SELECTED FCM FINANCIAL DATA AS OF 

April 30, 2012

FROM REPORTS FILED BY 

June 04, 2012

1 of 3

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

54

55

56

57

58

59

60

61

62

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 4/30/2012 289,577,908 158,554,140 131,023,768 2,329,878,225 2,266,475,854 63,402,371 466,956,585 451,606,140 15,350,445 0

2 ADM INVESTOR SERVICES INC FCM CBOT 4/30/2012 269,956,721 149,261,409 120,695,312 3,074,720,878 2,714,760,793 359,960,085 206,844,913 151,658,025 55,186,888 107,982

3 ADVANCED MARKETS LLC FCMRFD NFA 4/30/2012 20,388,886 20,000,000 388,886 0 0 0 0 0 0 747,614

4 ADVANTAGE FUTURES LLC FCM CME 4/30/2012 21,838,030 11,951,930 9,886,100 455,170,685 440,488,855 14,681,830 44,471,927 42,730,624 1,741,303 0

5 ALPARI (US) LLC FCMRFD NFA 4/30/2012 21,059,569 20,137,205 922,364 609,729 384,477 225,252 0 0 0 12,744,095

6 AMERIPRISE FINANCIAL SERVICES INC FCM BD NFA 4/30/2012 94,323,740 1,000,000 93,323,740 0 0 0 0 0 0 0

7 AMP GLOBAL CLEARING LLC FCM NFA 4/30/2012 2,324,952 1,500,000 824,952 35,999,638 34,608,060 1,391,578 315,479 10,804 304,675 0

8 BARCLAYS CAPITAL INC FCM BD NYME 4/30/2012 5,684,245,751 1,015,929,928 4,668,315,823 6,399,441,605 6,182,797,013 216,644,592 3,859,807,631 3,679,344,989 180,462,642 0

9 BGC FINANCIAL LP FCM BD NFA 4/30/2012 60,717,568 1,000,000 59,717,568 0 0 0 0 0 0 0

10 BNP PARIBAS PRIME BROKERAGE INC FCM BD NYME 4/30/2012 2,218,924,472 312,827,696 1,906,096,776 1,640,077,255 1,441,231,211 198,846,044 645,771,689 586,365,113 59,406,576 0

11 BNP PARIBAS SECURITIES CORP FCM BD CBOT 4/30/2012 1,980,470,420 98,078,575 1,882,391,845 530,349,961 441,774,687 88,575,274 0 0 0 0

12 BNY MELLON CLEARING LLC FCM CME 4/30/2012 263,182,380 5,113,112 258,069,268 277,442,781 129,325,236 148,117,545 1,898,932 602,465 1,296,467 0

13 BOCI COMMODITIES & FUTURES USA LLC FCM NFA 4/30/2012 4,991,483 1,000,000 3,991,483 0 0 0 0 0 0 0

14 CANTOR FITZGERALD & CO FCM BD CBOT 4/30/2012 209,707,360 8,858,305 200,849,055 10,130,308 5,206,675 4,923,633 0 0 0 0

15 CAPITAL MARKET SERVICES LLC FCM NFA 4/30/2012 2,356,540 1,000,000 1,356,540 0 0 0 0 0 0 0

16 CIBC WORLD MARKETS CORP FCM BD CME 4/30/2012 500,688,865 1,500,000 499,188,865 0 0 0 0 0 0 0

17 CITADEL SECURITIES LLC FCM BD CME 4/30/2012 376,817,295 1,000,000 375,817,295 0 0 0 0 0 0 0

18 CITIGROUP GLOBAL MARKETS INC FCM BD CBOT 4/30/2012 7,295,350,818 765,569,574 6,529,781,244 9,010,752,785 8,767,846,376 242,906,409 1,949,669,593 1,555,074,597 394,594,996 0

19 COMMONWEALTH FOREIGN EXCHANGE INC FCM NFA 4/30/2012 1,835,161 1,000,000 835,161 0 0 0 0 0 0 0

20 COUNTRY HEDGING INC FCM NFA 4/30/2012 20,516,459 13,148,124 7,368,335 168,805,173 150,051,336 18,753,837 689,685 546,487 143,198 0

21 CREDIT SUISSE SECURITIES (USA) LLC FCM BD CBOT 4/30/2012 8,202,173,337 1,199,079,736 7,003,093,601 6,649,193,379 5,958,360,405 690,832,974 2,524,202,688 2,114,223,993 409,978,695 0

22 CROSSLAND LLC FCM CBOT 4/30/2012 7,462,789 4,799,048 2,663,741 97,121,127 94,048,859 3,072,268 25,318,621 23,880,407 1,438,214 0

23 CUNNINGHAM COMMODITIES LLC FCM CBOT 4/30/2012 2,701,047 1,586,618 1,114,429 70,294,379 68,958,499 1,335,880 1,286,967 1,207,554 79,413 0

24 CX CAPITAL MARKETS LLC FCM BD NFA 4/30/2012 3,376,794 1,000,000 2,376,794 30,808,469 28,919,350 1,889,119 0 0 0 0

25 DAIWA CAPITAL MARKETS AMERICA INC FCM BD CME 4/30/2012 316,425,264 3,927,264 312,498,000 11,445,691 6,820,616 4,625,075 1,066,778 0 1,066,778 0

26 DEUTSCHE BANK SECURITIES INC FCM BD CBOT 4/30/2012 8,192,369,152 633,449,295 7,558,919,857 15,042,461,471 14,566,659,072 475,802,399 1,720,544,768 1,413,907,882 306,636,886 0

27 DORMAN TRADING LLC FCM CME 4/30/2012 9,511,102 1,854,524 7,656,578 133,116,222 131,565,059 1,551,163 4,081,182 2,230,554 1,850,628 0

28 EAGLE MARKET MAKERS INC FCM CBOT 4/30/2012 6,202,123 1,000,000 5,202,123 716,704 348,067 368,637 0 0 0 0

29 EASY FOREX US LTD FCM NFA 4/30/2012 1,599,908 1,000,000 599,908 0 0 0 0 0 0 0

30 ENSKILDA FUTURES LTD FCM CME 4/30/2012 40,681,534 18,685,399 21,996,135 254,272,694 248,204,508 6,068,186 0 0 0 0

31 FCSTONE LLC FCM CME 4/30/2012 103,286,065 67,306,388 35,979,677 1,439,114,238 1,390,904,626 48,209,612 75,395,417 66,835,634 8,559,783 0

32 FOREX CAPITAL MARKETS LLC FCMRFD NFA 4/30/2012 37,300,522 27,138,188 10,162,334 0 0 0 0 0 0 152,763,756

33 FOREX CLUB LLC FCMRFD NFA 4/30/2012 22,049,314 20,000,000 2,049,314 0 0 0 0 0 0 3,260,876

34 FRIEDBERG MERCANTILE GROUP INC FCM NFA 4/30/2012 2,785,157 1,000,000 1,785,157 12,732,779 10,166,049 2,566,730 844,698 693,560 151,138 0

35 FRONTIER FUTURES INC FCM NFA 4/30/2012 1,918,962 1,000,000 918,962 30,279,859 29,405,730 874,129 0 0 0 0

36 FX SOLUTIONS LLC FCMRFD NFA 4/30/2012 26,479,415 20,391,798 6,087,617 0 0 0 0 0 0 17,835,963

37 FXDIRECTDEALER LLC FCMRFD NFA 4/30/2012 23,640,224 21,487,175 2,153,049 0 0 0 0 0 0 39,743,498

38 GAIN CAPITAL GROUP LLC FCMRFD NFA 4/30/2012 49,636,362 24,706,718 24,929,644 0 0 0 0 0 0 104,134,362

39 GH FINANCIALS LLC FCM CME 4/30/2012 8,796,823 1,000,000 7,796,823 755,531 647,745 107,786 0 0 0 0

40 GLOBAL FUTURES & FOREX LTD FCMRFD NFA 4/30/2012 69,468,438 23,857,358 45,611,080 447,684 107,723 339,961 0 0 0 87,147,164

41 GOLDMAN SACHS & CO FCM BD CBOT 4/30/2012 13,416,695,211 1,788,399,650 11,628,295,561 19,458,248,932 18,954,132,123 504,116,809 9,510,075,446 9,010,112,055 499,963,391 0

42 GOLDMAN SACHS EXECUTION & CLEARING LP FCM BD CME 4/30/2012 2,162,051,933 140,310,647 2,021,741,286 1,365,506,950 774,074,874 591,432,076 80,663,032 34,598,998 46,064,034 0

43 GUGGENHEIM SECURITIES LLC FCM BD NFA 4/30/2012 65,675,259 2,211,732 63,463,527 0 0 0 0 0 0 0

44 HSBC SECURITIES USA INC FCM BD CME 4/30/2012 1,166,571,037 96,062,643 1,070,508,394 866,726,838 799,707,003 67,019,835 138,826,038 107,684,674 31,141,364 0

45 ICAP CORPORATES LLC FCM BD NFA 4/30/2012 50,202,954 1,695,833 48,507,121 0 0 0 0 0 0 0

46 IKON GLOBAL MARKETS INC FCM NFA 4/30/2012 9,907,867 1,000,000 8,907,867 3,885,426 2,999,118 886,308 0 0 0 0

47 INSTINET LLC FCM BD NFA 4/30/2012 118,371,672 1,740,848 116,630,824 0 0 0 0 0 0 0

48 INSTITUTIONAL LIQUIDITY LLC FCMRFD NFA 4/30/2012 21,385,148 20,122,252 1,262,896 0 0 0 0 0 0 12,445,037

49 INTEGRATED BROKERAGE SERVICES LLC FCM NFA 4/30/2012 1,313,961 1,000,000 313,961 1,058 0 1,058 0 0 0 0

50 INTERACTIVE BROKERS LLC FCM BD NFA 4/30/2012 1,533,980,125 199,733,745 1,334,246,380 1,671,123,770 1,465,608,763 205,515,007 491,578,292 385,555,743 106,022,549 43,190,941

51 IRONBEAM INC FCM NFA 4/30/2012 3,010,532 1,000,000 2,010,532 45,844,017 44,202,261 1,641,756 113,866 13,057 100,809 0

52 ITG DERIVATIVES LLC FCM BD NFA 4/30/2012 3,880,320 1,000,000 2,880,320 0 0 0 0 0 0 0

53 JEFFERIES & COMPANY INC FCM BD NFA 4/30/2012 770,359,683 48,866,834 721,492,849 0 0 0 0 0 0 0

54 JEFFERIES BACHE LLC FCM CBOT 4/30/2012 232,742,000 148,756,240 83,985,760 2,367,996,000 2,242,050,000 125,946,000 467,861,000 395,280,000 72,581,000 0

55 JP MORGAN CLEARING CORP FCM BD NFA 4/30/2012 7,411,663,112 2,126,923,340 5,284,739,772 772,223,579 524,999,087 247,224,492 508,256,963 302,268,641 205,988,322 0

56 JP MORGAN SECURITIES LLC FCM BD CEI 4/30/2012 11,399,444,315 1,484,773,773 9,914,670,542 18,824,073,117 17,070,726,985 1,753,346,132 4,209,567,393 3,832,979,609 376,587,784 0

Futures Commission Merchant / Retail Foreign Exchange 

Dealer
SELECTED FCM FINANCIAL DATA AS OF 

April 30, 2012

FROM REPORTS FILED BY 

June 04, 2012

2 of 3

6

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

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

101

102

103

104

105

106

107

108

109

110

111

112

113

114

115

116

117

118

119

120

121

122

123

57 LEK SECURITIES CORPORATION FCM BD NFA 4/30/2012 9,159,681 1,500,000 7,659,681 5,462,770 4,063,905 1,398,865 0 0 0 0

58 LINN GROUP THE FCM NFA 4/30/2012 2,870,028 1,733,838 1,136,190 68,206,960 64,888,051 3,318,909 345,844 191,780 154,064 0

59 LIQUID FUTURES LLC FCM NFA 4/30/2012 1,432,386 1,024,000 408,386 0 0 0 0 0 0 0

60 LPL FINANCIAL LLC FCM BD NFA 4/30/2012 126,735,660 6,156,896 120,578,764 0 0 0 0 0 0 0

61 MACQUARIE FUTURES USA LLC FCM CBOT 4/30/2012 141,392,525 55,115,053 86,277,472 714,551,999 618,407,523 96,144,476 129,505,728 77,544,643 51,961,085 0

62 MAREX NORTH AMERICA LLC FCM CME 4/30/2012 14,309,910 7,979,242 6,330,668 118,418,325 111,375,603 7,042,722 6,831,511 6,003,638 827,873 0

63 MAREX USA LIMITED FCM NFA 4/30/2012 3,156,730 1,000,000 2,156,730 0 0 0 0 0 0 0

64 MB TRADING FUTURES INC FCMRFD NFA 4/30/2012 23,730,634 21,166,968 2,563,666 0 0 0 0 0 0 33,339,357

65 MBF CLEARING CORP FCM NFA 4/30/2012 1,775,053 1,000,000 775,053 0 0 0 0 0 0 0

66 MCVEAN TRADING & INVESTMENTS LLC FCM NFA 4/30/2012 13,822,762 3,998,764 9,823,998 890,402,073 868,576,975 21,825,098 391,789 0 391,789 0

67 MERRILL LYNCH PIERCE FENNER & SMITH FCM BD CBOT 4/30/2012 10,718,465,931 690,043,551 10,028,422,380 8,433,934,739 7,897,355,854 536,578,885 2,399,163,568 2,144,808,735 254,354,833 0

68 MERRILL LYNCH PROFESSIONAL CLEARING CORP FCM BD NFA 4/30/2012 1,844,163,483 195,778,138 1,648,385,345 1,614,058,855 952,472,865 661,585,990 147,489,477 45,766,888 101,722,589 0

69 MID CO COMMODITIES INC FCM NFA 4/30/2012 9,983,006 4,802,219 5,180,787 38,758,410 28,830,462 9,927,948 777,692 373,021 404,671 0

70 MITSUBISHI UFJ SECURITIES USA INC FCM BD NFA 4/30/2012 232,668,328 1,054,818 231,613,510 0 0 0 0 0 0 0

71 MITSUI BUSSAN COMMODITIES USA INC FCM NFA 4/30/2012 2,959,908 1,000,000 1,959,908 0 0 0 0 0 0 0

72 MIZUHO SECURITIES USA INC FCM BD CME 4/30/2012 363,762,296 125,153,081 238,609,215 971,757,806 856,255,258 115,502,548 804,879,574 696,349,028 108,530,546 0

73 MORGAN KEEGAN & COMPANY INC FCM BD NFA 4/30/2012 261,837,840 7,841,707 253,996,133 0 0 0 0 0 0 0

74 MORGAN STANLEY & CO LLC FCM BD CME 4/30/2012 8,025,640,640 1,162,864,612 6,862,776,028 5,977,441,912 5,874,386,595 103,055,317 1,828,933,510 1,726,013,070 102,920,440 0

75 MORGAN STANLEY SMITH BARNEY LLC FCM BD NFA 4/30/2012 1,415,049,743 39,401,242 1,375,648,501 467,703,959 424,479,543 43,224,416 1,644,685,081 1,618,282,195 26,402,886 0

76 NATIXIS SECURITIES AMERICAS LLC FCM BD NFA 4/30/2012 364,170,837 1,500,000 362,670,837 0 0 0 0 0 0 0

77 NEUBERGER BERMAN LLC FCM BD NFA 4/30/2012 39,719,538 1,500,000 38,219,538 0 0 0 0 0 0 0

78 NEWEDGE USA LLC FCM BD NYME 4/30/2012 2,222,107,150 1,308,784,357 913,322,793 17,557,442,487 16,650,026,217 907,416,270 6,986,701,144 6,097,332,809 889,368,335 0

79 NOMURA SECURITIES INTERNATIONAL INC FCM BD CBOT 4/30/2012 2,106,748,544 61,281,522 2,045,467,022 82,939,827 62,643,941 20,295,886 1,222,245 181,176 1,041,069 0

80 OANDA CORPORATION FCMRFD NFA 4/30/2012 131,948,887 29,018,507 102,930,380 0 0 0 0 0 0 190,370,147

81 OPEN E CRY LLC FCM NFA 4/30/2012 2,513,336 1,235,063 1,278,273 101,277,127 97,553,561 3,723,566 3,309,779 2,885,595 424,184 0

82 OPPENHEIMER & CO INC FCM BD NFA 4/30/2012 145,769,064 24,138,016 121,631,048 34,348,225 21,269,481 13,078,744 0 0 0 0

83 OPTIONSXPRESS INC FCM BD NFA 4/30/2012 69,919,234 5,170,108 64,749,126 101,956,618 92,044,373 9,912,245 6,276,410 5,690,188 586,222 0

84 PENSON FINANCIAL SERVICES INC FCM BD CBOT 4/30/2012 117,321,179 26,438,612 90,882,567 494,157,355 477,532,264 16,625,091 26,034,363 19,713,733 6,320,630 32,313,315

85 PEREGRINE FINANCIAL GROUP INC FCM NFA 4/30/2012 30,703,127 21,169,378 9,533,749 401,931,708 396,973,530 4,958,178 32,079,975 30,346,860 1,733,115 33,387,563

86 PHILLIP FUTURES INC FCM CME 4/30/2012 9,202,841 2,891,877 6,310,964 60,835,866 52,275,228 8,560,638 99,991 0 99,991 0

87 PIONEER FUTURES INC FCM NFA 4/30/2012 1,702,726 1,000,000 702,726 0 0 0 0 0 0 0

88 RAND FINANCIAL SERVICES INC FCM CME 4/30/2012 74,683,417 13,964,544 60,718,873 181,912,000 142,615,100 39,296,900 56,466,500 34,618,700 21,847,800 0

89 RAYMOND JAMES & ASSOCIATES INC FCM BD NFA 4/30/2012 319,779,650 30,623,748 289,155,902 0 0 0 0 0 0 0

90 RBC CAPITAL MARKETS LLC FCM BD CME 4/30/2012 1,372,860,295 91,384,322 1,281,475,973 772,258,652 725,953,008 46,305,644 89,044,705 60,651,323 28,393,382 0

91 RBS SECURITIES INC FCM BD CBOT 4/30/2012 3,538,384,499 235,160,669 3,303,223,830 1,946,330,591 1,814,146,726 132,183,865 191,823,911 76,214,032 115,609,879 0

92 RJ OBRIEN ASSOCIATES LLC FCM CME 4/30/2012 184,629,930 133,010,766 51,619,164 3,669,511,868 3,572,818,218 96,693,650 214,527,706 176,334,843 38,192,863 2,058,324

93 ROSENTHAL COLLINS GROUP LLC FCM CME 4/30/2012 80,613,992 61,964,186 18,649,806 1,580,268,570 1,559,683,568 20,585,002 96,541,640 85,935,641 10,605,999 0

94 SANFORD C BERNSTEIN & CO LLC FCM BD NFA 4/30/2012 135,324,190 15,649,591 119,674,599 0 0 0 0 0 0 0

95 SANTANDER INVESTMENT SECURITIES INC FCM BD NYME 4/30/2012 100,303,957 11,350,567 88,953,390 530,821,889 528,494,046 2,327,843 0 0 0 0

96 STATE STREET GLOBAL MARKETS LLC FCM BD CME 4/30/2012 446,807,640 9,503,562 437,304,078 325,336,505 82,470,561 242,865,944 107,942,964 12,405,974 95,536,990 0

97 STEPHENS INC FCM BD NFA 4/30/2012 89,288,959 13,500,057 75,788,902 0 0 0 0 0 0 0

98 STERLING COMMODITIES CORP FCM NFA 4/30/2012 1,917,629 1,000,000 917,629 0 0 0 0 0 0 0

99 STRAITS FINANCIAL LLC FCM CME 4/30/2012 7,068,838 2,163,728 4,905,110 53,540,517 49,532,859 4,007,658 7,864,884 6,272,651 1,592,233 0

100 TD AMERITRADE INC FCM BD NFA 4/30/2012 337,015,286 5,660,917 331,354,369 95,855,367 76,079,880 19,775,487 0 0 0 0

101 TENCO INC FCM CBOT 4/30/2012 55,463,667 7,228,317 48,235,350 227,334,348 211,897,446 15,436,902 189,980 62,702 127,278 0

102 TIMBER HILL LLC FCM BD CME 4/30/2012 836,249,994 40,605,411 795,644,583 538,406,957 535,881,842 2,525,115 0 0 0 0

103 TRADELINK LLC FCM BD CBOT 4/30/2012 12,477,097 1,000,000 11,477,097 0 0 0 0 0 0 0

104 TRADESTATION FOREX INC. RFED NFA 4/30/2012 25,173,900 22,956,690 2,217,210 0 0 0 0 0 0 69,133,804

105 TRADESTATION SECURITIES INC FCM BD NFA 4/30/2012 48,888,812 3,288,383 45,600,429 424,761,909 414,834,989 9,926,920 15,100,300 14,070,575 1,029,725 0

106 TRADITION SECURITIES AND FUTURES INC FCM NFA 4/30/2012 1,514,665 1,000,000 514,665 0 0 0 0 0 0 0

107 UBS FINANCIAL SERVICES INC FCM BD NFA 4/30/2012 1,128,643,145 110,449,566 1,018,193,579 194,016,606 159,334,875 34,681,731 22,438,533 3,306,527 19,132,006 0

108 UBS SECURITIES LLC FCM BD CBOT 4/30/2012 12,582,334,177 964,544,449 11,617,789,728 9,619,530,899 8,989,623,294 629,907,605 5,073,264,488 4,670,555,012 402,709,476 0

109 VELOCITY FUTURES LLC FCM NFA 4/30/2012 1,678,123 1,000,000 678,123 66,007,225 64,998,180 1,009,045 14,229,075 13,430,547 798,528 0

110 VISION FINANCIAL MARKETS LLC FCM BD CME 4/30/2012 19,990,952 11,345,972 8,644,980 491,019,333 477,383,540 13,635,793 8,098,707 5,497,668 2,601,039 0

111 WELLS FARGO ADVISORS FINANCIAL NETWORK LLC FCM BD NFA 4/30/2012 45,594,318 1,000,000 44,594,318 0 0 0 0 0 0 0

112 WELLS FARGO ADVISORS LLC FCM BD NFA 4/30/2012 988,278,042 1,500,000 986,778,042 0 0 0 0 0 0 0

113 WELLS FARGO SECURITIES LLC FCM BD CME 4/30/2012 2,194,199,865 11,117,811 2,183,082,054 0 0 0 0 0 0 0

114 WHITE COMMERCIAL CORPORATION FCM NFA 4/30/2012 2,394,218 1,000,000 1,394,218 0 0 0 0 0 0 0

115 XPRESSTRADE LLC RFED NFA 4/30/2012 22,987,039 20,000,000 2,987,039 0 0 0 0 0 0 962,423

116 YORK BUSINESS ASSOCIATES LLC FCM NFA 4/30/2012 1,934,397 1,000,000 934,397 74,407,999 71,684,278 2,723,721 2,297,281 1,698,444 598,837 0
SELECTED FCM FINANCIAL DATA AS OF 

April 30, 2012

FROM REPORTS FILED BY 

June 04, 2012

3 of 3

6

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

124

125

126

127

128

129

130

131

132

133

134

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

167

168

169

170

Totals 152,008,677,193 142,017,410,734 9,991,266,459 46,854,667,938 41,791,949,603 5,062,718,335 835,686,221

March Web Page Update 116

Additions 0

Deletions 0

Name Change

None

April Web Page Update 116

(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.