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 11/30/2017 542,615,128 150,408,931 392,206,197 2,841,432,855 2,494,980,490 346,452,365 163,874,851 119,095,798 99,007,602 20,088,196 9,900,760 0 0 0 0 0

2 ADM INVESTOR SERVICES INC FCM CBOT 11/30/2017 313,443,189 186,391,519 127,051,670 4,560,159,322 4,349,585,458 210,573,864 120,000,000 416,856,544 365,072,561 51,783,983 20,000,000 14,782,751 4,903,383 9,879,368 8,000,000 0

3 ADVANTAGE FUTURES LLC FCM CME 11/30/2017 21,389,684 12,250,153 9,139,531 594,757,268 582,161,484 12,595,784 7,000,000 36,622,769 35,034,475 1,588,294 1,000,000 0 0 0 0 0

4 AMP GLOBAL CLEARING LLC FCM NFA 11/30/2017 2,865,527 1,000,000 1,865,527 54,227,592 51,065,934 3,161,658 900,000 2,681,437 2,342,899 338,538 150,000 0 0 0 0 0

5 APEX CLEARING CORPORATION FCM BD NFA 11/30/2017 139,176,523 18,295,282 120,881,241 8,078,384 2,546,039 5,532,345 500,000 0 0 0 0 0 0 0 0 0

6 BARCLAYS CAPITAL INC FCM BD NYME 11/30/2017 7,163,011,543 1,090,946,383 6,072,065,160 5,771,163,606 5,268,303,089 502,860,517 316,625,016 3,757,984,115 3,505,803,146 252,180,969 170,382,033 5,409,011,685 4,906,587,568 502,424,117 194,791,526 0

7 BGC FINANCIAL LP FCM BD NFA 11/30/2017 36,849,904 2,213,453 34,636,451 0 0 0 0 0 0 0 0 0 0 0 0 0

8 BNP PARIBAS PRIME BROKERAGE INC FCM BD NYME 11/30/2017 1,358,020,687 158,570,963 1,199,449,724 1,759,699,697 1,571,421,190 188,278,507 150,000,000 57,334,633 47,444,778 9,889,855 7,500,000 20,616,075 10,880,989 9,735,086 7,500,000 0

9 BNP PARIBAS SECURITIES CORP FCM BD CBOT 11/30/2017 1,386,645,397 230,603,027 1,156,042,370 1,084,511,240 981,391,053 103,120,187 82,500,000 143,252,333 114,925,016 28,327,317 22,500,000 939,218,413 789,143,649 150,074,764 120,000,000 0

10 BOCI COMMODITIES & FUTURES USA LLC FCM CME 11/30/2017 7,615,886 1,706,689 5,909,197 32,353,961 27,119,301 5,234,660 1,000,000 6 0 6 1 6 0 6 1 0

11 CANTOR FITZGERALD & CO FCM BD CBOT 11/30/2017 202,063,439 12,894,591 189,168,848 4,969,921 0 4,969,921 3,000,000 0 0 0 0 0 0 0 0 0

12 CHARLES SCHWAB FUTURES, INC. FCM BD NFA 11/30/2017 291,722,014 4,401,402 287,320,612 103,573,186 56,944,007 46,629,179 8,541,601 2,615,118 1,108,302 1,506,816 166,245 0 0 0 0 0

13 CHS HEDGING LLC FCM CBOT 11/30/2017 43,907,545 7,805,992 36,101,553 168,243,649 123,638,661 44,604,988 13,600,000 1,525,762 743 1,525,019 200,000 503,912 0 503,912 120,000 0

14 CITIGROUP GLOBAL MARKETS INC FCM BD SD CBOT/NFA 11/30/2017 10,008,033,736 2,010,977,960 7,997,055,776 7,084,755,608 6,622,982,754 461,772,854 319,000,000 2,173,336,140 1,991,301,509 182,034,631 150,000,000 21,340,493,173 20,850,679,739 489,813,434 392,200,000 0

15 CREDIT SUISSE SECURITIES (USA) LLC FCM BD CBOT 11/30/2017 9,281,551,205 1,411,700,665 7,869,850,540 5,901,085,954 5,571,225,933 329,860,021 278,561,297 3,741,678,092 3,536,533,980 205,144,112 176,826,699 11,871,228,262 11,227,804,074 643,424,188 561,390,204 0

16 CUNNINGHAM COMMODITIES LLC FCM CBOT 11/30/2017 5,037,383 1,565,189 3,472,194 85,706,915 82,105,677 3,601,238 3,050,000 1,428,983 973,028 455,955 100,000 0 0 0 0 0

17 DAIWA CAPITAL MARKETS AMERICA INC FCM BD CME 11/30/2017 613,279,214 10,185,317 603,093,897 2,166,792 0 2,166,792 1 573,111 0 573,111 1 0 0 0 0 0

18 DEUTSCHE BANK SECURITIES INC FCM BD CBOT 11/30/2017 12,794,614,115 273,814,824 12,520,799,291 2,537,170,071 2,334,163,015 203,007,056 125,000,000 1,154,707,506 1,027,245,872 127,461,634 75,000,000 0 0 0 0 0

19 DORMAN TRADING LLC FCM CME 11/30/2017 12,894,787 1,213,538 11,681,249 170,126,365 165,800,412 4,325,953 2,000,000 4,258,425 3,740,061 518,364 200,000 0 0 0 0 0

20 E D & F MAN CAPITAL MARKETS INC FCM BD CME 11/30/2017 141,413,990 47,367,307 94,046,683 1,255,410,222 1,160,534,952 94,875,270 35,000,000 64,925,723 56,233,736 8,691,987 5,000,000 2,884,249 1,721,267 1,162,982 500,000 0

21 E*TRADE FUTURES LLC FCM NFA 11/30/2017 16,772,911 5,863,561 10,909,350 115,525,223 103,746,994 11,778,229 5,000,000 0 0 0 0 0 0 0 0 0

22 EFL FUTURES LIMITED FCM CME 11/30/2017 45,206,255 17,793,875 27,412,380 240,647,899 225,790,120 14,857,779 5,000,000 0 0 0 0 0 0 0 0 0

23 GAIN CAPITAL GROUP LLC FCMRFD NFA 11/30/2017 46,277,710 34,368,771 11,908,939 236,653,469 222,344,628 14,308,841 10,000,000 5,123,830 3,788,781 1,335,049 1,000,000 0 0 0 0 253,602,103

24 GH FINANCIALS LLC FCM CME 11/30/2017 21,669,332 5,203,915 16,465,417 98,690,235 83,391,385 15,298,850 4,000,000 4,362,628 3,257,573 1,105,055 550,000 0 0 0 0 0

25 GOLDMAN SACHS & CO LLC FCM BD SD CBOT/NFA 11/30/2017 17,865,748,251 2,630,779,964 15,234,968,287 20,310,598,750 19,473,888,916 836,709,834 675,000,000 11,722,038,207 11,120,676,503 601,361,704 475,000,000 5,520,641,273 5,067,875,415 452,765,858 350,000,000 0

26 HSBC SECURITIES USA INC FCM BD CME 11/30/2017 950,119,141 261,942,597 688,176,544 1,517,690,476 1,440,666,558 77,023,918 67,000,000 194,703,068 158,918,276 35,784,792 25,000,000 1,170,711,834 1,015,587,211 155,124,623 138,000,000 0

27 HUATAI FINANCIAL USA INC FCM NFA 11/30/2017 2,239,156 1,000,000 1,239,156 0 0 0 0 0 0 0 0 0 0 0 0 0

28 INTERACTIVE BROKERS LLC FCM BD CME 11/30/2017 3,883,858,902 449,106,788 3,434,752,114 4,743,863,419 4,535,406,361 208,457,058 155,000,000 584,310,073 456,515,558 127,794,515 80,000,000 0 0 0 0 47,045,064

29 INTL FCSTONE FINANCIAL INC FCM BD CME 11/30/2017 153,076,036 82,277,878 70,798,158 2,407,039,191 2,355,376,057 51,663,134 35,000,000 170,566,453 154,127,647 16,438,806 8,000,000 0 0 0 0 0

30 IRONBEAM INC FCM NFA 11/30/2017 3,650,720 1,590,362 2,060,358 78,884,734 77,390,165 1,494,569 800,000 431,284 214,359 216,925 50,000 0 0 0 0 0

31 JEFFERIES LLC FCM BD NFA 11/30/2017 1,418,930,464 88,761,431 1,330,169,033 0 0 0 0 0 0 0 0 0 0 0 0 0

32 JP MORGAN SECURITIES LLC FCM BD SD CEI/NFA 11/30/2017 12,913,822,291 2,807,667,135 10,106,155,156 17,665,241,311 16,198,443,515 1,466,797,796 769,426,067 5,242,294,562 4,767,499,936 474,794,626 405,237,495 12,649,819,559 11,676,601,174 973,218,385 613,021,562 0

33 MACQUARIE FUTURES USA LLC FCM CBOT 11/30/2017 278,914,981 143,961,192 134,953,789 1,937,610,698 1,722,254,184 215,356,514 100,000,000 51,406,294 35,597,580 15,808,714 7,000,000 23,004,949 2,639,136 20,365,813 1,000,000 0

34 MAREX NORTH AMERICA LLC FCM CME 11/30/2017 20,132,650 14,701,754 5,430,896 181,093,874 178,534,287 2,559,587 1,820,000 70,185,569 68,593,142 1,592,427 1,100,000 0 0 0 0 0

35 MCVEAN TRADING & INVESTMENTS LLC FCM NFA 11/30/2017 14,884,052 1,958,441 12,925,611 778,697,137 757,671,882 21,025,255 18,000,000 2,567,861 0 2,567,861 1,000,000 0 0 0 0 0

36 MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED FCM BD CBOT 11/30/2017 12,444,244,841 1,755,513,794 10,688,731,047 14,058,689,168 13,773,864,217 284,824,951 200,000,000 4,323,067,158 4,073,101,308 249,965,850 150,000,000 6,631,300,905 6,287,234,021 344,066,884 150,000,000 0

37 MERRILL LYNCH PROFESSIONAL CLEARING CORP FCM BD NFA 11/30/2017 3,603,170,342 558,583,512 3,044,586,830 1,554,188,773 702,798,600 851,390,173 300,000,000 0 0 0 0 0 0 0 0 0

38 MID CO COMMODITIES INC FCM NFA 11/30/2017 8,665,210 3,304,192 5,361,018 37,841,794 27,988,146 9,853,648 5,138,000 0 0 0 0 0 0 0 0 0

39 MINT BROKERS FCM BD NFA 11/30/2017 4,822,172 1,000,000 3,822,172 0 0 0 0 0 0 0 0 0 0 0 0 0

40 MIZUHO SECURITIES USA LLC FCM BD SD CME/NFA 11/30/2017 645,221,154 237,575,342 407,645,812 3,035,500,973 2,835,965,193 199,535,780 125,000,000 767,386,700 641,414,492 125,972,208 70,000,000 33,865,266 3,806,187 30,059,079 15,000,000 0

41 MORGAN STANLEY & CO LLC FCM BD SD CME/NFA 11/30/2017 10,691,633,206 2,156,816,641 8,534,816,565 14,042,555,855 13,698,315,267 344,240,588 285,000,000 5,095,075,985 4,902,741,470 192,334,515 140,000,000 15,111,081,302 14,911,590,327 199,490,975 92,000,000 0

42 NANHUA USA LLC FCM CME 11/30/2017 18,258,083 2,381,435 15,876,648 51,499,170 36,000,142 15,499,028 3,500,000 0 0 0 0 0 0 0 0 0

43 NOMURA SECURITIES INTERNATIONAL INC FCM BD CBOT 11/30/2017 1,345,356,328 225,374,945 1,119,981,383 243,506,096 138,356,888 105,149,208 15,000,000 17,753,974 33,070 17,720,904 1,000,000 0 0 0 0 0

44 OANDA CORPORATION FCMRFD NFA 11/30/2017 79,833,026 51,793,919 28,039,107 0 0 0 0 0 0 0 0 0 0 0 0 172,863,090

45 PHILLIP CAPITAL INC FCM BD CME 11/30/2017 36,117,756 13,678,973 22,438,783 249,692,500 234,558,425 15,134,075 7,500,000 11,079,136 7,385,308 3,693,828 2,000,000 0 0 0 0 0

46 PICTET OVERSEAS INC FCM BD NFA 11/30/2017 16,895,216 1,000,000 15,895,216 1,500,000 0 1,500,000 1,500,000 500,000 0 500,000 500,000 0 0 0 0 0

47 RAND FINANCIAL SERVICES INC FCM CME 11/30/2017 86,029,144 14,518,699 71,510,445 194,556,500 153,017,400 41,539,100 4,590,500 52,024,600 28,022,500 24,002,100 840,700 0 0 0 0 0

48 RBC CAPITAL MARKETS LLC FCM BD CME 11/30/2017 1,866,588,998 240,262,088 1,626,326,910 3,012,086,980 2,718,056,197 294,030,783 200,000,000 368,346,140 324,704,584 43,641,556 20,000,000 553,614,861 292,472,715 261,142,146 40,000,000 0

49 RBS SECURITIES INC FCM BD CBOT 11/30/2017 530,172,401 32,870,704 497,301,697 604,491,076 451,986,595 152,504,481 125,000,000 60,255,791 28,514,117 31,741,674 25,000,000 0 0 0 0 0

50 RJ OBRIEN ASSOCIATES LLC FCM SD CME/NFA 11/30/2017 210,557,435 139,072,478 71,484,957 3,896,690,408 3,802,390,235 94,300,173 50,000,000 266,641,562 242,099,185 24,542,377 20,000,000 0 0 0 0 0

51 ROSENTHAL COLLINS GROUP LLC FCM CME 11/30/2017 77,025,580 51,612,112 25,413,468 1,305,971,058 1,279,846,021 26,125,037 18,000,000 33,756,093 23,189,021 10,567,072 8,000,000 0 0 0 0 0

52 SANTANDER INVESTMENT SECURITIES INC FCM BD NYME 11/30/2017 198,026,959 50,000,000 148,026,959 626,763,324 614,821,488 11,941,836 9,000,000 0 0 0 0 0 0 0 0 0

53 SCOTIA CAPITAL USA INC FCM BD CME 11/30/2017 655,461,941 52,071,771 603,390,170 0 0 0 0 0 0 0 0 0 0 0 0 0

54 SG AMERICAS SECURITIES LLC FCM BD CME 11/30/2017 4,004,702,913 1,172,215,619 2,832,487,294 13,289,616,620 12,594,033,159 695,583,461 500,000,000 4,845,663,255 4,340,137,356 505,525,899 255,000,000 578,853,599 357,275,751 221,577,848 75,000,000 0

55 STRAITS FINANCIAL LLC FCM CME 11/30/2017 22,019,242 6,877,475 15,141,767 204,205,794 189,385,171 14,820,623 2,000,000 31,699,565 25,633,896 6,065,669 300,000 0 0 0 0 0

56 TD AMERITRADE FUTURES & FOREX LLC FCM NFA 11/30/2017 80,246,661 22,591,628 57,655,033 303,755,966 221,150,863 82,605,103 25,000,000 0 0 0 0 0 0 0 0 61,832,553

57 TRADESTATION SECURITIES INC FCM BD CME 11/30/2017 84,475,403 5,194,035 79,281,368 578,501,225 565,767,119 12,734,106 9,000,000 25,413,396 22,820,679 2,592,717 800,000 0 0 0 0 0

58 UBS FINANCIAL SERVICES INC FCM BD NFA 11/30/2017 1,324,485,438 127,634,773 1,196,850,665 123,061,499 90,567,052 32,494,447 22,000,000 32,380,462 6,419,934 25,960,528 15,000,000 0 0 0 0 0

59 UBS SECURITIES LLC FCM BD CBOT 11/30/2017 5,796,082,793 774,559,860 5,021,522,933 6,736,872,166 6,237,137,082 499,735,084 425,000,000 3,588,610,825 3,212,936,139 375,674,686 300,000,000 901,931,731 636,453,605 265,478,126 200,000,000 0

60 UOBBF CLEARING LIMITED FCM CME 11/30/2017 25,851,676 4,374,449 21,477,227 71,431,933 53,012,294 18,419,639 2,700,000 0 0 0 0 0 0 0 0 0

61 WEDBUSH SECURITIES INC FCM BD CBOT 11/30/2017 175,613,729 26,517,829 149,095,900 1,477,915,774 1,461,221,217 16,694,557 13,000,000 17,659,714 12,819,560 4,840,154 1,000,000 0 0 0 0 0

62 WELLS FARGO SECURITIES LLC FCM BD CME 11/30/2017 7,648,104,316 797,036,219 6,851,068,097 3,922,363,394 3,636,624,898 285,738,496 200,000,000 371,074,245 320,845,093 50,229,152 25,000,000 7,235,848,444 6,653,596,114 582,252,330 475,000,000 0

63 YORK BUSINESS ASSOCIATES LLC FCM NFA 11/30/2017 5,143,038 1,000,000 4,143,038 45,517,327 40,941,561 4,575,766 2,000,000 1,595,206 1,250,711 344,495 200,000 0 0 0 0 0

Totals 154,000,604,397 144,378,679,731 9,621,924,666 6,026,127,333 49,636,850,131 45,770,025,486 3,866,824,645 2,677,503,934 90,009,412,249 84,696,852,325 5,312,559,924 3,433,523,293 535,342,810

October Web Page Update 63

Additions 0

None

Deletions 0

None

Name Changes

None

November Web Page Update 63
 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.

•  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: 

(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.

(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. 

(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.