SELECTED FCM FINANCIAL DATA AS OF 

January 31, 2015

FROM REPORTS FILED BY 

March 3, 2015

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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 1/31/2015 647,150,810 186,875,960 460,274,850 3,101,154,172 2,782,540,607 318,613,565 152,723,940 175,572,416 127,897,854 47,674,562 19,184,678 0 0 0 0 0

2 ADM INVESTOR SERVICES INC FCM CBOT 1/31/2015 290,213,693 172,553,842 117,659,851 4,162,189,544 3,874,077,204 288,112,340 120,000,000 260,316,474 200,818,503 59,497,971 20,000,000 13,551,971 3,024,351 10,527,620 8,000,000 0

3 ADVANTAGE FUTURES LLC FCM CME 1/31/2015 24,043,421 16,683,127 7,360,294 543,424,857 528,185,492 15,239,365 8,500,000 32,077,342 30,105,013 1,972,329 1,000,000 0 0 0 0 0

4 AMP GLOBAL CLEARING LLC FCM NFA 1/31/2015 2,706,431 1,500,000 1,206,431 54,960,731 53,376,753 1,583,978 900,000 1,219,047 819,656 399,391 150,000 0 0 0 0 0

5 BARCLAYS CAPITAL INC FCM BD NYME 1/31/2015 6,508,845,305 1,362,781,631 5,146,063,674 6,762,027,048 5,999,292,638 762,734,410 329,961,095 2,906,453,660 2,673,419,917 233,033,743 134,205,679 6,636,638,066 5,661,339,214 975,298,852 203,242,077 0

6 BGC FINANCIAL LP FCM BD NFA 1/31/2015 51,445,543 1,513,869 49,931,674 0 0 0 0 0 0 0 0 0 0 0 0 0

7 BNP PARIBAS PRIME BROKERAGE INC FCM BD NYME 1/31/2015 3,127,115,420 251,751,593 2,875,363,827 3,094,859,634 2,739,476,278 355,383,356 273,947,628 21,424,135 8,422,502 13,001,633 10,000,000 11,003,970 2,905,230 8,098,740 5,000,000 0

8 BNP PARIBAS SECURITIES CORP FCM BD CBOT 1/31/2015 1,582,116,091 259,766,642 1,322,349,449 1,339,614,347 1,086,105,477 253,508,870 217,221,095 50,630,685 34,643,490 15,987,195 3,464,349 747,199,448 613,524,084 133,675,364 61,352,408 0

9 BOCI COMMODITIES & FUTURES USA LLC FCM CME 1/31/2015 13,030,480 1,000,000 12,030,480 203 0 203 1 184 0 184 1 6 0 6 1 0

10 CANTOR FITZGERALD & CO FCM BD CBOT 1/31/2015 218,564,669 4,734,746 213,829,923 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 1/31/2015 28,599,781 9,781,121 18,818,660 175,410,870 147,934,466 27,476,404 13,100,000 1,764,883 346,746 1,418,137 545,000 0 0 0 0 0

12 CITIGROUP GLOBAL MARKETS INC FCM BD SD CBOT/NFA 1/31/2015 4,998,822,639 1,276,358,860 3,722,463,779 6,438,778,578 6,109,934,192 328,844,386 277,500,000 1,130,466,678 955,351,606 175,115,072 150,000,000 5,963,834,184 5,639,736,342 324,097,842 207,475,000 0

13 CREDIT SUISSE SECURITIES (USA) LLC FCM BD CBOT 1/31/2015 7,255,823,913 2,253,638,069 5,002,185,844 9,320,952,797 8,636,034,342 684,918,455 431,801,717 3,680,576,387 3,325,467,422 355,108,965 166,273,371 13,401,093,527 10,498,063,266 2,903,030,261 524,903,163 0

14 CUNNINGHAM COMMODITIES LLC FCM CBOT 1/31/2015 5,392,648 1,337,405 4,055,243 68,079,000 64,054,163 4,024,837 3,050,000 371,833 95,569 276,264 100,000 0 0 0 0 0

15 DAIWA CAPITAL MARKETS AMERICA INC FCM BD CME 1/31/2015 518,461,243 7,537,254 510,923,989 5,458,874 0 5,458,874 1 554,384 0 554,384 1 0 0 0 0 0

16 DEUTSCHE BANK SECURITIES INC FCM BD CBOT 1/31/2015 10,745,600,251 829,827,528 9,915,772,723 10,164,749,624 9,608,865,746 555,883,878 500,000,000 1,247,057,130 995,225,231 251,831,899 200,000,000 2,246,017,181 1,897,842,013 348,175,168 250,000,000 0

17 DORMAN TRADING LLC FCM CME 1/31/2015 9,320,875 2,503,428 6,817,447 172,017,046 167,963,959 4,053,087 2,000,000 2,877,662 2,201,793 675,869 200,000 0 0 0 0 0

18 E D & F MAN CAPITAL MARKETS INC FCM BD CME 1/31/2015 64,612,727 23,456,765 41,155,962 695,952,003 673,647,218 22,304,785 9,000,000 32,660,865 30,874,018 1,786,847 1,000,000 0 0 0 0 0

19 E TRADE CLEARING LLC FCM BD NFA 1/31/2015 791,777,989 176,100,500 615,677,489 54,100,148 40,525,763 13,574,385 10,000,000 1,420,760 411,680 1,009,080 1,000,000 0 0 0 0 0

20 EFL FUTURES LIMITED FCM CME 1/31/2015 34,358,100 15,234,708 19,123,392 213,237,280 200,282,054 12,955,226 5,000,000 0 0 0 0 0 0 0 0 0

21 FCSTONE LLC FCM CME 1/31/2015 119,994,959 65,004,017 54,990,942 1,750,408,393 1,703,381,330 47,027,063 24,000,000 74,001,869 55,319,958 18,681,911 8,000,000 0 0 0 0 0

22 FOREX CAPITAL MARKETS LLC FCMRFD SD NFA 1/31/2015 109,353,149 28,401,940 80,951,209 0 0 0 0 0 0 0 0 0 0 0 0 178,038,806

23 GAIN CAPITAL GROUP LLC FCMRFD NFA 1/31/2015 36,156,193 24,656,193 11,500,000 217,758,208 204,692,667 13,065,541 2,500,000 5,588,435 2,903,853 2,684,582 312,500 0 0 0 0 103,123,850

24 GH FINANCIALS LLC FCM CME 1/31/2015 11,562,386 3,990,812 7,571,574 52,988,196 51,140,083 1,848,113 1,000,000 300,702 1,290 299,412 75,000 0 0 0 0 0

25 GOLDMAN SACHS & CO FCM BD SD CBOT/NFA 1/31/2015 14,833,676,411 2,462,761,099 12,370,915,312 23,924,969,907 23,227,144,121 697,825,786 475,000,000 11,335,677,916 10,531,015,865 804,662,051 475,000,000 3,277,116,570 2,884,973,278 392,143,292 150,000,000 0

26 GOLDMAN SACHS EXECUTION & CLEARING LP FCM BD CME 1/31/2015 1,695,145,266 141,028,930 1,554,116,336 1,469,031,813 571,794,128 897,237,685 540,000,000 83,658,536 21,973,783 61,684,753 40,000,000 0 0 0 0 0

27 HSBC SECURITIES USA INC FCM BD CME 1/31/2015 1,035,501,959 238,737,652 796,764,307 1,113,417,187 992,498,390 120,918,797 50,000,000 196,671,483 149,984,963 46,686,520 31,170,958 874,508,057 731,162,951 143,345,106 30,000,000 0

28 IBFX INC RFED SD NFA 1/31/2015 23,230,954 21,958,319 1,272,635 0 0 0 0 0 0 0 0 0 0 0 0 46,809,673

29 INTERACTIVE BROKERS LLC FCM BD NFA 1/30/2015 2,459,805,914 274,000,284 2,185,805,630 2,633,757,950 2,442,216,355 191,541,595 155,000,000 497,944,385 369,647,544 128,296,841 80,000,000 0 0 0 0 49,236,560

30 IRONBEAM INC FCM NFA 1/31/2015 2,232,359 1,000,000 1,232,359 41,631,993 40,284,114 1,347,879 800,000 110,914 0 110,914 50,000 0 0 0 0 0

31 ITG DERIVATIVES LLC FCM BD NFA 1/31/2015 2,654,174 1,000,000 1,654,174 0 0 0 0 0 0 0 0 0 0 0 0 0

32 JEFFERIES LLC FCM BD CBOT 1/31/2015 881,944,599 123,843,649 758,100,950 1,919,665,294 1,808,976,503 110,688,791 90,000,000 198,799,280 129,121,691 69,677,589 50,000,000 19,550,966 5,699,215 13,851,751 5,000,000 0

33 JP MORGAN CLEARING CORP FCM BD NFA 1/31/2015 7,659,481,667 1,764,271,656 5,895,210,011 957,657,014 605,215,621 352,441,393 54,469,406 667,529,321 476,421,873 191,107,448 42,877,969 250,000 0 250,000 1 0

34 JP MORGAN SECURITIES LLC FCM BD SD CEI/NFA 1/31/2015 14,370,565,270 2,351,997,110 12,018,568,160 20,753,140,625 18,720,183,478 2,032,957,147 1,684,816,513 3,810,734,757 3,289,140,753 521,594,004 296,022,668 5,921,405,102 5,300,608,117 620,796,985 477,054,730 0

35 MACQUARIE FUTURES USA LLC FCM CBOT 1/31/2015 171,369,332 135,154,198 36,215,134 1,644,941,424 1,495,144,351 149,797,073 90,000,000 18,592,259 3,894,366 14,697,893 272,606 21,039,546 2,735,840 18,303,706 191,509 0

36 MAREX NORTH AMERICA LLC FCM CME 1/31/2015 16,649,984 11,580,549 5,069,435 146,454,345 141,527,770 4,926,575 3,500,000 33,444,809 32,162,904 1,281,905 1,000,000 0 0 0 0 0

37 MB TRADING FUTURES INC RFED NFA 1/31/2015 24,654,294 20,493,933 4,160,361 0 0 0 0 0 0 0 0 0 0 0 0 19,878,666

38 MCVEAN TRADING & INVESTMENTS LLC FCM NFA 1/31/2015 13,415,601 3,341,351 10,074,250 942,404,136 921,638,849 20,765,287 18,000,000 2,417,849 0 2,417,849 400,000 0 0 0 0 0

39 MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED FCM BD CBOT 1/31/2015 10,228,913,741 1,404,972,461 8,823,941,280 11,771,611,009 11,378,939,711 392,671,298 200,000,000 3,058,772,333 2,864,534,074 194,238,259 150,000,000 3,414,664,486 3,103,927,089 310,737,397 150,000,000 0

40 MERRILL LYNCH PROFESSIONAL CLEARING CORP FCM BD NFA 1/31/2015 2,675,566,631 532,061,819 2,143,504,812 1,185,579,453 578,725,862 606,853,591 300,000,000 4,644,981 939,592 3,705,389 1,000,000 0 0 0 0 0

41 MID CO COMMODITIES INC FCM NFA 1/31/2015 8,239,857 4,119,597 4,120,260 41,049,070 32,499,428 8,549,642 5,000,000 0 0 0 0 0 0 0 0 0

42 MINT BROKERS FCM BD NFA 1/31/2015 9,080,810 1,000,000 8,080,810 0 0 0 0 0 0 0 0 0 0 0 0 0

43 MITSUBISHI UFJ SECURITIES USA INC FCM BD NFA 1/31/2015 418,932,784 1,117,017 417,815,767 0 0 0 0 0 0 0 0 0 0 0 0 0

44 MIZUHO SECURITIES USA INC FCM BD SD CME/NFA 1/31/2015 509,310,658 246,095,188 263,215,470 3,053,223,412 2,852,309,072 200,914,340 150,000,000 904,159,778 804,319,574 99,840,204 80,000,000 27,314,366 2,185,257 25,129,109 20,000,000 0

45 MORGAN STANLEY & CO LLC FCM BD SD CME/NFA 1/31/2015 8,415,395,648 1,613,618,319 6,801,777,329 10,886,198,477 10,675,749,219 210,449,258 105,000,000 3,014,294,908 2,800,477,864 213,817,044 105,000,000 7,417,337,047 6,946,266,661 471,070,386 92,000,000 0

46 NANHUA USA LLC FCM NFA 1/31/2015 7,519,374 1,000,000 6,519,374 250,000 0 250,000 250,000 0 0 0 0 0 0 0 0 0

47 NEUBERGER BERMAN LLC FCM BD NFA 1/31/2015 50,897,647 1,500,000 49,397,647 0 0 0 0 0 0 0 0 0 0 0 0 0

48 NOMURA SECURITIES INTERNATIONAL INC FCM BD CBOT 1/31/2015 1,841,002,791 77,322,109 1,763,680,682 118,047,647 67,939,749 50,107,898 15,000,000 21,059,675 4,379,896 16,679,779 1,000,000 43,235,953 20,126,959 23,108,994 20,000,000 0

49 OANDA CORPORATION FCMRFD NFA 1/31/2015 41,739,597 25,833,835 15,905,762 0 0 0 0 0 0 0 0 0 0 0 0 126,676,697

50 OPTIONSXPRESS INC FCM BD NFA 1/31/2015 125,786,867 7,166,012 118,620,855 106,518,454 74,340,586 32,177,868 7,434,059 1,943,803 845,264 1,098,539 84,526 0 0 0 0 0

51 PHILLIP CAPITAL INC FCM CME 1/31/2015 27,459,115 20,000,000 7,459,115 261,786,793 244,363,770 17,423,023 12,218,189 10,442,108 6,599,867 3,842,241 329,993 0 0 0 0 0

52 RAND FINANCIAL SERVICES INC FCM CME 1/31/2015 80,686,113 20,072,084 60,614,029 280,122,800 236,741,300 43,381,500 7,102,200 39,463,500 17,360,100 22,103,400 520,800 0 0 0 0 0

53 RBC CAPITAL MARKETS LLC FCM BD CME 1/31/2015 1,032,991,690 156,074,391 876,917,299 2,239,396,388 2,046,101,978 193,294,410 160,000,000 140,626,713 100,899,260 39,727,453 20,000,000 90,034,800 33,000 90,001,800 40,000,000 0

54 RBS SECURITIES INC FCM BD CBOT 1/31/2015 4,787,765,060 132,568,992 4,655,196,068 1,964,789,868 1,795,565,465 169,224,403 125,000,000 166,337,180 41,806,102 124,531,078 100,000,000 87,461,181 0 87,461,181 80,000,000 0

55 RJ OBRIEN ASSOCIATES LLC FCM SD CME/NFA 1/31/2015 199,159,638 143,580,570 55,579,068 4,288,470,486 4,202,321,592 86,148,894 40,000,000 227,298,706 201,149,379 26,149,327 20,000,000 0 0 0 0 1,330,811

56 ROSENTHAL COLLINS GROUP LLC FCM CME 1/31/2015 76,513,429 56,966,878 19,546,551 1,506,416,255 1,477,850,571 28,565,684 18,000,000 31,032,528 19,560,191 11,472,337 9,000,000 0 0 0 0 0

57 SANFORD C BERNSTEIN & CO LLC FCM BD NFA 1/31/2015 175,457,921 25,087,434 150,370,487 0 0 0 0 0 0 0 0 0 0 0 0 0

58 SANTANDER INVESTMENT SECURITIES INC FCM BD NYME 1/31/2015 195,953,803 11,737,468 184,216,335 649,231,259 646,840,217 2,391,042 2,000,000 0 0 0 0 0 0 0 0 0

59 SG AMERICAS SECURITIES LLC FCM BD CME 1/31/2015 3,399,935,829 1,056,783,136 2,343,152,693 13,714,342,080 12,745,060,712 969,281,368 500,000,000 3,529,235,795 3,101,731,814 427,503,981 255,000,000 212,749,447 37,377,336 175,372,111 75,000,000 0

60 STATE STREET GLOBAL MARKETS LLC FCM BD CME 1/31/2015 386,072,206 35,682,701 350,389,505 587,181,023 466,045,623 121,135,400 23,302,281 48,249,998 5,502,051 42,747,947 15,000,000 101,350,102 20,649,406 80,700,696 50,000,000 0

61 STRAITS FINANCIAL LLC FCM CME 1/31/2015 23,978,197 13,192,108 10,786,089 495,490,997 479,421,894 16,069,103 2,000,000 42,219,690 36,170,661 6,049,029 300,000 0 0 0 0 0

62 TD AMERITRADE FUTURES & FOREX LLC FCM NFA 1/30/2015 1,993,037 1,000,000 993,037 0 0 0 0 0 0 0 0 0 0 0 0 0

63 TD AMERITRADE INC FCM BD NFA 1/31/2015 289,030,074 13,626,432 275,403,642 230,362,648 146,273,368 84,089,280 18,000,000 0 0 0 0 0 0 0 0 0

64 TIMBER HILL LLC FCM BD CME 1/31/2015 365,035,881 66,343,136 298,692,745 819,865,355 814,820,829 5,044,526 5,000,000 0 0 0 0 0 0 0 0 0

65 TRADESTATION SECURITIES INC FCM BD CME 1/31/2015 51,235,629 3,904,612 47,331,017 474,646,935 464,156,382 10,490,553 9,000,000 20,914,978 19,880,956 1,034,022 800,000 0 0 0 0 0

66 UBS FINANCIAL SERVICES INC FCM BD NFA 1/31/2015 1,238,480,402 99,285,449 1,139,194,953 148,509,111 99,380,794 49,128,317 22,000,000 31,857,531 4,882,690 26,974,841 15,000,000 0 0 0 0 0

67 UBS SECURITIES LLC FCM BD CBOT 1/31/2015 7,635,989,813 916,408,407 6,719,581,406 8,285,582,749 7,547,400,694 738,182,055 528,318,049 4,351,529,058 3,850,622,272 500,906,786 400,000,000 1,011,524,941 760,960,068 250,564,873 200,000,000 0

68 UOBBF CLEARING LIMITED FCM NFA 1/31/2015 8,516,020 1,000,000 7,516,020 0 0 0 0 0 0 0 0 0 0 0 0 0

69 VISION FINANCIAL MARKETS LLC FCM BD NFA 1/31/2015 26,086,646 1,000,000 25,086,646 1,000,035 0 1,000,035 1,000,000 0 0 0 0 0 0 0 0 0

70 WEDBUSH SECURITIES INC FCM BD CBOT 1/31/2015 96,168,237 21,684,231 74,484,006 531,925,576 505,409,065 26,516,511 17,750,000 14,716,967 10,211,551 4,505,416 1,000,000 0 0 0 0 43,684,610

71 WELLS FARGO SECURITIES LLC FCM BD CME 1/31/2015 2,699,567,716 352,585,177 2,346,982,539 1,715,201,927 1,501,865,557 213,336,370 100,000,000 594,083,816 450,554,538 143,529,278 40,000,000 2,779,498,730 2,220,862,535 558,636,195 300,000,000 0

72 WHOTRADES FX LLC FCM NFA 1/31/2015 1,975,966 1,000,000 975,966 0 0 0 0 0 0 0 0 0 0 0 0 0

73 XCHANGE FINANCIAL ACCESS LLC FCM BD NFA 1/31/2015 6,928,863 1,000,000 5,928,863 28,360,016 26,129,767 2,230,249 1,750,000 0 0 0 0 0 0 0 0 0

74 YORK BUSINESS ASSOCIATES LLC FCM NFA 1/31/2015 4,897,427 1,000,000 3,897,427 44,984,301 41,296,588 3,687,713 2,000,000 1,713,752 1,442,046 271,706 200,000 0 0 0 0 0

Totals 169,370,307,286 156,785,683,905 12,584,623,381 7,923,916,174 42,725,514,838 37,791,559,585 4,933,955,253 2,946,540,099 54,318,379,647 46,354,002,212 7,964,377,435 2,949,218,889 568,779,673

December Web Page Update 76

Additions 1

UOBBF CLEARING LIMITED
SELECTED FCM FINANCIAL DATA AS OF 

January 31, 2015

FROM REPORTS FILED BY 

March 3, 2015

2 of 2

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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

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Deletions 3

GUGGENHEIM SECURITIES LLC

LEK SECURITIES CORPORATION

NEWEDGE USA LLC

Name Changes

None

January Web Page Update 74

 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.

(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: 

•  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.

(g): Excess/Deficient funds in segregation is customer assets in segregation, less the customer segregation requirement.

(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. 

(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.

(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.