SELECTED FCM FINANCIAL DATA AS OF 

September 30, 2014

FROM REPORTS FILED BY 

October 31, 2014

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A B C D E F G H I J K L M N O P Q R S T U

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 9/30/2014 486,598,800 151,381,314 335,217,486 2,674,478,712 2,402,840,589 271,638,123 124,253,052 203,096,595 158,036,141 45,060,454 23,705,421 0 0 0 0 0

2 ADM INVESTOR SERVICES INC FCM CBOT 9/30/2014 291,202,091 153,991,137 137,210,954 3,771,985,433 3,515,041,022 256,944,411 120,000,000 269,367,239 200,447,775 68,919,464 20,000,000 11,753,153 2,145,874 9,607,279 8,000,000 0

3 ADVANTAGE FUTURES LLC FCM CME 9/30/2014 22,985,514 13,082,111 9,903,403 515,343,519 501,530,639 13,812,880 8,000,000 47,683,641 45,628,362 2,055,279 1,000,000 0 0 0 0 0

4 AMP GLOBAL CLEARING LLC FCM NFA 9/30/2014 2,637,019 1,500,000 1,137,019 55,334,707 53,920,504 1,414,203 900,000 1,165,724 804,318 361,406 150,000 0 0 0 0 0

5 BARCLAYS CAPITAL INC FCM BD NYME 9/30/2014 7,807,043,828 1,401,304,665 6,405,739,163 6,373,238,035 6,014,048,603 359,189,432 212,897,321 3,899,117,994 3,748,132,408 150,985,586 130,809,821 6,908,420,367 5,838,798,550 1,069,621,817 543,592,145 0

6 BGC FINANCIAL LP FCM BD NFA 9/30/2014 53,350,507 2,008,080 51,342,427 0 0 0 0 0 0 0 0 0 0 0 0 0

7 BNP PARIBAS PRIME BROKERAGE INC FCM BD NYME 9/30/2014 3,315,377,087 203,481,333 3,111,895,754 3,003,227,900 2,682,126,066 321,101,834 268,212,607 17,427,068 2,345,595 15,081,473 10,000,000 13,374,150 3,274,894 10,099,256 5,000,000 0

8 BNP PARIBAS SECURITIES CORP FCM BD CBOT 9/30/2014 1,645,328,113 235,269,931 1,410,058,182 1,144,420,322 915,437,022 228,983,300 183,087,404 39,845,106 13,155,191 26,689,915 1,315,519 517,887,199 447,601,313 70,285,886 44,760,131 0

9 BOCI COMMODITIES & FUTURES USA LLC FCM CME 9/30/2014 13,484,191 1,000,000 12,484,191 203 0 203 1 184 0 184 1 6 0 6 1 0

10 CANTOR FITZGERALD & CO FCM BD CBOT 9/30/2014 248,584,716 7,782,417 240,802,299 4,969,921 0 4,969,921 3,000,000 0 0 0 0 0 0 0 0 0

11 CHS HEDGING LLC FCM CBOT 9/30/2014 26,837,351 10,323,011 16,514,340 188,463,908 161,263,288 27,200,620 13,100,000 942,646 214,986 727,660 235,000 1,439,309 763,110 676,199 310,000 0

12 CITIGROUP GLOBAL MARKETS INC FCM BD SD CBOT/NFA 9/30/2014 5,028,801,680 1,047,604,098 3,981,197,582 5,770,839,537 5,470,861,429 299,978,108 257,400,000 1,250,533,466 958,460,665 292,072,801 150,000,000 5,984,406,865 5,628,444,990 355,961,875 278,500,000 0

13 CREDIT SUISSE SECURITIES (USA) LLC FCM BD CBOT 9/30/2014 7,291,387,108 2,498,915,182 4,792,471,926 9,636,035,729 8,741,877,425 894,158,304 437,093,871 3,195,797,054 2,695,936,167 499,860,887 134,796,808 10,375,114,155 8,358,681,224 2,016,432,931 417,934,061 0

14 CUNNINGHAM COMMODITIES LLC FCM CBOT 9/30/2014 5,566,200 1,760,351 3,805,849 77,468,175 72,920,055 4,548,120 3,050,000 517,590 246,529 271,061 100,000 0 0 0 0 0

15 DAIWA CAPITAL MARKETS AMERICA INC FCM BD CME 9/30/2014 508,416,794 9,365,713 499,051,081 8,094,785 2,624,679 5,470,106 2,624,679 593,747 0 593,747 1 0 0 0 0 0

16 DEUTSCHE BANK SECURITIES INC FCM BD CBOT 9/30/2014 10,092,684,422 675,386,822 9,417,297,600 11,881,511,392 11,332,306,574 549,204,818 500,000,000 1,246,282,826 995,807,492 250,475,334 200,000,000 1,828,032,863 1,558,219,420 269,813,443 250,000,000 0

17 DORMAN TRADING LLC FCM CME 9/30/2014 9,571,580 2,842,204 6,729,376 176,876,919 173,220,083 3,656,836 2,000,000 3,577,013 3,012,871 564,142 200,000 0 0 0 0 0

18 E D & F MAN CAPITAL MARKETS INC FCM BD CME 9/30/2014 50,617,877 17,043,020 33,574,857 605,473,875 587,081,335 18,392,540 9,000,000 41,894,714 39,747,256 2,147,458 1,000,000 0 0 0 0 0

19 E TRADE CLEARING LLC FCM BD NFA 9/30/2014 771,629,718 174,921,563 596,708,155 54,984,897 42,564,369 12,420,528 10,000,000 1,412,636 403,557 1,009,079 1,000,000 0 0 0 0 0

20 EFL FUTURES LIMITED FCM CME 9/30/2014 36,840,248 18,478,018 18,362,230 256,525,440 243,587,628 12,937,812 5,000,000 0 0 0 0 0 0 0 0 0

21 FCSTONE LLC FCM CME 9/30/2014 119,931,113 67,532,390 52,398,723 1,805,753,934 1,769,252,438 36,501,496 26,000,000 73,173,511 53,303,812 19,869,699 15,000,000 0 0 0 0 0

22 FOREX CAPITAL MARKETS LLC FCMRFD SD NFA 9/30/2014 52,231,567 30,425,732 21,805,835 0 0 0 0 0 0 0 0 0 0 0 0 218,514,638

23 FRIEDBERG MERCANTILE GROUP INC FCM NFA 9/30/2014 3,510,313 1,000,000 2,510,313 0 0 0 0 0 0 0 0 0 0 0 0 0

24 FRONTIER FUTURES INC FCM NFA 9/30/2014 1,910,246 1,000,000 910,246 874,383 0 874,383 1 0 0 0 0 0 0 0 0 0

25 FXDIRECTDEALER LLC FCMRFD SD NFA 9/30/2014 20,633,671 20,000,000 633,671 0 0 0 0 0 0 0 0 0 0 0 0 38,345

26 GAIN CAPITAL GROUP LLC FCMRFD NFA 9/30/2014 33,575,202 24,718,802 8,856,400 215,832,109 204,810,311 11,021,798 2,500,000 5,813,803 3,431,424 2,382,379 312,500 0 0 0 0 104,376,031

27 GH FINANCIALS LLC FCM CME 9/30/2014 10,997,837 2,701,887 8,295,950 32,949,996 30,708,527 2,241,469 575,000 436,639 137,593 299,046 75,000 0 0 0 0 0

28 GOLDMAN SACHS & CO FCM BD SD CBOT/NFA 9/30/2014 13,623,696,126 2,320,229,286 11,303,466,840 19,659,961,582 19,112,586,934 547,374,648 475,000,000 8,653,383,365 8,027,164,441 626,218,924 475,000,000 2,879,618,864 2,486,463,186 393,155,678 150,000,000 0

29 GOLDMAN SACHS EXECUTION & CLEARING LP FCM BD CME 9/30/2014 1,494,649,478 191,636,903 1,303,012,575 1,212,363,630 632,567,606 579,796,024 540,000,000 67,070,209 19,565,432 47,504,777 40,000,000 0 0 0 0 0

30 GUGGENHEIM SECURITIES LLC FCM BD NFA 9/30/2014 82,785,043 1,364,139 81,420,904 0 0 0 0 0 0 0 0 0 0 0 0 0

31 HSBC SECURITIES USA INC FCM BD CME 9/30/2014 1,021,331,140 181,974,554 839,356,586 1,433,271,431 1,302,907,878 130,363,553 50,000,000 134,045,283 102,246,199 31,799,084 22,924,600 674,670,213 618,268,840 56,401,373 30,000,000 0

32 IBFX INC RFED SD NFA 9/30/2014 28,288,710 22,048,395 6,240,315 0 0 0 0 0 0 0 0 0 0 0 0 47,402,962

33 INSTITUTIONAL LIQUIDITY LLC FCMRFD NFA 9/30/2014 31,217,441 20,000,000 11,217,441 0 0 0 0 0 0 0 0 0 0 0 0 46,072

34 INTERACTIVE BROKERS LLC FCM BD NFA 9/30/2014 2,408,858,418 369,471,687 2,039,386,731 2,566,027,495 2,349,172,769 216,854,726 155,000,000 416,141,151 318,371,747 97,769,404 80,000,000 0 0 0 0 44,074,696

35 IRONBEAM INC FCM NFA 9/30/2014 2,253,965 1,000,000 1,253,965 39,542,917 38,275,443 1,267,474 800,000 110,959 0 110,959 50,000 0 0 0 0 0

36 ITG DERIVATIVES LLC FCM BD NFA 9/30/2014 4,625,677 1,000,000 3,625,677 0 0 0 0 0 0 0 0 0 0 0 0 0

37 JEFFERIES LLC FCM BD CBOT 9/30/2014 947,259,143 105,412,157 841,846,986 1,935,671,026 1,834,894,779 100,776,247 90,000,000 195,055,329 124,949,006 70,106,323 50,000,000 75,751,314 55,074,380 20,676,934 5,000,000 0

38 JP MORGAN CLEARING CORP FCM BD NFA 9/30/2014 7,959,984,583 2,003,374,552 5,956,610,031 982,792,335 637,020,244 345,772,091 57,331,822 613,199,488 421,307,153 191,892,335 37,917,644 250,000 0 250,000 1 0

39 JP MORGAN SECURITIES LLC FCM BD SD CEI/NFA 9/30/2014 13,610,445,669 2,171,237,248 11,439,208,421 20,196,937,140 18,252,250,103 1,944,687,037 1,642,702,509 3,421,522,865 3,009,429,942 412,092,923 270,848,695 4,767,151,786 4,132,688,920 634,462,866 371,942,003 0

40 KCG AMERICAS LLC FCM BD CME 9/30/2014 290,349,058 29,435,541 260,913,517 700,462,814 682,852,667 17,610,147 15,000,000 7,436,978 4,428,004 3,008,974 2,500,000 0 0 0 0 32,942,680

41 LEK SECURITIES CORPORATION FCM BD NFA 9/30/2014 9,636,491 1,500,000 8,136,491 858,592 607,275 251,317 250,000 0 0 0 0 0 0 0 0 0

42 LINN GROUP THE FCM NFA 9/30/2014 1,809,359 1,000,000 809,359 840,158 0 840,158 1 39,522 0 39,522 1 0 0 0 0 0

43 MACQUARIE FUTURES USA LLC FCM CBOT 9/30/2014 169,202,988 118,527,084 50,675,904 1,511,958,636 1,327,138,726 184,819,910 90,000,000 18,733,577 4,708,207 14,025,370 329,574 24,263,581 5,965,108 18,298,473 417,558 0

44 MAREX NORTH AMERICA LLC FCM CME 9/30/2014 14,308,250 8,050,014 6,258,236 101,285,436 93,857,421 7,428,015 4,691,496 24,659,513 22,133,642 2,525,871 2,213,364 0 0 0 0 0

45 MB TRADING FUTURES INC RFED NFA 9/30/2014 24,439,934 20,733,311 3,706,623 0 0 0 0 0 0 0 0 0 0 0 0 24,666,224

46 MCVEAN TRADING & INVESTMENTS LLC FCM NFA 9/30/2014 13,065,395 4,310,480 8,754,915 1,003,235,339 982,158,169 21,077,170 18,000,000 2,417,861 0 2,417,861 400,000 0 0 0 0 0

47 MERRILL LYNCH PIERCE FENNER & SMITH FCM BD CBOT 9/30/2014 10,407,214,187 1,172,966,836 9,234,247,351 10,185,177,283 9,911,621,506 273,555,777 200,000,000 2,942,678,248 2,709,799,692 232,878,556 150,000,000 2,506,155,153 2,212,656,894 293,498,259 150,000,000 0

48 MERRILL LYNCH PROFESSIONAL CLEARING CORP FCM BD NFA 9/30/2014 1,850,175,729 315,510,334 1,534,665,395 1,784,336,212 1,064,009,506 720,326,706 300,000,000 4,159,384 454,135 3,705,249 1,000,000 0 0 0 0 0

49 MID CO COMMODITIES INC FCM NFA 9/30/2014 9,539,667 3,464,824 6,074,843 49,664,409 39,377,864 10,286,545 5,000,000 0 0 0 0 0 0 0 0 0

50 MINT BROKERS FCM BD NFA 9/30/2014 9,490,364 1,000,000 8,490,364 0 0 0 0 0 0 0 0 0 0 0 0 0

51 MITSUBISHI UFJ SECURITIES USA INC FCM BD NFA 9/30/2014 359,938,029 1,037,512 358,900,517 0 0 0 0 0 0 0 0 0 0 0 0 0

52 MIZUHO SECURITIES USA INC FCM BD SD CME/NFA 9/30/2014 484,425,220 204,032,099 280,393,121 2,377,230,958 2,198,497,916 178,733,042 150,000,000 599,222,984 477,445,197 121,777,787 80,000,000 69,191,771 44,178,232 25,013,539 20,000,000 0

53 MORGAN STANLEY & CO LLC FCM BD SD CME/NFA 9/30/2014 9,433,012,307 1,693,671,451 7,739,340,856 10,575,066,571 10,368,001,884 207,064,687 105,000,000 2,546,550,449 2,334,179,757 212,370,692 105,000,000 5,238,144,330 5,120,168,798 117,975,532 92,000,000 0

54 NANHUA USA LLC FCM NFA 9/30/2014 1,601,535 1,000,000 601,535 0 0 0 0 0 0 0 0 0 0 0 0 0

55 NEUBERGER BERMAN LLC FCM BD NFA 9/30/2014 91,189,687 1,500,000 89,689,687 0 0 0 0 0 0 0 0 0 0 0 0 0

56 NEWEDGE USA LLC FCM BD SD NYME/NFA 9/30/2014 1,779,516,975 934,947,116 844,569,859 12,471,355,617 11,872,556,643 598,798,974 500,000,000 3,397,986,437 3,036,246,591 361,739,846 255,000,000 509,644,328 384,637,988 125,006,340 75,000,000 0

57 NOMURA SECURITIES INTERNATIONAL INC FCM BD CBOT 9/30/2014 1,486,637,833 81,492,465 1,405,145,368 97,108,699 74,536,002 22,572,697 15,000,000 8,271,263 57,073 8,214,190 1,000,000 42,877,472 19,897,787 22,979,685 20,000,000 0

58 OANDA CORPORATION FCMRFD NFA 9/30/2014 72,882,107 26,220,416 46,661,691 0 0 0 0 0 0 0 0 0 0 0 0 134,408,323

59 OPTIONSXPRESS INC FCM BD NFA 9/30/2014 120,825,163 7,232,730 113,592,433 123,578,736 96,430,121 27,148,615 9,643,012 2,317,580 1,141,823 1,175,757 114,182 0 0 0 0 0

60 PHILLIP CAPITAL INC FCM CME 9/30/2014 27,558,364 20,000,000 7,558,364 171,255,919 156,419,184 14,836,735 7,820,959 7,727,294 1,531,118 6,196,176 76,556 0 0 0 0 0

61 RAND FINANCIAL SERVICES INC FCM CME 9/30/2014 80,887,100 19,696,645 61,190,455 321,709,000 277,364,700 44,344,300 8,320,900 34,452,700 12,584,800 21,867,900 377,500 0 0 0 0 0

62 RBC CAPITAL MARKETS LLC FCM BD CME 9/30/2014 1,137,020,063 92,665,182 1,044,354,881 997,236,192 870,811,632 126,424,560 40,000,000 94,999,359 69,310,672 25,688,687 20,000,000 0 0 0 0 0

63 RBS SECURITIES INC FCM BD CBOT 9/30/2014 5,007,885,825 131,889,601 4,875,996,224 1,961,211,441 1,796,982,530 164,228,911 125,000,000 197,367,391 43,336,164 154,031,227 100,000,000 172,564,865 25,323,805 147,241,060 80,000,000 0

64 RJ OBRIEN ASSOCIATES LLC FCM SD CME/NFA 9/30/2014 200,123,569 147,016,850 53,106,719 4,316,871,108 4,217,116,457 99,754,651 40,000,000 193,618,160 168,682,209 24,935,951 20,000,000 0 0 0 0 579,696

65 ROSENTHAL COLLINS GROUP LLC FCM CME 9/30/2014 77,659,873 55,915,793 21,744,080 1,571,050,005 1,544,197,273 26,852,732 18,000,000 30,050,863 19,187,443 10,863,420 9,000,000 0 0 0 0 0

66 SANFORD C BERNSTEIN & CO LLC FCM BD NFA 9/30/2014 166,154,542 22,490,032 143,664,510 0 0 0 0 0 0 0 0 0 0 0 0 0

67 SANTANDER INVESTMENT SECURITIES INC FCM BD NYME 9/30/2014 211,052,399 12,185,400 198,866,999 632,235,793 629,741,247 2,494,546 2,000,000 0 0 0 0 0 0 0 0 0

68 STATE STREET GLOBAL MARKETS LLC FCM BD CME 9/30/2014 517,255,468 52,887,049 464,368,419 709,550,809 470,832,704 238,718,105 23,541,635 44,764,556 3,752,963 41,011,593 15,000,000 445,484,843 315,005,703 130,479,140 50,000,000 0

69 STRAITS FINANCIAL LLC FCM CME 9/30/2014 11,487,330 7,540,554 3,946,776 225,128,877 216,362,867 8,766,010 2,000,000 24,946,304 22,802,226 2,144,078 300,000 0 0 0 0 0

70 TD AMERITRADE INC FCM BD NFA 9/30/2014 347,088,846 17,223,440 329,865,406 255,929,898 190,270,222 65,659,676 18,000,000 0 0 0 0 0 0 0 0 0

71 TIMBER HILL LLC FCM BD CME 9/30/2014 334,296,562 65,695,292 268,601,270 943,098,607 938,088,291 5,010,316 5,000,000 0 0 0 0 0 0 0 0 0

72 TRADESTATION SECURITIES INC FCM BD NFA 9/30/2014 46,828,862 4,026,585 42,802,277 452,989,247 442,428,111 10,561,136 9,000,000 20,516,507 19,522,319 994,188 800,000 0 0 0 0 0

73 UBS FINANCIAL SERVICES INC FCM BD NFA 9/30/2014 1,401,689,872 97,743,208 1,303,946,664 129,810,635 98,347,789 31,462,846 22,000,000 22,190,926 4,135,089 18,055,837 15,000,000 0 0 0 0 0

74 UBS SECURITIES LLC FCM BD CBOT 9/30/2014 7,732,629,175 884,454,553 6,848,174,622 8,342,673,391 7,732,464,661 610,208,730 541,272,526 3,788,922,123 3,354,701,284 434,220,839 400,000,000 1,114,680,705 879,684,491 234,996,214 200,000,000 0

75 VISION FINANCIAL MARKETS LLC FCM BD CME 9/30/2014 36,267,382 16,059,539 20,207,843 533,462,882 520,320,780 13,142,102 8,000,000 9,440,183 6,691,128 2,749,055 1,500,000 0 0 0 0 0

76 WEDBUSH SECURITIES INC FCM BD CBOT 9/30/2014 123,712,379 10,023,278 113,689,101 112,302,128 106,656,998 5,645,130 2,750,000 7,189,623 6,110,356 1,079,267 500,000 0 0 0 0 0

77 WELLS FARGO SECURITIES LLC FCM BD CME 9/30/2014 2,596,477,679 258,841,256 2,337,636,423 936,704,908 741,115,140 195,589,768 80,000,000 35,676,087 20,795,706 14,880,381 3,000,000 1,907,372,533 1,649,938,046 257,434,487 140,000,000 0

78 WHOTRADES FX LLC FCM NFA 9/30/2014 2,431,100 1,000,000 1,431,100 0 0 0 0 0 0 0 0 0 0 0 0 0

79 XCHANGE FINANCIAL ACCESS LLC FCM BD NFA 9/30/2014 6,754,037 1,007,474 5,746,563 31,591,162 29,399,829 2,191,333 1,750,000 0 0 0 0 0 0 0 0 0

80 YORK BUSINESS ASSOCIATES LLC FCM NFA 9/30/2014 4,893,163 1,000,000 3,893,163 49,517,185 46,816,221 2,700,964 700,000 1,956,090 1,726,096 229,994 200,000 0 0 0 0 0
SELECTED FCM FINANCIAL DATA AS OF 

September 30, 2014

FROM REPORTS FILED BY 

October 31, 2014

2 of 2

1

2

3

A B C D E F G H I J K L M N O P Q R S T U

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)

86

87

88

89

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137

138

139

140

141

142

143

144

145

146

Totals 159,957,740,034 148,815,080,678 11,142,659,356 7,567,268,796 37,867,499,807 33,287,749,756 4,579,750,051 2,849,752,187 46,068,249,825 39,787,881,553 6,280,368,272 2,932,455,900 607,049,667

August Web Page Update 83

Additions 0

None

Deletions 3

GLOBAL FUTURES & FOREX LTD

	JEFFERIES BACHE LLC

MORGAN STANLEY SMITH BARNEY LLC

Name Changes

None

September Web Page Update 80

(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.

(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. 

(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.

•  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: 

 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.