SELECTED FCM FINANCIAL DATA AS OF 

January 31, 2013

FROM REPORTS FILED BY 

February 28, 2013

1 of 4

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2

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6

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60

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 1/31/2013 373,477,821 140,779,804 232,698,017 2,711,020,299 2,478,911,733 232,108,566 179,228,582 144,412,042 34,816,540 0

2 ADM INVESTOR SERVICES INC FCM CBOT 1/31/2013 271,333,477 152,432,689 118,900,788 3,102,702,231 2,863,164,187 239,538,044 216,114,631 149,563,024 66,551,607 0

3 ADVANCED MARKETS LLC FCMRFD NFA 1/31/2013 20,094,615 20,000,000 94,615 0 0 0 0 0 0 0

4 ADVANTAGE FUTURES LLC FCM CME 1/31/2013 23,477,866 12,416,918 11,060,948 493,147,382 482,369,182 10,778,200 29,746,802 28,018,171 1,728,631 0

5 ALPARI (US) LLC FCMRFD NFA 1/31/2013 26,172,071 20,155,144 6,016,927 4,188,289 1,991,671 2,196,618 2,132,419 1,220,736 911,683 13,102,874

6 AMERIPRISE FINANCIAL SERVICES INC FCM BD NFA 1/31/2013 103,364,856 1,000,000 102,364,856 0 0 0 0 0 0 0

7 AMP GLOBAL CLEARING LLC FCM NFA 1/31/2013 2,507,215 1,500,000 1,007,215 40,125,971 38,756,061 1,369,910 567,716 284,045 283,671 0

8 BARCLAYS CAPITAL INC FCM BD NYME 1/31/2013 5,255,149,784 1,046,308,976 4,208,840,808 6,880,939,518 6,641,100,813 239,838,705 3,631,460,541 3,460,750,812 170,709,729 0

9 BGC FINANCIAL LP FCM BD NFA 1/31/2013 52,689,434 1,606,221 51,083,213 0 0 0 0 0 0 0

10 BNP PARIBAS PRIME BROKERAGE INC FCM BD NYME 1/31/2013 2,216,473,785 223,101,635 1,993,372,150 2,262,240,434 2,017,987,394 244,253,040 15,526,876 4,952,979 10,573,897 0

11 BNP PARIBAS SECURITIES CORP FCM BD CBOT 1/31/2013 1,752,516,596 139,322,080 1,613,194,516 653,493,380 530,677,450 122,815,930 0 0 0 0

12 BNY MELLON CLEARING LLC FCM CME 1/31/2013 292,481,256 10,063,833 282,417,423 456,881,950 270,913,105 185,968,845 33,339,649 15,546,496 17,793,153 0

13 BOCI COMMODITIES & FUTURES USA LLC FCM NFA 1/31/2013 4,962,105 1,000,000 3,962,105 0 0 0 0 0 0 0

14 CANTOR FITZGERALD & CO FCM BD CBOT 1/31/2013 189,231,083 6,911,198 182,319,885 6,211,553 1,252,221 4,959,332 0 0 0 0

15 CAPITAL MARKET SERVICES LLC FCM NFA 1/31/2013 2,598,895 1,000,000 1,598,895 0 0 0 0 0 0 0

16 CHS HEDGING INC FCM NFA 1/31/2013 27,464,938 16,064,772 11,400,166 230,309,787 206,472,078 23,837,709 1,762,376 839,441 922,935 0

17 CITADEL SECURITIES LLC FCM BD CME 1/31/2013 392,884,561 1,000,000 391,884,561 0 0 0 0 0 0 0

18 CITIGROUP GLOBAL MARKETS INC FCM BD CBOT 1/31/2013 6,388,345,661 650,174,268 5,738,171,393 7,917,609,881 7,664,157,102 253,452,779 1,080,843,939 858,006,980 222,836,959 0

19 COMMONWEALTH FOREIGN EXCHANGE INC FCM NFA 1/31/2013 1,334,935 1,000,000 334,935 0 0 0 0 0 0 0

20 CREDIT SUISSE SECURITIES (USA) LLC FCM BD CBOT 1/31/2013 7,983,805,691 1,545,970,984 6,437,834,707 7,668,151,580 6,456,527,202 1,211,624,378 2,888,529,061 2,518,345,924 370,183,137 0

21 CROSSLAND LLC FCM CBOT 1/31/2013 7,512,969 3,853,637 3,659,332 75,045,623 72,906,239 2,139,384 26,500,899 25,740,884 760,015 0

22 CUNNINGHAM COMMODITIES LLC FCM CBOT 1/31/2013 2,847,397 1,361,633 1,485,764 76,961,057 76,020,663 940,394 396,339 289,383 106,956 0

23 CX CAPITAL MARKETS LLC FCM BD NFA 1/31/2013 2,951,337 1,000,000 1,951,337 38,943,787 36,978,382 1,965,405 0 0 0 0

24 DAIWA CAPITAL MARKETS AMERICA INC FCM BD CME 1/31/2013 325,234,644 5,184,474 320,050,170 8,050,474 3,399,321 4,651,153 1,054,502 0 1,054,502 0

25 DEUTSCHE BANK SECURITIES INC FCM BD CBOT 1/31/2013 8,270,266,345 663,807,275 7,606,459,070 15,539,244,592 14,959,555,486 579,689,106 1,239,659,576 982,246,305 257,413,271 0

26 DORMAN TRADING LLC FCM CME 1/31/2013 9,842,023 1,840,042 8,001,981 140,528,697 137,728,361 2,800,336 2,480,259 2,212,544 267,715 0

27 E D & F MAN CAPITAL MARKETS INC FCM BD CME 1/31/2013 15,585,457 1,000,000 14,585,457 33,844,183 28,102,958 5,741,225 524,149 22,934 501,215 0

28 EAGLE MARKET MAKERS INC FCM CBOT 1/31/2013 6,053,570 1,000,000 5,053,570 0 0 0 0 0 0 0

29 EASY FOREX US LTD FCM NFA 1/31/2013 1,452,653 1,000,000 452,653 0 0 0 0 0 0 0

30 ENSKILDA FUTURES LTD FCM CME 1/31/2013 34,544,813 15,576,151 18,968,662 231,020,373 221,972,204 9,048,169 0 0 0 0

31 FCSTONE LLC FCM CME 1/31/2013 107,012,754 72,578,407 34,434,347 1,517,739,657 1,492,945,458 24,794,199 73,054,625 62,453,089 10,601,536 0

32 FOREX CAPITAL MARKETS LLC FCMRFD NFA 1/31/2013 43,850,885 26,836,281 17,014,604 0 0 0 0 0 0 146,725,612

33 FRIEDBERG MERCANTILE GROUP INC FCM NFA 1/31/2013 3,584,039 1,000,000 2,584,039 9,555,925 8,985,036 570,889 449,812 392,728 57,084 0

34 FRONTIER FUTURES INC FCM NFA 1/31/2013 1,976,961 1,000,000 976,961 30,728,362 29,871,784 856,578 0 0 0 0

35 FX SOLUTIONS LLC FCMRFD NFA 1/31/2013 26,686,373 20,252,836 6,433,537 0 0 0 0 0 0 15,056,711

36 FXDIRECTDEALER LLC FCMRFD NFA 1/31/2013 23,276,901 20,899,831 2,377,070 0 0 0 0 0 0 27,996,620

37 GAIN CAPITAL GROUP LLC FCMRFD NFA 1/31/2013 45,614,527 24,698,639 20,915,888 123,907,405 119,270,639 4,636,766 3,051,325 2,415,892 635,433 103,972,772

38 GH FINANCIALS LLC FCM CME 1/31/2013 8,475,497 1,000,000 7,475,497 1,347,203 908,770 438,433 0 0 0 0

39 GLOBAL FUTURES & FOREX LTD FCMRFD NFA 1/31/2013 2,464,296 20,000,000 (17,535,704) 0 0 0 0 0 0 0

40 GOLDMAN SACHS & CO FCM BD CBOT 1/31/2013 14,019,004,414 1,774,179,788 12,244,824,626 19,715,630,751 19,218,147,334 497,483,417 8,708,082,003 8,009,030,277 699,051,726 0

41 GOLDMAN SACHS EXECUTION & CLEARING LP FCM BD CME 1/31/2013 2,078,395,233 158,778,416 1,919,616,817 1,372,194,733 797,104,351 575,090,382 62,090,912 15,982,333 46,108,579 0

42 GUGGENHEIM SECURITIES LLC FCM BD NFA 1/31/2013 58,026,005 1,119,104 56,906,901 0 0 0 0 0 0 0

43 HSBC SECURITIES USA INC FCM BD CME 1/31/2013 1,126,064,831 116,701,684 1,009,363,147 936,722,669 865,690,555 71,032,114 80,325,920 62,767,902 17,558,018 0

44 IBFX INC RFED NFA 1/31/2013 28,732,616 23,155,034 5,577,582 0 0 0 0 0 0 73,100,678

45 INSTINET LLC FCM BD NFA 1/31/2013 97,428,251 1,603,366 95,824,885 0 0 0 0 0 0 0

46 INSTITUTIONAL LIQUIDITY LLC FCMRFD NFA 1/31/2013 33,160,653 20,172,328 12,988,325 0 0 0 0 0 0 13,446,564

47 INTEGRATED BROKERAGE SERVICES LLC FCM NFA 1/31/2013 112,006 1,000,000 (887,994) 0 0 0 0 0 0 0

48 INTERACTIVE BROKERS LLC FCM BD NFA 1/31/2013 1,635,249,621 251,080,173 1,384,169,448 2,113,644,986 1,907,337,504 206,307,482 632,901,780 521,508,870 111,392,910 47,771,959

49 IRONBEAM INC FCM NFA 1/31/2013 2,601,518 1,134,787 1,466,731 50,670,675 49,383,222 1,287,453 110,206 2,924 107,282 0

50 ITG DERIVATIVES LLC FCM BD NFA 1/31/2013 4,809,653 1,000,000 3,809,653 0 0 0 0 0 0 0

51 JEFFERIES BACHE LLC FCM CBOT 1/31/2013 242,103,000 159,520,000 82,583,000 2,617,417,000 2,512,582,000 104,835,000 216,056,000 145,185,000 70,871,000 0

52 JP MORGAN CLEARING CORP FCM BD NFA 1/31/2013 6,757,428,115 1,738,785,012 5,018,643,103 935,131,246 660,612,905 274,518,341 491,685,000 293,064,869 198,620,131 0

53 JP MORGAN SECURITIES LLC FCM BD CEI 1/31/2013 13,078,104,177 1,548,149,687 11,529,954,490 19,195,804,396 17,169,789,841 2,026,014,555 3,233,980,942 2,889,947,111 344,033,831 0

54 KNIGHT CAPITAL AMERICAS LLC FCM BD CME 1/31/2013 251,449,591 20,917,727 230,531,864 418,680,341 402,071,859 16,608,482 14,855,732 10,196,670 4,659,062 28,354,540

Futures Commission Merchant / Retail Foreign Exchange 

Dealer
SELECTED FCM FINANCIAL DATA AS OF 

January 31, 2013

FROM REPORTS FILED BY 

February 28, 2013

2 of 4

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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

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

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100

101

102

103

104

105

106

107

108

109

110

111

112

113

114

115

55 LEK SECURITIES CORPORATION FCM BD NFA 1/31/2013 10,129,257 1,908,388 8,220,869 7,326,577 6,348,324 978,253 0 0 0 0

56 LINN GROUP THE FCM NFA 1/31/2013 3,544,886 2,013,941 1,530,945 80,132,169 76,462,887 3,669,282 372,586 79,885 292,701 0

57 LIQUID FUTURES LLC FCM NFA 1/31/2013 1,079,679 1,000,000 79,679 0 0 0 0 0 0 0

58 LPL FINANCIAL LLC FCM BD NFA 1/31/2013 86,014,652 7,459,247 78,555,405 0 0 0 0 0 0 0

59 MACQUARIE FUTURES USA LLC FCM CBOT 1/31/2013 101,047,554 85,379,645 15,667,909 1,258,975,472 1,135,435,856 123,539,616 41,389,317 34,617,691 6,771,626 0

60 MAREX NORTH AMERICA LLC FCM CME 1/31/2013 9,670,108 6,721,326 2,948,782 79,048,758 73,594,605 5,454,153 5,169,478 4,289,578 879,900 0

61 MAREX USA LIMITED FCM NFA 1/31/2013 3,060,253 1,000,000 2,060,253 0 0 0 0 0 0 0

62 MB TRADING FUTURES INC FCMRFD NFA 1/31/2013 23,538,000 21,273,340 2,264,660 0 0 0 0 0 0 35,466,801

63 MCVEAN TRADING & INVESTMENTS LLC FCM NFA 1/31/2013 13,400,815 3,988,377 9,412,438 935,272,609 912,872,050 22,400,559 2,650,556 0 2,650,556 0

64 MERRILL LYNCH PIERCE FENNER & SMITH FCM BD CBOT 1/31/2013 10,777,971,119 739,037,792 10,038,933,327 8,100,271,946 7,590,605,545 509,666,401 2,544,219,647 2,197,749,154 346,470,493 0

65 MERRILL LYNCH PROFESSIONAL CLEARING CORP FCM BD NFA 1/31/2013 2,097,457,780 228,601,401 1,868,856,379 1,689,831,389 1,025,843,233 663,988,156 29,301,864 1,292,380 28,009,484 0

66 MID CO COMMODITIES INC FCM NFA 1/31/2013 9,616,962 5,526,242 4,090,720 48,631,854 39,317,219 9,314,635 733,365 160,938 572,427 0

67 MITSUBISHI UFJ SECURITIES USA INC FCM BD NFA 1/31/2013 199,440,611 1,016,856 198,423,755 0 0 0 0 0 0 0

68 MITSUI BUSSAN COMMODITIES USA INC FCM NFA 1/31/2013 3,334,885 1,000,000 2,334,885 0 0 0 0 0 0 0

69 MIZUHO SECURITIES USA INC FCM BD CME 1/31/2013 465,114,712 192,323,064 272,791,648 1,970,192,204 1,760,524,611 209,667,593 545,449,088 443,970,984 101,478,104 0

70 MORGAN KEEGAN & COMPANY INC FCM BD NFA 1/31/2013 206,727,276 7,364,244 199,363,032 0 0 0 0 0 0 0

71 MORGAN STANLEY & CO LLC FCM BD CME 1/31/2013 8,093,099,509 1,419,494,758 6,673,604,751 7,852,803,092 7,645,493,813 207,309,279 1,779,695,861 1,574,103,846 205,592,015 0

72 MORGAN STANLEY SMITH BARNEY LLC FCM BD NFA 1/31/2013 2,702,534,717 134,842,823 2,567,691,894 718,632,137 652,923,267 65,708,870 91,987,336 77,370,406 14,616,930 0

73 NATIXIS SECURITIES AMERICAS LLC FCM BD NFA 1/31/2013 360,208,411 1,518,420 358,689,991 0 0 0 0 0 0 0

74 NEUBERGER BERMAN LLC FCM BD NFA 1/31/2013 54,981,573 1,500,000 53,481,573 0 0 0 0 0 0 0

75 NEWEDGE USA LLC FCM BD NYME 1/31/2013 1,938,114,544 1,025,446,090 912,668,454 15,900,014,318 15,301,965,994 598,048,324 4,233,925,969 3,837,019,681 396,906,288 0

76 NOMURA SECURITIES INTERNATIONAL INC FCM BD CBOT 1/31/2013 2,242,024,406 35,106,619 2,206,917,787 50,143,581 28,943,156 21,200,425 9,304,295 8,086,796 1,217,499 0

77 OANDA CORPORATION FCMRFD NFA 1/31/2013 148,779,968 27,024,056 121,755,912 0 0 0 0 0 0 150,481,122

78 OMAHA CAPITAL GROUP LLC FCM NFA 1/31/2013 1,044,119 1,000,000 44,119 0 0 0 0 0 0 0

79 OPPENHEIMER & CO INC FCM BD NFA 1/31/2013 154,627,330 27,288,925 127,338,405 47,317,000 38,155,357 9,161,643 0 0 0 0

80 OPTIONSXPRESS INC FCM BD NFA 1/31/2013 90,261,351 5,989,790 84,271,561 111,724,445 90,678,925 21,045,520 5,290,652 2,765,442 2,525,210 0

81 PHILLIP FUTURES INC FCM CME 1/31/2013 27,369,972 20,000,000 7,369,972 228,917,386 203,723,187 25,194,199 595,512 177,319 418,193 0

82 PIONEER FUTURES INC FCM NFA 1/31/2013 1,727,092 1,000,000 727,092 3,488,433 3,317,334 171,099 50,000 0 50,000 0

83 RAND FINANCIAL SERVICES INC FCM CME 1/31/2013 77,226,443 21,300,620 55,925,823 367,437,400 327,315,200 40,122,200 39,427,000 17,281,100 22,145,900 0

84 RAYMOND JAMES & ASSOCIATES INC FCM BD NFA 1/31/2013 325,696,117 29,630,381 296,065,736 0 0 0 0 0 0 0

85 RBC CAPITAL MARKETS LLC FCM BD CME 1/31/2013 1,351,721,261 109,847,538 1,241,873,723 856,906,486 794,391,471 62,515,015 150,315,671 89,701,672 60,613,999 0

86 RBS SECURITIES INC FCM BD CBOT 1/31/2013 3,604,205,307 153,632,322 3,450,572,985 1,631,184,587 1,488,059,303 143,125,284 153,290,242 35,379,059 117,911,183 0

87 RJ OBRIEN ASSOCIATES LLC FCM CME 1/31/2013 213,349,385 141,485,081 71,864,304 3,992,677,395 3,875,235,559 117,441,836 209,634,469 182,896,718 26,737,751 1,362,014

88 ROSENTHAL COLLINS GROUP LLC FCM CME 1/31/2013 85,318,346 61,996,097 23,322,249 1,572,682,272 1,551,877,330 20,804,942 50,112,617 40,049,667 10,062,950 0

89 SANFORD C BERNSTEIN & CO LLC FCM BD NFA 1/31/2013 140,848,943 18,027,326 122,821,617 0 0 0 0 0 0 0

90 SANTANDER INVESTMENT SECURITIES INC FCM BD NYME 1/31/2013 224,527,318 8,495,715 216,031,603 628,029,255 625,719,506 2,309,749 0 0 0 0

91 STATE STREET GLOBAL MARKETS LLC FCM BD CME 1/31/2013 496,447,008 7,937,532 488,509,476 248,665,102 93,901,932 154,763,170 49,342,866 8,873,478 40,469,388 0

92 STEPHENS INC FCM BD NFA 1/31/2013 110,282,693 11,459,639 98,823,054 0 0 0 0 0 0 0

93 STRAITS FINANCIAL LLC FCM CME 1/31/2013 9,450,634 2,417,418 7,033,216 92,611,107 88,420,010 4,191,097 19,005,018 16,989,270 2,015,748 0

94 TD AMERITRADE INC FCM BD NFA 1/31/2013 260,723,691 6,746,736 253,976,955 127,633,566 100,203,071 27,430,495 0 0 0 0

95 TIMBER HILL LLC FCM BD CME 1/31/2013 477,834,072 47,068,438 430,765,634 654,845,197 652,319,404 2,525,793 0 0 0 0

96 TRADELINK LLC FCM BD CBOT 1/31/2013 15,014,520 1,000,000 14,014,520 0 0 0 0 0 0 0

97 TRADESTATION SECURITIES INC FCM BD NFA 1/31/2013 49,056,684 3,405,106 45,651,578 403,183,502 393,027,856 10,155,646 16,011,108 14,934,270 1,076,838 0

98 TRADITION SECURITIES AND FUTURES INC FCM NFA 1/31/2013 1,526,481 1,000,000 526,481 0 0 0 0 0 0 0

99 TULLETT PREBON FINANCIAL SERVICES LLC FCM BD NFA 1/31/2013 29,218,687 1,000,000 28,218,687 0 0 0 0 0 0 0

100 UBS FINANCIAL SERVICES INC FCM BD NFA 1/31/2013 1,222,891,125 105,544,006 1,117,347,119 145,690,023 119,939,684 25,750,339 25,698,315 1,632,504 24,065,811 0

101 UBS SECURITIES LLC FCM BD CBOT 1/31/2013 11,232,950,394 919,390,763 10,313,559,631 8,956,796,881 8,352,129,152 604,667,729 4,127,905,899 3,727,973,412 399,932,487 0

102 VELOCITY FUTURES LLC FCM NFA 1/31/2013 1,497,079 1,000,000 497,079 67,294,707 66,426,936 867,771 2,566,342 1,957,162 609,180 0

103 VISION FINANCIAL MARKETS LLC FCM BD CME 1/31/2013 28,307,365 15,247,485 13,059,880 642,357,411 625,972,619 16,384,792 12,276,089 10,059,361 2,216,728 0

104 WELLS FARGO ADVISORS FINANCIAL NETWORK LLC FCM BD NFA 1/31/2013 41,140,496 1,000,000 40,140,496 0 0 0 0 0 0 0

105 WELLS FARGO ADVISORS LLC FCM BD NFA 1/31/2013 1,409,269,125 1,500,000 1,407,769,125 0 0 0 0 0 0 0

106 WELLS FARGO SECURITIES LLC FCM BD CME 1/31/2013 2,484,446,024 13,657,981 2,470,788,043 0 0 0 0 0 0 0

107 WHITE COMMERCIAL CORPORATION FCM NFA 1/31/2013 2,355,833 1,000,000 1,355,833 0 0 0 0 0 0 0

108 XPRESSTRADE LLC RFED NFA 1/31/2013 22,867,706 20,000,000 2,867,706 0 0 0 0 0 0 720,566

109 YORK BUSINESS ASSOCIATES LLC FCM NFA 1/31/2013 3,537,944 1,000,000 2,537,944 62,017,253 60,091,190 1,926,063 2,106,008 1,620,336 485,672 0
SELECTED FCM FINANCIAL DATA AS OF 

January 31, 2013

FROM REPORTS FILED BY 

February 28, 2013

3 of 4

1

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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

116

117

118

119

120

121

122

123

124

125

126

127

128

129

130

131

132

Totals 157,142,571,904 146,226,880,657 10,915,691,247 37,014,339,743 32,536,432,474 4,477,907,269 657,558,833

December Web Page Update 110

Additions 0

None

Deletions 1

CIBC WORLD MARKETS CORP

Name Changes

None

January Web Page Update 109
SELECTED FCM FINANCIAL DATA AS OF 

January 31, 2013

FROM REPORTS FILED BY 

February 28, 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

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

(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.