SELECTED FCM FINANCIAL DATA AS OF 

June 30, 2012

FROM REPORTS FILED BY 

August 1, 2012

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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 6/30/2012 254,726,542 153,504,649 101,221,893 2,320,539,985 2,159,132,984 161,407,001 423,013,768 395,473,141 27,540,627 0

2 ADM INVESTOR SERVICES INC FCM CBOT 6/30/2012 275,200,366 152,272,116 122,928,250 2,881,472,526 2,645,064,020 236,408,506 200,055,591 141,248,193 58,807,398 107,982

3 ADVANCED MARKETS LLC FCMRFD NFA 6/30/2012 20,362,708 20,000,000 362,708 0 0 0 0 0 0 812,973

4 ADVANTAGE FUTURES LLC FCM CME 6/29/2012 20,579,736 11,547,806 9,031,930 464,716,057 452,250,583 12,465,474 51,673,406 48,270,818 3,402,588 0

5 ALPARI (US) LLC FCMRFD NFA 6/29/2012 27,819,437 20,313,840 7,505,597 2,774,266 533,060 2,241,206 254,906 56,640 198,266 16,276,801

6 AMERIPRISE FINANCIAL SERVICES INC FCM BD NFA 6/30/2012 134,540,671 1,000,000 133,540,671 0 0 0 0 0 0 0

7 AMP GLOBAL CLEARING LLC FCM NFA 6/30/2012 2,527,606 1,500,000 1,027,606 36,667,325 35,334,091 1,333,234 402,268 6,826 395,442 0

8 BARCLAYS CAPITAL INC FCM BD NYME 6/30/2012 6,222,923,768 969,603,813 5,253,319,955 7,057,367,523 6,817,594,513 239,773,010 3,277,668,148 3,111,773,668 165,894,480 0

9 BGC FINANCIAL LP FCM BD NFA 6/29/2012 63,166,104 1,000,000 62,166,104 0 0 0 0 0 0 0

10 BNP PARIBAS PRIME BROKERAGE INC FCM BD NYME 6/30/2012 2,260,261,212 309,813,727 1,950,447,485 1,085,730,900 1,026,423,126 59,307,774 564,914,834 480,739,743 84,175,091 0

11 BNP PARIBAS SECURITIES CORP FCM BD CBOT 6/30/2012 1,892,013,466 98,464,987 1,793,548,479 451,078,375 376,672,838 74,405,537 0 0 0 0

12 BNY MELLON CLEARING LLC FCM CME 6/30/2012 258,667,204 8,528,409 250,138,795 329,190,041 181,073,486 148,116,555 7,649,709 6,370,345 1,279,364 0

13 BOCI COMMODITIES & FUTURES USA LLC FCM NFA 6/30/2012 4,983,983 1,000,000 3,983,983 0 0 0 0 0 0 0

14 CANTOR FITZGERALD & CO FCM BD CBOT 6/29/2012 255,894,233 7,335,469 248,558,764 11,028,731 6,078,703 4,950,028 0 0 0 0

15 CAPITAL MARKET SERVICES LLC FCM NFA 6/30/2012 2,799,393 1,000,000 1,799,393 0 0 0 0 0 0 0

16 CIBC WORLD MARKETS CORP FCM BD CME 6/29/2012 468,849,337 1,500,000 467,349,337 0 0 0 0 0 0 0

17 CITADEL SECURITIES LLC FCM BD CME 6/30/2012 348,000,572 1,000,000 347,000,572 0 0 0 0 0 0 0

18 CITIGROUP GLOBAL MARKETS INC FCM BD CBOT 6/30/2012 7,073,235,358 703,288,723 6,369,946,635 8,702,963,617 8,689,417,853 13,545,764 1,669,241,167 1,314,120,020 355,121,147 0

19 COMMONWEALTH FOREIGN EXCHANGE INC FCM NFA 6/30/2012 1,892,429 1,000,000 892,429 0 0 0 0 0 0 0

20 COUNTRY HEDGING INC FCM NFA 6/30/2012 20,373,223 14,820,897 5,552,326 200,772,634 181,611,523 19,161,111 598,507 323,555 274,952 0

21 CREDIT SUISSE SECURITIES (USA) LLC FCM BD CBOT 6/30/2012 5,425,036,788 1,236,415,980 4,188,620,808 7,052,102,871 6,014,239,501 1,037,863,370 2,314,743,963 1,772,216,118 542,527,845 0

22 CROSSLAND LLC FCM CBOT 6/30/2012 7,539,793 2,231,621 5,308,172 80,483,289 78,019,955 2,463,334 18,562,890 17,436,425 1,126,465 0

23 CUNNINGHAM COMMODITIES LLC FCM CBOT 6/30/2012 2,960,015 1,606,899 1,353,116 78,881,487 77,593,316 1,288,171 1,533,873 1,455,996 77,877 0

24 CX CAPITAL MARKETS LLC FCM BD NFA 6/30/2012 3,372,850 1,000,000 2,372,850 33,360,202 31,367,375 1,992,827 0 0 0 0

25 DAIWA CAPITAL MARKETS AMERICA INC FCM BD CME 6/30/2012 317,863,082 4,029,969 313,833,113 11,046,587 6,387,614 4,658,973 1,036,778 0 1,036,778 0

26 DEUTSCHE BANK SECURITIES INC FCM BD CBOT 6/30/2012 8,211,457,820 483,237,533 7,728,220,287 13,364,818,863 12,777,870,633 586,948,230 1,287,434,318 1,153,740,928 133,693,390 0

27 DORMAN TRADING LLC FCM CME 6/30/2012 9,376,476 1,576,773 7,799,703 135,957,059 134,011,867 1,945,192 3,135,492 1,751,169 1,384,323 0

28 EAGLE MARKET MAKERS INC FCM CBOT 6/29/2012 5,950,618 1,000,000 4,950,618 845,615 391,657 453,958 0 0 0 0

29 EASY FOREX US LTD FCM NFA 6/30/2012 1,540,886 1,000,000 540,886 0 0 0 0 0 0 0

30 ENSKILDA FUTURES LTD FCM CME 6/29/2012 39,362,029 17,874,652 21,487,377 210,990,237 204,318,039 6,672,198 0 0 0 0

31 FCSTONE LLC FCM CME 6/30/2012 109,969,187 78,733,815 31,235,372 1,552,263,386 1,512,358,803 39,904,583 82,414,793 70,424,344 11,990,449 0

32 FOREX CAPITAL MARKETS LLC FCMRFD NFA 6/30/2012 58,098,494 31,080,840 27,017,654 0 0 0 0 0 0 231,616,792

33 FOREX CLUB LLC FCMRFD NFA 6/29/2012 22,275,271 22,000,000 275,271 0 0 0 0 0 0 3,630,658

34 FRIEDBERG MERCANTILE GROUP INC FCM NFA 6/30/2012 2,811,370 1,000,000 1,811,370 11,626,225 9,039,453 2,586,772 827,432 751,953 75,479 0

35 FRONTIER FUTURES INC FCM NFA 6/30/2012 1,949,384 1,000,000 949,384 28,614,360 27,620,617 993,743 0 0 0 0

36 FX SOLUTIONS LLC FCMRFD NFA 6/30/2012 27,260,354 20,395,168 6,865,186 0 0 0 0 0 0 17,903,362

37 FXDIRECTDEALER LLC FCMRFD NFA 6/30/2012 26,628,501 21,423,378 5,205,123 0 0 0 0 0 0 38,467,569

38 GAIN CAPITAL GROUP LLC FCMRFD NFA 6/30/2012 56,721,650 24,691,788 32,029,862 0 0 0 0 0 0 103,835,757

39 GH FINANCIALS LLC FCM CME 6/30/2012 8,656,158 1,000,000 7,656,158 822,302 682,834 139,468 0 0 0 0

40 GLOBAL FUTURES & FOREX LTD FCMRFD NFA 6/30/2012 70,761,096 23,835,005 46,926,091 436,584 96,631 339,953 0 0 0 86,700,108

41 GOLDMAN SACHS & CO FCM BD CBOT 6/29/2012 13,785,931,682 1,777,886,245 12,008,045,437 21,497,936,615 21,003,807,558 494,129,057 9,419,318,384 8,938,800,360 480,518,024 0

42 GOLDMAN SACHS EXECUTION & CLEARING LP FCM BD CME 6/30/2012 2,140,484,099 105,733,786 2,034,750,313 1,376,394,027 803,265,857 573,128,170 81,252,876 35,852,286 45,400,590 0

43 GUGGENHEIM SECURITIES LLC FCM BD NFA 6/30/2012 71,107,989 1,767,904 69,340,085 0 0 0 0 0 0 0

44 HSBC SECURITIES USA INC FCM BD CME 6/30/2012 1,138,001,749 96,776,788 1,041,224,961 958,786,884 908,482,668 50,304,216 133,979,278 106,343,852 27,635,426 0

45 IBFX INC RFED NFA 6/30/2012 27,266,380 23,055,279 4,211,101 0 0 0 0 0 0 71,105,574

46 ICAP CORPORATES LLC FCM BD NFA 6/30/2012 44,325,866 1,179,509 43,146,357 0 0 0 0 0 0 0

47 IKON GLOBAL MARKETS INC FCM NFA 6/30/2012 10,316,943 1,000,000 9,316,943 9,283,475 8,260,623 1,022,852 0 0 0 0

48 INSTINET LLC FCM BD NFA 6/30/2012 109,161,451 1,338,048 107,823,403 0 0 0 0 0 0 0

49 INSTITUTIONAL LIQUIDITY LLC FCMRFD NFA 6/30/2012 21,717,664 20,264,215 1,453,449 0 0 0 0 0 0 15,284,302

50 INTEGRATED BROKERAGE SERVICES LLC FCM NFA 6/30/2012 1,315,009 1,000,000 315,009 1,058 0 1,058 0 0 0 0

51 INTERACTIVE BROKERS LLC FCM BD NFA 6/30/2012 1,397,619,128 191,193,157 1,206,425,971 1,741,756,312 1,530,898,398 210,857,914 470,077,079 350,142,128 119,934,951 29,065,585

52 IRONBEAM INC FCM NFA 6/30/2012 2,553,569 1,000,000 1,553,569 43,986,577 42,335,724 1,650,853 111,398 7,785 103,613 0

53 ITG DERIVATIVES LLC FCM BD NFA 6/30/2012 4,112,650 1,000,000 3,112,650 0 0 0 0 0 0 0

54 JEFFERIES & COMPANY INC FCM BD NFA 6/30/2012 849,471,878 51,444,716 798,027,162 0 0 0 0 0 0 0

55 JEFFERIES BACHE LLC FCM CBOT 6/30/2012 232,105,000 164,065,360 68,039,640 2,218,959,000 2,117,596,000 101,363,000 591,117,000 506,477,000 84,640,000 0

56 JP MORGAN CLEARING CORP FCM BD NFA 6/30/2012 7,285,889,759 1,954,878,596 5,331,011,163 801,362,644 550,995,791 250,366,853 456,013,237 249,084,713 206,928,524 0

Futures Commission Merchant / Retail Foreign Exchange 

Dealer
SELECTED FCM FINANCIAL DATA AS OF 

June 30, 2012

FROM REPORTS FILED BY 

August 1, 2012

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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

63

64

65

66

67

68

69

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71

72

73

74

75

76

77

78

79

80

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118

57 JP MORGAN SECURITIES LLC FCM BD CEI 6/30/2012 11,780,440,354 1,435,523,981 10,344,916,373 17,671,109,260 15,919,190,844 1,751,918,416 3,801,138,300 3,407,396,141 393,742,159 0

58 KNIGHT EXECUTION AND CLEARING SERVICES LLC FCM BD CME 6/30/2012 93,734,591 20,746,722 72,987,869 422,395,833 412,264,693 10,131,140 10,214,626 7,094,396 3,120,230 24,934,437

59 LEK SECURITIES CORPORATION FCM BD NFA 6/30/2012 11,833,919 1,500,000 10,333,919 5,184,026 3,161,882 2,022,144 0 0 0 0

60 LINN GROUP THE FCM NFA 6/29/2012 2,707,438 1,847,485 859,953 72,249,751 68,623,387 3,626,364 310,644 182,926 127,718 0

61 LIQUID FUTURES LLC FCM NFA 6/30/2012 1,384,268 1,030,000 354,268 0 0 0 0 0 0 0

62 LPL FINANCIAL LLC FCM BD NFA 6/30/2012 124,777,229 6,041,966 118,735,263 0 0 0 0 0 0 0

63 MACQUARIE FUTURES USA LLC FCM CBOT 6/30/2012 131,334,999 55,611,684 75,723,315 737,414,952 633,277,332 104,137,620 112,838,707 74,744,101 38,094,606 0

64 MAREX NORTH AMERICA LLC FCM CME 6/30/2012 13,043,127 5,737,803 7,305,324 84,592,769 78,373,168 6,219,601 6,018,001 5,421,644 596,357 0

65 MAREX USA LIMITED FCM NFA 6/30/2012 2,790,572 1,000,000 1,790,572 0 0 0 0 0 0 0

66 MB TRADING FUTURES INC FCMRFD NFA 6/30/2012 23,546,477 21,095,488 2,450,989 0 0 0 0 0 0 31,909,751

67 MBF CLEARING CORP FCM NFA 6/30/2012 1,311,027 1,000,000 311,027 2,748 2,748 0 0 0 0 0

68 MCVEAN TRADING & INVESTMENTS LLC FCM NFA 6/30/2012 14,202,527 3,398,444 10,804,083 930,701,383 909,327,266 21,374,117 391,789 0 391,789 0

69 MERRILL LYNCH PIERCE FENNER & SMITH FCM BD CBOT 6/30/2012 10,794,177,946 684,419,129 10,109,758,817 8,140,120,376 7,658,637,802 481,482,574 2,381,321,475 2,146,087,341 235,234,134 0

70 MERRILL LYNCH PROFESSIONAL CLEARING CORP FCM BD NFA 6/30/2012 1,700,177,129 219,257,615 1,480,919,514 1,575,505,315 938,452,780 637,052,535 137,967,627 36,214,264 101,753,363 0

71 MID CO COMMODITIES INC FCM NFA 6/30/2012 10,017,182 5,263,295 4,753,887 52,240,278 36,210,296 16,029,982 405,646 246 405,400 0

72 MITSUBISHI UFJ SECURITIES USA INC FCM BD NFA 6/30/2012 237,878,300 1,419,492 236,458,808 0 0 0 0 0 0 0

73 MITSUI BUSSAN COMMODITIES USA INC FCM NFA 6/30/2012 2,953,627 1,000,000 1,953,627 0 0 0 0 0 0 0

74 MIZUHO SECURITIES USA INC FCM BD CME 6/30/2012 317,924,569 117,021,351 200,903,218 847,700,104 757,076,948 90,623,156 830,882,623 702,441,302 128,441,321 0

75 MORGAN KEEGAN & COMPANY INC FCM BD NFA 6/30/2012 223,265,170 7,977,397 215,287,773 0 0 0 0 0 0 0

76 MORGAN STANLEY & CO LLC FCM BD CME 6/30/2012 6,943,064,123 1,261,366,433 5,681,697,690 7,509,914,433 7,402,599,561 107,314,872 1,783,133,214 1,676,482,559 106,650,655 0

77 MORGAN STANLEY SMITH BARNEY LLC FCM BD NFA 6/29/2012 1,909,542,814 82,661,451 1,826,881,363 387,990,631 345,131,158 42,859,473 50,334,275 23,420,324 26,913,951 0

78 NATIXIS SECURITIES AMERICAS LLC FCM BD NFA 6/30/2012 344,879,520 1,500,000 343,379,520 0 0 0 0 0 0 0

79 NEUBERGER BERMAN LLC FCM BD NFA 6/30/2012 12,705,827 1,500,000 11,205,827 0 0 0 0 0 0 0

80 NEWEDGE USA LLC FCM BD NYME 6/30/2012 1,881,430,972 1,195,031,568 686,399,404 15,899,930,151 15,378,794,694 521,135,457 5,539,554,145 4,983,652,441 555,901,704 0

81 NOMURA SECURITIES INTERNATIONAL INC FCM BD CBOT 6/29/2012 2,098,655,125 39,071,155 2,059,583,970 74,030,159 53,540,304 20,489,855 1,388,000 201,205 1,186,795 0

82 OANDA CORPORATION FCMRFD NFA 6/30/2012 144,791,984 28,158,107 116,633,877 0 0 0 0 0 0 173,162,133

83 OPEN E CRY LLC FCM NFA 6/30/2012 1,567,930 1,000,000 567,930 96,304,907 93,290,849 3,014,058 3,267,212 2,578,619 688,593 0

84 OPPENHEIMER & CO INC FCM BD NFA 6/30/2012 142,355,495 24,041,136 118,314,359 34,516,891 21,515,456 13,001,435 0 0 0 0

85 OPTIONSXPRESS INC FCM BD NFA 6/30/2012 70,712,983 4,733,427 65,979,556 100,279,710 85,721,901 14,557,809 6,970,413 3,742,834 3,227,579 0

86 PHILLIP FUTURES INC FCM CME 6/30/2012 28,162,840 3,703,475 24,459,365 110,473,365 86,902,728 23,570,637 5,099,969 0 5,099,969 0

87 PIONEER FUTURES INC FCM NFA 6/30/2012 1,797,974 1,000,000 797,974 0 0 0 0 0 0 0

88 RAND FINANCIAL SERVICES INC FCM CME 6/30/2012 75,954,158 11,201,754 64,752,404 127,508,500 88,196,400 39,312,100 39,068,100 16,669,600 22,398,500 0

89 RAYMOND JAMES & ASSOCIATES INC FCM BD NFA 6/29/2012 299,648,559 31,681,327 267,967,232 0 0 0 0 0 0 0

90 RBC CAPITAL MARKETS LLC FCM BD CME 6/29/2012 1,471,159,802 102,734,116 1,368,425,686 717,832,487 676,928,146 40,904,341 91,082,729 62,241,880 28,840,849 0

91 RBS SECURITIES INC FCM BD CBOT 6/30/2012 3,992,096,755 212,478,286 3,779,618,469 1,995,195,125 1,858,709,236 136,485,889 163,926,789 46,895,778 117,031,011 0

92 RJ OBRIEN ASSOCIATES LLC FCM CME 6/30/2012 191,540,198 133,484,584 58,055,614 3,662,183,020 3,567,239,416 94,943,604 215,494,540 179,083,926 36,410,614 1,990,913

93 ROSENTHAL COLLINS GROUP LLC FCM CME 6/30/2012 90,131,340 68,032,488 22,098,852 1,580,250,740 1,559,055,712 21,195,028 123,722,931 113,768,233 9,954,698 0

94 SANFORD C BERNSTEIN & CO LLC FCM BD NFA 6/30/2012 154,910,796 16,990,471 137,920,325 0 0 0 0 0 0 0

95 SANTANDER INVESTMENT SECURITIES INC FCM BD NYME 6/30/2012 169,516,414 9,962,816 159,553,598 502,857,768 500,405,669 2,452,099 0 0 0 0

96 STATE STREET GLOBAL MARKETS LLC FCM BD CME 6/30/2012 453,405,518 5,996,857 447,408,661 287,537,809 95,525,786 192,012,023 57,412,860 17,843,916 39,568,944 0

97 STEPHENS INC FCM BD NFA 6/30/2012 83,974,947 13,741,583 70,233,364 0 0 0 0 0 0 0

98 STRAITS FINANCIAL LLC FCM CME 6/30/2012 9,682,659 1,884,437 7,798,222 56,739,026 54,131,020 2,608,006 9,250,969 7,535,451 1,715,518 0

99 TD AMERITRADE INC FCM BD NFA 6/30/2012 218,174,050 5,590,233 212,583,817 86,270,191 56,899,923 29,370,268 0 0 0 0

100 TENCO INC FCM CBOT 6/30/2012 56,003,323 9,712,325 46,290,998 236,876,709 222,664,990 14,211,719 390,149 0 390,149 0

101 TIMBER HILL LLC FCM BD CME 6/30/2012 713,749,776 33,727,206 680,022,570 504,964,590 502,439,030 2,525,560 0 0 0 0

102 TRADELINK LLC FCM BD CBOT 6/30/2012 15,157,847 1,000,000 14,157,847 0 0 0 0 0 0 0

103 TRADESTATION SECURITIES INC FCM BD NFA 6/30/2012 50,626,466 2,611,778 48,014,688 425,229,910 414,903,261 10,326,649 13,590,846 12,537,363 1,053,483 0

104 TRADITION SECURITIES AND FUTURES INC FCM NFA 6/30/2012 1,514,777 1,000,000 514,777 0 0 0 0 0 0 0

105 UBS FINANCIAL SERVICES INC FCM BD NFA 6/29/2012 1,176,521,601 107,215,429 1,069,306,172 155,002,776 114,764,541 40,238,235 25,754,983 2,965,904 22,789,079 0

106 UBS SECURITIES LLC FCM BD CBOT 6/30/2012 12,702,785,359 886,937,992 11,815,847,367 9,734,934,786 9,160,466,860 574,467,926 4,567,336,609 4,164,871,250 402,465,359 0

107 VELOCITY FUTURES LLC FCM NFA 6/30/2012 1,623,646 1,000,000 623,646 60,092,123 58,871,800 1,220,323 13,436,312 12,955,262 481,050 0

108 VISION FINANCIAL MARKETS LLC FCM BD CME 6/30/2012 24,036,632 11,270,300 12,766,332 498,029,422 476,228,682 21,800,740 9,891,638 7,605,552 2,286,086 0

109 WELLS FARGO ADVISORS FINANCIAL NETWORK LLC FCM BD NFA 6/30/2012 35,328,090 1,000,000 34,328,090 0 0 0 0 0 0 0

110 WELLS FARGO ADVISORS LLC FCM BD NFA 6/30/2012 1,191,931,698 1,500,000 1,190,431,698 0 0 0 0 0 0 0

111 WELLS FARGO SECURITIES LLC FCM BD CME 6/30/2012 2,240,459,428 15,349,886 2,225,109,542 0 0 0 0 0 0 0

112 WHITE COMMERCIAL CORPORATION FCM NFA 6/30/2012 2,543,586 1,000,000 1,543,586 0 0 0 0 0 0 0
SELECTED FCM FINANCIAL DATA AS OF 

June 30, 2012

FROM REPORTS FILED BY 

August 1, 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

119

120

121

122

123

124

125

126

127

128

129

130

131

132

133

134

135

136

137

138

113 XPRESSTRADE LLC RFED NFA 6/30/2012 22,980,090 20,000,000 2,980,090 0 0 0 0 0 0 1,030,608

114 YORK BUSINESS ASSOCIATES LLC FCM NFA 6/30/2012 2,172,650 1,000,000 1,172,650 74,232,223 72,032,302 2,199,921 2,353,328 1,646,367 706,961 0

Totals 150,213,411,886 140,772,386,265 9,441,025,621 41,060,980,544 36,419,148,831 4,641,831,713 847,835,305

May Web Page Update 116

Additions 0

None

Deletions 2

PENSON FINANCIAL SERVICES INC

PEREGRINE FINANCIAL GROUP INC (Did Not File)

Name Change

None

June Web Page Update 114
SELECTED FCM FINANCIAL DATA AS OF 

June 30, 2012

FROM REPORTS FILED BY 

August 1, 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

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(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.