SELECTED FCM FINANCIAL DATA AS OF 

July 31, 2012

FROM REPORTS FILED BY 

September 04, 2012

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

54

55

56

57

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 7/31/2012 300,773,057 162,339,153 138,433,904 2,567,434,201 2,439,732,157 127,702,044 432,151,330 405,946,724 26,204,606 0

2 ADM INVESTOR SERVICES INC FCM CBOT 7/31/2012 284,736,953 167,229,135 117,507,818 3,268,820,577 3,035,927,240 232,893,337 210,177,052 140,171,050 70,006,002 0

3 ADVANCED MARKETS LLC FCMRFD NFA 7/31/2012 20,263,069 20,000,000 263,069 0 0 0 0 0 0 602,090

4 ADVANTAGE FUTURES LLC FCM CME 7/31/2012 20,415,502 12,168,315 8,247,187 440,589,940 433,846,066 6,743,874 44,837,536 42,596,450 2,241,086 0

5 ALPARI (US) LLC FCMRFD NFA 7/31/2012 25,149,030 20,369,581 4,779,449 2,727,084 538,791 2,188,293 265,197 0 265,197 17,391,612

6 AMERIPRISE FINANCIAL SERVICES INC FCM BD NFA 7/31/2012 129,127,050 1,000,000 128,127,050 0 0 0 0 0 0 0

7 AMP GLOBAL CLEARING LLC FCM NFA 7/31/2012 2,369,615 1,500,000 869,615 36,818,104 35,666,678 1,151,426 419,129 2,739 416,390 0

8 BARCLAYS CAPITAL INC FCM BD NYME 7/31/2012 5,794,539,206 937,456,122 4,857,083,084 6,010,262,767 5,781,938,903 228,323,864 3,282,340,517 3,114,025,770 168,314,747 0

9 BGC FINANCIAL LP FCM BD NFA 7/31/2012 57,817,294 1,883,420 55,933,874 0 0 0 0 0 0 0

10 BNP PARIBAS PRIME BROKERAGE INC FCM BD NYME 7/31/2012 2,163,259,385 305,283,940 1,857,975,445 1,606,979,571 1,454,586,825 152,392,746 620,829,386 569,499,987 51,329,399 0

11 BNP PARIBAS SECURITIES CORP FCM BD CBOT 7/31/2012 1,901,950,906 89,254,100 1,812,696,806 477,235,510 392,072,988 85,162,522 0 0 0 0

12 BNY MELLON CLEARING LLC FCM CME 7/31/2012 257,311,180 10,406,563 246,904,617 343,986,247 195,885,544 148,100,703 27,815,647 14,105,576 13,710,071 0

13 BOCI COMMODITIES & FUTURES USA LLC FCM NFA 7/31/2012 4,981,362 1,000,000 3,981,362 0 0 0 0 0 0 0

14 CANTOR FITZGERALD & CO FCM BD CBOT 7/31/2012 249,313,045 8,562,002 240,751,043 6,331,734 1,377,895 4,953,839 0 0 0 0

15 CAPITAL MARKET SERVICES LLC FCM NFA 7/31/2012 2,843,714 1,000,000 1,843,714 0 0 0 0 0 0 0

16 CIBC WORLD MARKETS CORP FCM BD CME 7/31/2012 459,763,103 1,500,000 458,263,103 0 0 0 0 0 0 0

17 CITADEL SECURITIES LLC FCM BD CME 7/31/2012 423,750,422 1,000,000 422,750,422 0 0 0 0 0 0 0

18 CITIGROUP GLOBAL MARKETS INC FCM BD CBOT 7/31/2012 6,608,569,345 717,827,244 5,890,742,101 8,438,345,066 8,149,018,797 289,326,269 1,724,362,778 1,352,093,733 372,269,045 0

19 COMMONWEALTH FOREIGN EXCHANGE INC FCM NFA 7/31/2012 1,793,874 1,000,000 793,874 0 0 0 0 0 0 0

20 COUNTRY HEDGING INC FCM NFA 7/31/2012 23,933,787 18,663,663 5,270,124 282,746,226 262,055,604 20,690,622 1,344,231 535,456 808,775 0

21 CREDIT SUISSE SECURITIES (USA) LLC FCM BD CBOT 7/31/2012 4,998,422,775 1,210,185,414 3,788,237,361 6,677,859,329 5,940,791,776 737,067,553 2,313,096,947 1,955,684,458 357,412,489 0

22 CROSSLAND LLC FCM CBOT 7/31/2012 7,769,262 2,156,398 5,612,864 67,622,651 65,251,031 2,371,620 15,165,997 13,930,136 1,235,861 0

23 CUNNINGHAM COMMODITIES LLC FCM CBOT 7/31/2012 3,159,710 1,419,294 1,740,416 83,336,551 82,107,557 1,228,994 252,698 179,986 72,712 0

24 CX CAPITAL MARKETS LLC FCM BD NFA 7/31/2012 3,356,330 1,000,000 2,356,330 32,960,258 30,925,202 2,035,056 0 0 0 0

25 DAIWA CAPITAL MARKETS AMERICA INC FCM BD CME 7/31/2012 333,544,207 3,894,295 329,649,912 11,024,572 6,352,698 4,671,874 1,024,155 0 1,024,155 0

26 DEUTSCHE BANK SECURITIES INC FCM BD CBOT 7/31/2012 7,487,736,110 545,852,101 6,941,884,009 14,379,827,276 13,780,175,165 599,652,111 1,376,152,526 1,195,045,127 181,107,399 0

27 DORMAN TRADING LLC FCM CME 7/31/2012 9,418,086 1,444,594 7,973,492 133,348,490 131,309,667 2,038,823 2,886,091 1,693,274 1,192,817 0

28 EAGLE MARKET MAKERS INC FCM CBOT 7/31/2012 5,960,890 1,000,000 4,960,890 900,722 366,889 533,833 0 0 0 0

29 EASY FOREX US LTD FCM NFA 7/31/2012 1,517,217 1,000,000 517,217 0 0 0 0 0 0 0

30 ENSKILDA FUTURES LTD FCM CME 7/31/2012 33,778,822 16,621,196 17,157,626 268,508,188 261,663,105 6,845,083 0 0 0 0

31 FCSTONE LLC FCM CME 7/31/2012 118,430,600 84,922,561 33,508,039 1,811,518,191 1,750,624,056 60,894,135 78,962,151 67,455,224 11,506,927 0

32 FOREX CAPITAL MARKETS LLC FCMRFD NFA 7/31/2012 52,570,047 31,916,231 20,653,816 0 0 0 0 0 0 248,324,627

33 FOREX CLUB LLC FCMRFD NFA 7/31/2012 22,184,296 22,000,000 184,296 0 0 0 0 0 0 3,393,173

34 FRIEDBERG MERCANTILE GROUP INC FCM NFA 7/31/2012 2,841,860 1,000,000 1,841,860 11,478,840 8,932,548 2,546,292 928,555 794,644 133,911 0

35 FRONTIER FUTURES INC FCM NFA 7/31/2012 1,978,049 1,000,000 978,049 35,191,474 34,152,161 1,039,313 0 0 0 0

36 FX SOLUTIONS LLC FCMRFD NFA 7/31/2012 28,052,663 20,342,168 7,710,495 0 0 0 0 0 0 16,843,353

37 FXDIRECTDEALER LLC FCMRFD NFA 7/31/2012 25,918,055 21,293,672 4,624,383 0 0 0 0 0 0 35,873,431

38 GAIN CAPITAL GROUP LLC FCMRFD NFA 7/31/2012 57,647,752 24,538,435 33,109,317 0 0 0 0 0 0 100,768,702

39 GH FINANCIALS LLC FCM CME 7/31/2012 8,685,833 1,000,000 7,685,833 905,474 753,758 151,716 0 0 0 0

40 GLOBAL FUTURES & FOREX LTD FCMRFD NFA 7/31/2012 63,812,667 23,815,375 39,997,292 437,527 97,574 339,953 0 0 0 86,307,508

41 GOLDMAN SACHS & CO FCM BD CBOT 7/31/2012 13,778,006,457 1,779,297,013 11,998,709,444 19,051,985,405 18,561,779,051 490,206,354 9,430,749,805 8,924,401,423 506,348,382 0

42 GOLDMAN SACHS EXECUTION & CLEARING LP FCM BD CME 7/31/2012 2,153,269,130 111,693,928 2,041,575,202 1,351,626,227 763,573,608 588,052,619 89,388,250 41,760,727 47,627,523 0

43 GUGGENHEIM SECURITIES LLC FCM BD NFA 7/31/2012 76,889,622 2,217,277 74,672,345 0 0 0 0 0 0 0

44 HSBC SECURITIES USA INC FCM BD CME 7/31/2012 1,135,249,968 93,982,395 1,041,267,573 842,598,090 793,959,009 48,639,081 125,114,970 105,989,818 19,125,152 0

45 IBFX INC RFED NFA 7/31/2012 26,936,337 23,098,041 3,838,296 0 0 0 0 0 0 71,960,820

46 ICAP CORPORATES LLC FCM BD NFA 7/31/2012 47,327,929 1,000,000 46,327,929 0 0 0 0 0 0 0

47 IKON GLOBAL MARKETS INC FCM NFA 7/31/2012 16,637,775 1,000,000 15,637,775 5,718,117 4,639,218 1,078,899 0 0 0 0

48 INSTINET LLC FCM BD NFA 7/31/2012 115,534,097 1,735,097 113,799,000 0 0 0 0 0 0 0

49 INSTITUTIONAL LIQUIDITY LLC FCMRFD NFA 7/31/2012 20,855,898 20,532,571 323,327 0 0 0 0 0 0 20,651,411

50 INTEGRATED BROKERAGE SERVICES LLC FCM NFA 7/31/2012 262,637 1,000,000 -737,363 1,058 0 1,058 0 0 0 0

51 INTERACTIVE BROKERS LLC FCM BD NFA 7/31/2012 1,480,962,895 193,291,021 1,287,671,874 1,718,614,750 1,508,254,440 210,360,310 471,364,080 375,204,990 96,159,090 35,563,314

Futures Commission Merchant / Retail Foreign Exchange 

Dealer
SELECTED FCM FINANCIAL DATA AS OF 

July 31, 2012

FROM REPORTS FILED BY 

September 04, 2012

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

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

101

102

103

104

105

106

107

108

52 IRONBEAM INC FCM NFA 7/31/2012 2,593,704 1,000,000 1,593,704 47,700,303 45,986,251 1,714,052 110,245 6,710 103,535 0

53 ITG DERIVATIVES LLC FCM BD NFA 7/31/2012 4,011,472 1,000,000 3,011,472 0 0 0 0 0 0 0

54 JEFFERIES & COMPANY INC FCM BD NFA 7/31/2012 797,767,827 45,033,117 752,734,710 0 0 0 0 0 0 0

55 JEFFERIES BACHE LLC FCM CBOT 7/31/2012 230,817,000 171,471,360 59,345,640 2,724,367,000 2,594,188,000 130,179,000 601,633,000 534,132,000 67,501,000 0

56 JP MORGAN CLEARING CORP FCM BD NFA 7/31/2012 7,146,601,812 1,950,503,755 5,196,098,057 895,551,966 644,286,340 251,265,626 515,567,818 307,887,509 207,680,309 0

57 JP MORGAN SECURITIES LLC FCM BD CEI 7/31/2012 11,538,515,101 1,455,720,710 10,082,794,391 18,919,011,727 17,122,033,022 1,796,978,705 4,067,439,715 3,649,612,112 417,827,603 0

58 KNIGHT CAPITAL AMERICAS LLC FCM BD CME 7/31/2012 278,921,072 20,720,619 258,200,453 488,052,219 480,116,388 7,935,831 14,923,292 8,421,046 6,502,246 24,412,371

59 LEK SECURITIES CORPORATION FCM BD NFA 7/31/2012 12,184,685 1,500,000 10,684,685 5,918,826 3,866,151 2,052,675 0 0 0 0

60 LINN GROUP THE FCM NFA 7/31/2012 3,687,483 2,029,593 1,657,890 82,189,076 78,257,435 3,931,641 281,391 167,089 114,302 0

61 LIQUID FUTURES LLC FCM NFA 7/31/2012 1,541,070 1,033,000 508,070 0 0 0 0 0 0 0

62 LPL FINANCIAL LLC FCM BD NFA 7/31/2012 131,076,372 6,475,410 124,600,962 0 0 0 0 0 0 0

63 MACQUARIE FUTURES USA LLC FCM CBOT 7/31/2012 93,419,151 60,780,658 32,638,493 748,525,559 646,707,586 101,817,973 106,399,551 102,729,404 3,670,147 0

64 MAREX NORTH AMERICA LLC FCM CME 7/31/2012 12,042,858 6,852,287 5,190,571 102,647,878 96,256,910 6,390,968 6,781,544 5,681,396 1,100,148 0

65 MAREX USA LIMITED FCM NFA 7/31/2012 2,365,383 1,000,000 1,365,383 0 0 0 0 0 0 0

66 MB TRADING FUTURES INC FCMRFD NFA 7/31/2012 23,516,309 21,134,095 2,382,214 0 0 0 0 0 0 32,681,895

67 MBF CLEARING CORP FCM NFA 7/31/2012 2,362,149 1,000,000 1,362,149 0 0 0 0 0 0 0

68 MCVEAN TRADING & INVESTMENTS LLC FCM NFA 7/31/2012 13,923,184 3,936,972 9,986,212 971,909,505 951,820,227 20,089,278 485,499 0 485,499 0

69 MERRILL LYNCH PIERCE FENNER & SMITH FCM BD CBOT 7/31/2012 10,861,670,251 708,733,563 10,152,936,688 8,300,250,655 7,786,299,065 513,951,590 2,597,535,697 2,335,168,978 262,366,719 0

70 MERRILL LYNCH PROFESSIONAL CLEARING CORP FCM BD NFA 7/31/2012 1,678,386,196 249,707,407 1,428,678,789 1,549,493,127 870,314,640 679,178,487 152,089,263 50,398,622 101,690,641 0

71 MID CO COMMODITIES INC FCM NFA 7/31/2012 10,109,403 6,310,257 3,799,146 68,932,582 58,797,350 10,135,232 958,884 357,095 601,789 0

72 MITSUBISHI UFJ SECURITIES USA INC FCM BD NFA 7/31/2012 196,773,940 1,600,486 195,173,454 0 0 0 0 0 0 0

73 MITSUI BUSSAN COMMODITIES USA INC FCM NFA 7/31/2012 3,097,988 1,000,000 2,097,988 0 0 0 0 0 0 0

74 MIZUHO SECURITIES USA INC FCM BD CME 7/31/2012 320,580,014 168,776,947 151,803,067 1,050,611,324 955,384,831 95,226,493 1,404,783,965 1,129,983,175 274,800,790 0

75 MORGAN KEEGAN & COMPANY INC FCM BD NFA 7/31/2012 259,346,538 7,947,238 251,399,300 0 0 0 0 0 0 0

76 MORGAN STANLEY & CO LLC FCM BD CME 7/31/2012 7,112,653,198 1,253,815,257 5,858,837,941 7,623,319,788 7,514,918,882 108,400,906 1,795,084,584 1,688,349,853 106,734,731 0

77 MORGAN STANLEY SMITH BARNEY LLC FCM BD NFA 7/31/2012 2,333,299,759 144,290,236 2,189,009,523 740,988,748 709,455,606 31,533,142 137,572,007 110,935,620 26,636,387 0

78 NATIXIS SECURITIES AMERICAS LLC FCM BD NFA 7/31/2012 339,608,511 1,500,000 338,108,511 0 0 0 0 0 0 0

79 NEUBERGER BERMAN LLC FCM BD NFA 7/31/2012 24,407,902 1,500,000 22,907,902 0 0 0 0 0 0 0

80 NEWEDGE USA LLC FCM BD NYME 7/31/2012 1,886,212,459 1,222,322,231 663,890,228 17,668,750,509 17,075,454,381 593,296,128 6,414,575,015 5,799,134,851 615,440,164 0

81 NOMURA SECURITIES INTERNATIONAL INC FCM BD CBOT 7/31/2012 2,099,518,833 36,077,558 2,063,441,275 77,315,773 57,555,937 19,759,836 1,366,888 179,950 1,186,938 0

82 OANDA CORPORATION FCMRFD NFA 7/31/2012 149,719,746 27,607,980 122,111,766 0 0 0 0 0 0 162,159,602

83 OPEN E CRY LLC FCM NFA 7/31/2012 2,272,234 1,186,759 1,085,475 105,025,956 101,817,019 3,208,937 3,753,965 2,960,067 793,898 0

84 OPPENHEIMER & CO INC FCM BD NFA 7/31/2012 146,742,905 23,120,372 123,622,533 33,749,765 20,205,784 13,543,981 0 0 0 0

85 OPTIONSXPRESS INC FCM BD NFA 7/31/2012 73,907,818 5,083,765 68,824,053 97,861,528 82,489,273 15,372,255 7,208,738 3,202,120 4,006,618 0

86 PHILLIP FUTURES INC FCM CME 7/31/2012 28,768,024 4,172,801 24,595,223 106,720,502 83,308,630 23,411,872 4,799,994 0 4,799,994 0

87 PIONEER FUTURES INC FCM NFA 7/31/2012 1,753,861 1,000,000 753,861 0 0 0 0 0 0 0

88 RAND FINANCIAL SERVICES INC FCM CME 7/31/2012 75,577,769 24,982,316 50,595,453 456,160,500 412,319,000 43,841,500 43,948,700 22,467,500 21,481,200 0

89 RAYMOND JAMES & ASSOCIATES INC FCM BD NFA 7/31/2012 331,399,500 31,777,903 299,621,597 0 0 0 0 0 0 0

90 RBC CAPITAL MARKETS LLC FCM BD CME 7/31/2012 1,481,123,323 89,417,897 1,391,705,426 670,663,881 621,268,354 49,395,527 97,688,278 67,900,591 29,787,687 0

91 RBS SECURITIES INC FCM BD CBOT 7/31/2012 4,059,387,843 224,821,370 3,834,566,473 1,949,976,648 1,813,500,514 136,476,134 166,263,428 49,764,199 116,499,229 0

92 RJ OBRIEN ASSOCIATES LLC FCM CME 7/31/2012 206,277,405 151,606,067 54,671,338 4,199,278,924 4,087,673,168 111,605,756 251,521,900 205,503,180 46,018,720 1,750,862

93 ROSENTHAL COLLINS GROUP LLC FCM CME 7/31/2012 95,530,834 73,152,726 22,378,108 1,832,204,671 1,810,247,007 21,957,664 102,052,841 92,110,217 9,942,624 0

94 SANFORD C BERNSTEIN & CO LLC FCM BD NFA 7/31/2012 156,388,158 16,836,224 139,551,934 0 0 0 0 0 0 0

95 SANTANDER INVESTMENT SECURITIES INC FCM BD NYME 7/31/2012 187,574,447 9,548,479 178,025,968 470,273,976 467,968,584 2,305,392 0 0 0 0

96 STATE STREET GLOBAL MARKETS LLC FCM BD CME 7/31/2012 459,003,934 6,007,631 452,996,303 257,392,697 65,259,072 192,133,625 56,065,400 16,389,426 39,675,974 0

97 STEPHENS INC FCM BD NFA 7/31/2012 92,310,174 15,574,407 76,735,767 0 0 0 0 0 0 0

98 STRAITS FINANCIAL LLC FCM CME 7/31/2012 9,548,280 2,023,210 7,525,070 72,011,583 67,698,060 4,313,523 9,153,732 7,527,850 1,625,882 0

99 TD AMERITRADE INC FCM BD NFA 7/31/2012 241,661,112 7,309,723 234,351,389 124,794,992 100,609,161 24,185,831 0 0 0 0

100 TIMBER HILL LLC FCM BD CME 7/31/2012 626,587,102 37,123,145 589,463,957 500,769,543 498,244,042 2,525,501 0 0 0 0

101 TRADELINK LLC FCM BD CBOT 7/31/2012 13,738,520 1,000,000 12,738,520 0 0 0 0 0 0 0

102 TRADESTATION SECURITIES INC FCM BD NFA 7/31/2012 50,406,410 3,107,690 47,298,720 422,873,319 412,658,830 10,214,489 15,081,738 14,080,740 1,000,998 0
SELECTED FCM FINANCIAL DATA AS OF 

July 31, 2012

FROM REPORTS FILED BY 

September 04, 2012

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

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

135

136

137

103 TRADITION SECURITIES AND FUTURES INC FCM NFA 7/31/2012 1,514,925 1,000,000 514,925 0 0 0 0 0 0 0

104 UBS FINANCIAL SERVICES INC FCM BD NFA 7/31/2012 1,211,488,129 110,079,990 1,101,408,139 147,921,494 120,985,979 26,935,515 25,552,500 3,072,408 22,480,092 0

105 UBS SECURITIES LLC FCM BD CBOT 7/31/2012 12,886,820,403 882,207,120 12,004,613,283 9,186,452,188 8,583,057,448 603,394,740 4,804,075,814 4,340,594,720 463,481,094 0

106 VELOCITY FUTURES LLC FCM NFA 7/31/2012 1,608,237 1,000,000 608,237 58,638,135 57,591,865 1,046,270 13,678,761 13,067,814 610,947 0

107 VISION FINANCIAL MARKETS LLC FCM BD CME 7/31/2012 21,475,357 11,301,183 10,174,174 506,308,495 490,423,851 15,884,644 11,135,776 8,368,480 2,767,296 0

108 WELLS FARGO ADVISORS FINANCIAL NETWORK LLC FCM BD NFA 7/31/2012 35,423,309 1,000,000 34,423,309 0 0 0 0 0 0 0

109 WELLS FARGO ADVISORS LLC FCM BD NFA 7/31/2012 1,278,867,070 1,500,000 1,277,367,070 0 0 0 0 0 0 0

110 WELLS FARGO SECURITIES LLC FCM BD CME 7/31/2012 2,396,750,473 28,610,864 2,368,139,609 0 0 0 0 0 0 0

111 WHITE COMMERCIAL CORPORATION FCM NFA 7/31/2012 2,556,402 1,000,000 1,556,402 0 0 0 0 0 0 0

112 XPRESSTRADE LLC RFED NFA 7/31/2012 22,853,078 20,000,000 2,853,078 0 0 0 0 0 0 972,798

113 YORK BUSINESS ASSOCIATES LLC FCM NFA 7/31/2012 3,027,960 1,000,000 2,027,960 66,892,576 64,602,933 2,289,643 2,263,761 1,493,144 770,617 0

Totals 153,299,248,155 143,561,983,577 9,737,264,578 43,681,462,712 38,892,765,158 4,788,697,554 859,657,569

June Web Page Update 114

Additions 0

None

Deletions 1

TENCO INC

Name Change

KNIGHT EXECUTION AND CLEARING SERVICES LLC to

KNIGHT CAPITAL AMERICAS LLC

July Web Page Update 113
SELECTED FCM FINANCIAL DATA AS OF 

July 31, 2012

FROM REPORTS FILED BY 

September 04, 2012

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

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

(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.

(b): DSRO: Designated Self-Regulatory Organization. 

(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 

•  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.

(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.

(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.