49

50

51

52

53

A B C D E F G H I J K L M N O

Reg As DSRO A/O Adjusted Net Capital Excess Customers' Customers' Excess/Deficient Funds in Separate Customer Excess/Deficient Total Amount

Date Net Capital Requirement Net Capital Assets Seg Required Funds in Seg Section 30.7 Amount Pt. 30 Funds in Separate of Retail Forex

in Seg 4d(a)(2) Accounts Required Section 30.7 Obligation

Accounts

(a) (b) (c) (d) (e) (f) (g) (h) (i) (j) (k)

1 ABN AMRO CLEARING CHICAGO LLC FCM BD CBOT 11/30/2012 325,764,974 142,637,146 183,127,828 2,873,583,215 2,717,627,809 155,955,406 136,712,163 105,118,801 31,593,362 0

2 ADM INVESTOR SERVICES INC FCM CBOT 11/30/2012 303,497,365 161,114,560 142,382,805 3,245,770,215 2,997,049,367 248,720,848 192,943,542 131,101,645 61,841,897 0

3 ADVANCED MARKETS LLC FCMRFD NFA 11/30/2012 20,206,127 20,000,000 206,127 0 0 0 0 0 0 0

4 ADVANTAGE FUTURES LLC FCM CME 11/30/2012 23,023,146 12,029,108 10,994,038 535,675,294 524,373,727 11,301,567 29,457,577 27,240,495 2,217,082 0

5 ALPARI (US) LLC FCMRFD NFA 11/30/2012 25,576,917 20,292,637 5,284,280 4,443,968 2,308,117 2,135,851 861,958 450,409 411,549 15,852,743

6 AMERIPRISE FINANCIAL SERVICES INC FCM BD NFA 11/30/2012 92,927,315 1,000,000 91,927,315 0 0 0 0 0 0 0

7 AMP GLOBAL CLEARING LLC FCM NFA 11/30/2012 2,554,075 1,500,000 1,054,075 38,895,127 37,400,175 1,494,952 622,903 380,682 242,221 0

8 BARCLAYS CAPITAL INC FCM BD NYME 11/30/2012 5,955,668,939 1,026,972,267 4,928,696,672 6,425,277,068 6,204,809,736 220,467,332 3,131,472,451 2,964,946,241 166,526,210 0

9 BGC FINANCIAL LP FCM BD NFA 11/30/2012 54,654,298 1,002,509 53,651,789 0 0 0 0 0 0 0

10 BNP PARIBAS PRIME BROKERAGE INC FCM BD NYME 11/30/2012 2,229,083,903 269,391,118 1,959,692,785 2,228,304,326 2,016,208,869 212,095,457 16,043,723 5,129,217 10,914,506 0

11 BNP PARIBAS SECURITIES CORP FCM BD CBOT 11/30/2012 1,821,300,040 100,118,364 1,721,181,676 581,690,672 482,553,499 99,137,173 0 0 0 0

12 BNY MELLON CLEARING LLC FCM CME 11/30/2012 293,322,027 8,953,080 284,368,947 315,338,211 129,545,475 185,792,736 31,373,120 13,514,443 17,858,677 0

13 BOCI COMMODITIES & FUTURES USA LLC FCM NFA 11/30/2012 4,975,141 1,000,000 3,975,141 0 0 0 0 0 0 0

14 CANTOR FITZGERALD & CO FCM BD CBOT 11/30/2012 253,886,699 6,436,203 247,450,496 6,185,064 1,227,028 4,958,036 0 0 0 0

15 CAPITAL MARKET SERVICES LLC FCM NFA 11/30/2012 1,408,343 1,000,000 408,343 0 0 0 0 0 0 0

16 CHS HEDGING INC FCM NFA 11/30/2012 24,518,121 17,304,495 7,213,626 262,989,140 237,925,001 25,064,139 1,985,981 1,081,091 904,890 0

17 CIBC WORLD MARKETS CORP FCM BD CME 11/30/2012 537,068,355 1,500,000 535,568,355 0 0 0 0 0 0 0

18 CITADEL SECURITIES LLC FCM BD CME 11/30/2012 418,854,026 1,000,000 417,854,026 0 0 0 0 0 0 0

19 CITIGROUP GLOBAL MARKETS INC FCM BD CBOT 11/30/2012 7,078,493,676 611,408,527 6,467,085,149 8,435,199,287 8,157,160,859 278,038,428 1,111,131,160 883,898,668 227,232,492 0

20 COMMONWEALTH FOREIGN EXCHANGE INC FCM NFA 11/30/2012 1,234,285 1,000,000 234,285 0 0 0 0 0 0 0

21 CREDIT SUISSE SECURITIES (USA) LLC FCM BD CBOT 11/30/2012 8,131,002,017 1,500,077,277 6,630,924,740 7,577,439,347 6,567,351,971 1,010,087,376 2,553,178,919 1,964,799,586 588,379,333 0

22 CROSSLAND LLC FCM CBOT 11/30/2012 7,505,031 2,211,302 5,293,729 71,632,836 69,425,335 2,207,501 12,354,065 10,994,555 1,359,510 0

23 CUNNINGHAM COMMODITIES LLC FCM CBOT 11/30/2012 2,760,248 1,500,000 1,260,248 78,313,181 77,394,656 918,525 412,611 302,630 109,981 0

24 CX CAPITAL MARKETS LLC FCM BD NFA 11/30/2012 3,308,155 1,000,000 2,308,155 37,906,155 35,699,766 2,206,389 0 0 0 0

25 DAIWA CAPITAL MARKETS AMERICA INC FCM BD CME 11/30/2012 290,532,971 4,862,308 285,670,663 9,737,954 5,065,051 4,672,903 1,047,248 0 1,047,248 0

26 DEUTSCHE BANK SECURITIES INC FCM BD CBOT 11/30/2012 8,221,331,905 715,555,792 7,505,776,113 15,468,590,079 14,876,791,368 591,798,711 1,357,680,619 1,180,274,320 177,406,299 0

27 DORMAN TRADING LLC FCM CME 11/30/2012 9,531,873 1,896,171 7,635,702 141,146,451 138,630,044 2,516,407 2,402,686 1,739,543 663,143 0

28 E D & F MAN CAPITAL MARKETS INC FCM BD CME 11/30/2012 20,323,328 1,000,000 19,323,328 14,429,649 8,905,637 5,524,012 0 0 0 0

29 EAGLE MARKET MAKERS INC FCM CBOT 11/30/2012 5,856,545 1,000,000 4,856,545 767,429 246,336 521,093 0 0 0 0

30 EASY FOREX US LTD FCM NFA 11/30/2012 1,465,682 1,000,000 465,682 0 0 0 0 0 0 0

31 ENSKILDA FUTURES LTD FCM CME 11/30/2012 39,242,611 12,601,224 26,641,387 232,790,366 224,536,529 8,253,837 0 0 0 0

32 FCSTONE LLC FCM CME 11/30/2012 114,951,251 76,575,765 38,375,486 1,641,151,062 1,612,928,195 28,222,867 66,150,800 54,716,544 11,434,256 0

33 FOREX CAPITAL MARKETS LLC FCMRFD NFA 11/30/2012 57,462,879 27,537,424 29,925,455 0 0 0 0 0 0 160,748,487

34 FRIEDBERG MERCANTILE GROUP INC FCM NFA 11/30/2012 3,597,240 1,000,000 2,597,240 10,487,664 9,895,762 591,902 409,787 353,587 56,200 0

35 FRONTIER FUTURES INC FCM NFA 11/30/2012 1,956,229 1,029,368 926,861 33,131,533 32,329,368 802,165 0 0 0 0

36 FX SOLUTIONS LLC FCMRFD NFA 11/30/2012 24,896,737 20,297,392 4,599,345 0 0 0 0 0 0 15,947,847

37 FXDIRECTDEALER LLC FCMRFD NFA 11/30/2012 17,382,012 21,081,545 (3,699,533) 0 0 0 0 0 0 31,630,903

38 GAIN CAPITAL GROUP LLC FCMRFD NFA 11/30/2012 34,745,690 24,420,802 10,324,888 0 0 0 0 0 0 98,416,039

39 GH FINANCIALS LLC FCM CME 11/30/2012 8,460,011 1,000,000 7,460,011 1,067,873 654,982 412,891 0 0 0 0

40 GLOBAL FUTURES & FOREX LTD FCMRFD NFA 11/30/2012 8,026,986 23,572,680 (15,545,694) 0 0 0 0 0 0 81,453,596

41 GOLDMAN SACHS & CO FCM BD CBOT 11/30/2012 13,657,672,599 1,712,678,551 11,944,994,048 19,462,434,389 18,944,697,538 517,736,851 8,130,381,356 7,594,258,644 536,122,712 0

42 GOLDMAN SACHS EXECUTION & CLEARING LP FCM BD CME 11/30/2012 2,052,952,536 103,167,662 1,949,784,874 1,317,913,375 729,834,159 588,079,216 61,289,799 16,266,661 45,023,138 0

43 GUGGENHEIM SECURITIES LLC FCM BD NFA 11/30/2012 71,166,574 1,059,420 70,107,154 0 0 0 0 0 0 0

44 HSBC SECURITIES USA INC FCM BD CME 11/30/2012 1,139,447,649 138,588,703 1,000,858,946 1,020,013,285 946,635,843 73,377,442 116,404,079 94,245,171 22,158,908 0

45 IBFX INC RFED NFA 11/30/2012 26,765,173 23,307,673 3,457,500 0 0 0 0 0 0 76,153,453

46 IKON GLOBAL MARKETS INC FCM NFA 11/30/2012 11,848,894 1,000,000 10,848,894 1,533,063 370,988 1,162,075 0 0 0 0

47 INSTINET LLC FCM BD NFA 11/30/2012 99,138,955 1,000,000 98,138,955 0 0 0 0 0 0 0

Futures Commission Merchant / Retail Foreign Exchange 

Dealer
SELECTED FCM FINANCIAL DATA AS OF 

November 30, 2012

FROM REPORTS FILED BY 

January 02, 2013

2 of 4

1

2

3

4

5

6

A B C D E F G H I J K L M N O

Reg As DSRO A/O Adjusted Net Capital Excess Customers' Customers' Excess/Deficient Funds in Separate Customer Excess/Deficient Total Amount

Date Net Capital Requirement Net Capital Assets Seg Required Funds in Seg Section 30.7 Amount Pt. 30 Funds in Separate of Retail Forex

in Seg 4d(a)(2) Accounts Required Section 30.7 Obligation

Accounts

(a) (b) (c) (d) (e) (f) (g) (h) (i) (j) (k)

Futures Commission Merchant / Retail Foreign Exchange 

Dealer

54

55

56

57

58

59

60

61

62

63

64

65

66

67

68

69

70

71

72

73

74

75

76

77

78

79

80

81

82

83

84

85

86

87

88

89

90

91

92

93

94

95

96

97

98

99

100

48 INSTITUTIONAL LIQUIDITY LLC FCMRFD NFA 11/30/2012 20,286,725 20,222,122 64,603 0 0 0 0 0 0 14,442,430

49 INTEGRATED BROKERAGE SERVICES LLC FCM NFA 11/30/2012 79,873 1,000,000 (920,127) 0 0 0 0 0 0 0

50 INTERACTIVE BROKERS LLC FCM BD NFA 11/30/2012 1,653,816,271 220,123,429 1,433,692,842 2,009,903,425 1,815,808,860 194,094,565 553,880,331 437,596,422 116,283,909 32,558,029

51 IRONBEAM INC FCM NFA 11/30/2012 2,419,127 1,185,541 1,233,586 49,914,695 48,605,845 1,308,850 110,519 3,193 107,326 0

52 ITG DERIVATIVES LLC FCM BD NFA 11/30/2012 4,609,566 1,000,000 3,609,566 0 0 0 0 0 0 0

53 JEFFERIES BACHE LLC FCM CBOT 11/30/2012 252,281,000 167,040,000 85,241,000 2,833,442,000 2,721,641,000 111,801,000 262,622,000 196,702,000 65,920,000 0

54 JP MORGAN CLEARING CORP FCM BD NFA 11/30/2012 6,996,209,283 1,685,344,151 5,310,865,132 990,846,866 729,805,809 261,041,057 529,703,213 323,027,035 206,676,178 0

55 JP MORGAN SECURITIES LLC FCM BD CEI 11/30/2012 12,877,315,779 1,598,320,946 11,278,994,833 19,936,632,507 17,886,019,785 2,050,612,722 3,188,000,748 2,858,262,936 329,737,812 0

56 KNIGHT CAPITAL AMERICAS LLC FCM BD CME 11/30/2012 286,578,740 20,668,035 265,910,705 419,358,550 402,097,927 17,260,623 11,921,133 8,033,597 3,887,536 23,360,697

57 LEK SECURITIES CORPORATION FCM BD NFA 11/30/2012 10,556,929 1,500,000 9,056,929 7,778,017 5,249,024 2,528,993 0 0 0 0

58 LINN GROUP THE FCM NFA 11/30/2012 3,580,239 1,956,629 1,623,610 79,964,212 76,336,590 3,627,622 364,689 157,282 207,407 0

59 LIQUID FUTURES LLC FCM NFA 11/30/2012 1,639,091 1,045,000 594,091 0 0 0 0 0 0 0

60 LPL FINANCIAL LLC FCM BD NFA 11/30/2012 107,029,992 6,984,420 100,045,572 0 0 0 0 0 0 0

61 MACQUARIE FUTURES USA LLC FCM CBOT 11/30/2012 92,745,988 78,395,945 14,350,043 1,072,773,011 975,309,405 97,463,606 45,455,728 31,477,401 13,978,327 0

62 MAREX NORTH AMERICA LLC FCM CME 11/30/2012 10,780,117 6,363,280 4,416,837 80,759,648 75,775,819 4,983,829 4,428,598 4,031,548 397,050 0

63 MAREX USA LIMITED FCM NFA 11/30/2012 2,777,765 1,000,000 1,777,765 0 0 0 0 0 0 0

64 MB TRADING FUTURES INC FCMRFD NFA 11/30/2012 23,023,172 21,271,147 1,752,025 0 0 0 0 0 0 35,422,946

65 MBF CLEARING CORP FCM NFA 11/30/2012 1,623,543 1,000,000 623,543 0 0 0 0 0 0 0

66 MCVEAN TRADING & INVESTMENTS LLC FCM NFA 11/30/2012 13,949,866 2,984,388 10,965,478 944,902,105 924,253,628 20,648,477 5,622,292 3,616,126 2,006,166 0

67 MERRILL LYNCH PIERCE FENNER & SMITH FCM BD CBOT 11/30/2012 10,839,931,383 722,851,030 10,117,080,353 8,160,850,158 7,624,105,477 536,744,681 2,239,619,857 1,889,190,828 350,429,029 0

68 MERRILL LYNCH PROFESSIONAL CLEARING CORP FCM BD NFA 11/30/2012 1,854,021,090 205,201,724 1,648,819,366 1,459,920,813 868,920,247 591,000,566 29,681,853 1,675,280 28,006,573 0

69 MID CO COMMODITIES INC FCM NFA 11/30/2012 9,495,544 6,483,171 3,012,373 62,695,947 53,477,542 9,218,405 829,540 257,105 572,435 0

70 MITSUBISHI UFJ SECURITIES USA INC FCM BD NFA 11/30/2012 223,490,851 1,359,069 222,131,782 0 0 0 0 0 0 0

71 MITSUI BUSSAN COMMODITIES USA INC FCM NFA 11/30/2012 3,315,359 1,000,000 2,315,359 0 0 0 0 0 0 0

72 MIZUHO SECURITIES USA INC FCM BD CME 11/30/2012 471,448,962 174,993,018 296,455,944 1,824,030,472 1,621,231,537 202,798,935 448,187,705 338,690,190 109,497,515 0

73 MORGAN KEEGAN & COMPANY INC FCM BD NFA 11/30/2012 260,219,655 6,748,318 253,471,337 0 0 0 0 0 0 0

74 MORGAN STANLEY & CO LLC FCM BD CME 11/30/2012 8,597,858,762 1,351,526,538 7,246,332,224 7,255,344,645 7,146,394,103 108,950,542 1,755,360,943 1,648,893,380 106,467,563 0

75 MORGAN STANLEY SMITH BARNEY LLC FCM BD NFA 11/30/2012 2,608,609,586 133,361,070 2,475,248,516 724,565,289 683,967,751 40,597,538 88,088,245 82,105,841 5,982,404 0

76 NATIXIS SECURITIES AMERICAS LLC FCM BD NFA 11/30/2012 364,202,479 1,868,153 362,334,326 0 0 0 0 0 0 0

77 NEUBERGER BERMAN LLC FCM BD NFA 11/30/2012 46,558,185 1,500,000 45,058,185 0 0 0 0 0 0 0

78 NEWEDGE USA LLC FCM BD NYME 11/30/2012 1,919,698,287 1,158,922,391 760,775,896 16,906,169,775 16,312,998,420 593,171,355 4,391,039,098 3,990,091,265 400,947,833 0

79 NOMURA SECURITIES INTERNATIONAL INC FCM BD CBOT 11/30/2012 2,562,481,330 36,184,722 2,526,296,608 67,264,429 47,714,599 19,549,830 1,367,499 180,091 1,187,408 0

80 OANDA CORPORATION FCMRFD NFA 11/30/2012 152,685,581 27,164,142 125,521,439 0 0 0 0 0 0 153,282,840

81 OMAHA CAPITAL GROUP LLC FCM NFA 11/30/2012 1,588,206 1,000,000 588,206 0 0 0 0 0 0 0

82 OPEN E CRY LLC FCM NFA 11/30/2012 4,414,717 1,477,289 2,937,428 115,846,793 111,311,428 4,535,365 2,808,075 2,466,654 341,421 0

83 OPPENHEIMER & CO INC FCM BD NFA 11/30/2012 145,876,082 21,660,337 124,215,745 40,056,066 30,174,781 9,881,285 0 0 0 0

84 OPTIONSXPRESS INC FCM BD NFA 11/30/2012 82,057,830 5,372,736 76,685,094 95,861,494 77,224,525 18,636,969 4,266,230 1,745,599 2,520,631 0

85 PHILLIP FUTURES INC FCM CME 11/30/2012 27,478,112 20,000,000 7,478,112 191,547,212 164,944,729 26,602,483 576,832 284,069 292,763 0

86 PIONEER FUTURES INC FCM NFA 11/30/2012 1,690,705 1,000,000 690,705 1,207,732 1,076,974 130,758 50,000 0 50,000 0

87 RAND FINANCIAL SERVICES INC FCM CME 11/30/2012 77,150,727 21,885,192 55,265,535 420,540,400 377,216,600 43,323,800 46,152,500 25,319,300 20,833,200 0

88 RAYMOND JAMES & ASSOCIATES INC FCM BD NFA 11/30/2012 323,849,391 29,939,496 293,909,895 0 0 0 0 0 0 0

89 RBC CAPITAL MARKETS LLC FCM BD CME 11/30/2012 1,378,961,228 93,816,022 1,285,145,206 682,315,146 638,522,337 43,792,809 76,937,324 35,411,428 41,525,896 0

90 RBS SECURITIES INC FCM BD CBOT 11/30/2012 4,056,392,603 193,171,560 3,863,221,043 1,733,231,948 1,592,017,046 141,214,902 161,132,295 43,603,365 117,528,930 0

91 RJ OBRIEN ASSOCIATES LLC FCM CME 11/30/2012 212,351,699 142,316,081 70,035,618 4,081,889,414 3,962,911,677 118,977,737 169,772,006 143,496,403 26,275,603 2,074,099

92 ROSENTHAL COLLINS GROUP LLC FCM CME 11/30/2012 86,690,911 65,288,462 21,402,449 1,733,848,244 1,715,467,530 18,380,714 60,721,547 50,752,177 9,969,370 0

93 SANFORD C BERNSTEIN & CO LLC FCM BD NFA 11/30/2012 148,963,318 17,393,366 131,569,952 0 0 0 0 0 0 0

94 SANTANDER INVESTMENT SECURITIES INC FCM BD NYME 11/30/2012 296,300,558 9,182,404 287,118,154 550,720,694 548,311,362 2,409,332 0 0 0 0
SELECTED FCM FINANCIAL DATA AS OF 

November 30, 2012

FROM REPORTS FILED BY 

January 02, 2013

3 of 4

1

2

3

4

5

6

A B C D E F G H I J K L M N O

Reg As DSRO A/O Adjusted Net Capital Excess Customers' Customers' Excess/Deficient Funds in Separate Customer Excess/Deficient Total Amount

Date Net Capital Requirement Net Capital Assets Seg Required Funds in Seg Section 30.7 Amount Pt. 30 Funds in Separate of Retail Forex

in Seg 4d(a)(2) Accounts Required Section 30.7 Obligation

Accounts

(a) (b) (c) (d) (e) (f) (g) (h) (i) (j) (k)

Futures Commission Merchant / Retail Foreign Exchange 

Dealer

101

102

103

104

105

106

107

108

109

110

111

112

113

114

115

116

117

118

119

120

121

122

123

124

125

126

127

128

129

130

131

132

133

134

95 STATE STREET GLOBAL MARKETS LLC FCM BD CME 11/30/2012 480,854,134 8,902,035 471,952,099 240,151,452 80,625,697 159,525,755 65,981,180 33,394,478 32,586,702 0

96 STEPHENS INC FCM BD NFA 11/30/2012 87,283,448 16,947,318 70,336,130 0 0 0 0 0 0 0

97 STRAITS FINANCIAL LLC FCM CME 11/30/2012 9,600,140 2,374,020 7,226,120 90,867,505 86,601,420 4,266,085 15,449,419 13,515,411 1,934,008 0

98 TD AMERITRADE INC FCM BD NFA 11/30/2012 245,550,600 8,669,994 236,880,606 131,033,898 109,820,829 21,213,069 0 0 0 0

99 TIMBER HILL LLC FCM BD CME 11/30/2012 682,606,418 44,121,769 638,484,649 554,907,068 552,381,650 2,525,418 0 0 0 0

100 TRADELINK LLC FCM BD CBOT 11/30/2012 13,836,013 1,000,000 12,836,013 0 0 0 0 0 0 0

101 TRADESTATION SECURITIES INC FCM BD NFA 11/30/2012 50,114,495 2,872,026 47,242,469 404,493,088 394,387,886 10,105,202 15,454,231 14,386,120 1,068,111 0

102 TRADITION SECURITIES AND FUTURES INC FCM NFA 11/30/2012 1,559,754 1,000,000 559,754 0 0 0 0 0 0 0

103 UBS FINANCIAL SERVICES INC FCM BD NFA 11/30/2012 1,169,303,990 103,883,091 1,065,420,899 164,631,464 128,424,953 36,206,511 25,579,286 1,562,100 24,017,186 0

104 UBS SECURITIES LLC FCM BD CBOT 11/30/2012 12,463,245,543 821,851,484 11,641,394,059 8,564,632,390 7,988,872,863 575,759,527 3,177,357,419 2,764,067,722 413,289,697 0

105 VELOCITY FUTURES LLC FCM NFA 11/30/2012 1,542,362 1,000,000 542,362 71,640,173 70,642,234 997,939 2,462,519 1,820,574 641,945 0

106 VISION FINANCIAL MARKETS LLC FCM BD CME 11/30/2012 30,418,410 13,985,727 16,432,683 654,386,706 637,819,226 16,567,480 13,600,535 9,963,124 3,637,411 0

107 WELLS FARGO ADVISORS FINANCIAL NETWORK LLC FCM BD NFA 11/30/2012 33,428,981 1,000,000 32,428,981 0 0 0 0 0 0 0

108 WELLS FARGO ADVISORS LLC FCM BD NFA 11/30/2012 1,202,727,632 1,500,000 1,201,227,632 0 0 0 0 0 0 0

109 WELLS FARGO SECURITIES LLC FCM BD CME 11/30/2012 2,383,384,825 10,374,485 2,373,010,340 0 0 0 0 0 0 0

110 WHITE COMMERCIAL CORPORATION FCM NFA 11/30/2012 2,649,543 1,000,000 1,649,543 0 0 0 0 0 0 0

111 XPRESSTRADE LLC RFED NFA 11/30/2012 22,862,905 20,000,000 2,862,905 0 0 0 0 0 0 759,631

112 YORK BUSINESS ASSOCIATES LLC FCM NFA 11/30/2012 3,451,640 1,000,000 2,451,640 62,833,952 60,718,785 2,115,167 2,227,188 1,683,056 544,132 0

Totals 157,547,596,681 147,138,771,090 10,408,825,591 34,351,129,124 30,008,276,033 4,342,853,091 742,103,740

October Web Page Update 113

Additions 0

None

Deletions 1

FOREX CLUB LLC

Name Changes

None

November Web Page Update 112
SELECTED FCM FINANCIAL DATA AS OF 

November 30, 2012

FROM REPORTS FILED BY 

January 02, 2013

4 of 4

1

2

3

4

5

6

A B C D E F G H I J K L M N O

Reg As DSRO A/O Adjusted Net Capital Excess Customers' Customers' Excess/Deficient Funds in Separate Customer Excess/Deficient Total Amount

Date Net Capital Requirement Net Capital Assets Seg Required Funds in Seg Section 30.7 Amount Pt. 30 Funds in Separate of Retail Forex

in Seg 4d(a)(2) Accounts Required Section 30.7 Obligation

Accounts

(a) (b) (c) (d) (e) (f) (g) (h) (i) (j) (k)

Futures Commission Merchant / Retail Foreign Exchange 

Dealer

135

136

137

138

139

140

141

142

143

144

145

146

147

148

149

150

151

152

153

154

155

156

157

158

159

160

161

162

163

164

165

166

(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.

(k): 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.

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

(h): 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.

(i): 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. 

(j): Excess/Deficient funds in separate Section 30.7 accounts is funds in separate Section 30.7 accounts, less the customer amount Part 30 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. 

(c): A firm's net capital requirement is the greater of: 

(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;

 RFED: Retail Foreign Exchange Dealer that is registered with the Commodity Futures Trading Commission;

 FCMRFD: The FCM is also registered with the Commodity Futures Trading Commission as a Retail Foreign Exchange Dealer.