SELECTED FCM FINANCIAL DATA AS OF 

October 31, 2015

FROM REPORTS FILED BY 

December 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 10/31/2015 620,844,041 168,410,331 452,433,710 3,155,884,459 2,818,902,747 336,981,712 157,067,850 149,559,422 104,802,971 44,756,451 15,720,446 0 0 0 0 0

2 ADM INVESTOR SERVICES INC FCM CBOT 10/31/2015 306,232,110 179,312,752 126,919,358 4,284,894,123 4,020,248,937 264,645,186 120,000,000 307,287,751 245,370,047 61,917,704 20,000,000 11,816,781 2,434,476 9,382,305 8,000,000 0

3 ADVANTAGE FUTURES LLC FCM CME 10/31/2015 24,890,100 13,019,105 11,870,995 500,849,186 484,249,108 16,600,078 8,500,000 31,262,976 29,259,350 2,003,626 1,000,000 0 0 0 0 0

4 AMP GLOBAL CLEARING LLC FCM NFA 10/31/2015 2,711,948 1,500,000 1,211,948 50,852,123 48,864,618 1,987,505 900,000 1,314,337 990,088 324,249 150,000 0 0 0 0 0

5 BARCLAYS CAPITAL INC FCM BD NYME 10/31/2015 6,938,917,052 1,140,511,650 5,798,405,402 6,751,524,896 5,857,608,245 893,916,651 322,168,453 2,799,083,831 2,510,106,740 288,977,091 126,007,358 5,575,919,180 4,710,211,672 865,707,508 265,655,938 0

6 BGC FINANCIAL LP FCM BD NFA 10/31/2015 44,773,457 2,392,486 42,380,971 0 0 0 0 0 0 0 0 0 0 0 0 0

7 BNP PARIBAS PRIME BROKERAGE INC FCM BD NYME 10/31/2015 2,916,227,855 262,619,940 2,653,607,915 2,590,526,658 2,315,943,618 274,583,040 231,594,362 40,546,039 27,347,150 13,198,889 10,000,000 11,175,275 3,078,873 8,096,402 5,000,000 0

8 BNP PARIBAS SECURITIES CORP FCM BD CBOT 10/31/2015 1,758,960,717 248,128,502 1,510,832,215 1,185,218,817 960,030,720 225,188,097 192,006,144 49,077,151 32,750,962 16,326,189 3,275,096 852,023,833 614,384,775 237,639,058 61,438,477 0

9 BOCI COMMODITIES & FUTURES USA LLC FCM CME 10/31/2015 11,078,237 1,000,000 10,078,237 203 0 203 1 184 0 184 1 6 0 6 1 0

10 CANTOR FITZGERALD & CO FCM BD CBOT 10/31/2015 232,719,092 6,482,164 226,236,928 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 10/31/2015 31,630,671 10,738,804 20,891,867 159,768,130 129,338,276 30,429,854 13,100,000 2,185,404 736,017 1,449,387 545,000 503,912 0 503,912 310,000 0

12 CITIGROUP GLOBAL MARKETS INC FCM BD SD CBOT/NFA 10/31/2015 6,430,215,330 1,445,555,742 4,984,659,588 7,936,832,191 7,585,384,684 351,447,507 312,900,000 1,228,331,035 1,037,371,946 190,959,089 150,000,000 7,847,274,736 7,521,441,279 325,833,457 211,675,000 0

13 CREDIT SUISSE SECURITIES (USA) LLC FCM BD CBOT 10/31/2015 9,849,642,105 1,862,402,096 7,987,240,009 8,305,287,767 7,793,878,958 511,408,809 389,693,948 3,204,020,761 2,786,737,003 417,283,758 139,336,850 11,349,671,280 10,642,455,706 707,215,574 532,122,785 0

14 CUNNINGHAM COMMODITIES LLC FCM CBOT 10/31/2015 5,168,035 1,000,000 4,168,035 65,278,657 61,233,191 4,045,466 3,050,000 328,335 44,766 283,569 100,000 0 0 0 0 0

15 DAIWA CAPITAL MARKETS AMERICA INC FCM BD CME 10/31/2015 555,607,655 12,278,407 543,329,248 5,454,753 0 5,454,753 1 544,203 0 544,203 1 0 0 0 0 0

16 DEUTSCHE BANK SECURITIES INC FCM BD CBOT 10/31/2015 11,539,572,339 637,002,321 10,902,570,018 3,858,851,483 3,597,908,256 260,943,227 200,000,000 1,106,989,977 926,472,149 180,517,828 150,000,000 1,811,734,311 1,529,976,855 281,757,456 250,000,000 0

17 DORMAN TRADING LLC FCM CME 10/31/2015 10,065,180 1,879,426 8,185,754 170,370,704 166,175,373 4,195,331 2,000,000 3,638,985 3,030,139 608,846 200,000 0 0 0 0 0

18 E D & F MAN CAPITAL MARKETS INC FCM BD CME 10/31/2015 74,274,788 38,939,173 35,335,615 994,409,739 961,102,997 33,306,742 20,000,000 53,025,735 47,368,841 5,656,894 3,000,000 3,814,734 2,399,917 1,414,817 500,000 0

19 E TRADE CLEARING LLC FCM BD NFA 10/31/2015 988,175,800 161,155,605 827,020,195 57,529,680 42,476,320 15,053,360 10,000,000 1,456,996 347,812 1,109,184 1,000,000 0 0 0 0 0

20 EFL FUTURES LIMITED FCM CME 10/31/2015 35,205,241 16,368,049 18,837,192 228,201,234 215,231,530 12,969,704 5,000,000 0 0 0 0 0 0 0 0 0

21 FOREX CAPITAL MARKETS LLC FCMRFD SD NFA 10/31/2015 48,310,838 28,610,452 19,700,386 0 0 0 0 0 0 0 0 0 0 0 0 182,209,034

22 GAIN CAPITAL GROUP LLC FCMRFD NFA 10/31/2015 39,276,355 26,186,354 13,090,001 251,842,490 239,742,740 12,099,750 5,000,000 7,377,450 3,212,643 4,164,807 1,000,000 0 0 0 0 133,727,082

23 GH FINANCIALS LLC FCM CME 10/31/2015 15,713,739 4,287,598 11,426,141 71,784,007 61,563,353 10,220,654 3,500,000 391,908 90,274 301,634 75,000 0 0 0 0 0

24 GOLDMAN SACHS & CO FCM BD SD CBOT/NFA 10/31/2015 15,794,809,944 2,625,430,085 13,169,379,859 23,857,868,992 23,085,914,090 771,954,902 475,000,000 13,463,265,051 12,883,450,170 579,814,881 475,000,000 4,046,569,603 3,609,433,975 437,135,628 350,000,000 0

25 GOLDMAN SACHS EXECUTION & CLEARING LP FCM BD CME 10/31/2015 1,563,662,651 135,113,955 1,428,548,696 1,358,436,067 738,646,107 619,789,960 540,000,000 75,206,830 26,129,527 49,077,303 40,000,000 0 0 0 0 0

26 HSBC SECURITIES USA INC FCM BD CME 10/31/2015 1,111,943,488 260,138,779 851,804,709 1,480,107,527 1,348,873,920 131,233,607 110,000,000 218,096,827 164,245,153 53,851,674 10,000,000 1,308,239,977 1,095,027,761 213,212,216 90,000,000 0

27 IBFX INC RFED SD NFA 10/31/2015 35,668,862 22,067,805 13,601,057 0 0 0 0 0 0 0 0 0 0 0 0 51,356,097

28 INTERACTIVE BROKERS LLC FCM BD CME 10/31/2015 2,257,091,885 253,275,240 2,003,816,645 2,731,158,749 2,521,429,466 209,729,283 155,000,000 453,553,443 344,342,663 109,210,780 80,000,000 0 0 0 0 55,206,699

29 INTL FCSTONE FINANCIAL INC FCM BD CME 10/31/2015 144,667,624 72,786,416 71,881,208 1,917,612,469 1,868,116,222 49,496,247 26,000,000 85,939,184 65,489,476 20,449,708 8,000,000 0 0 0 0 0

30 IRONBEAM INC FCM NFA 10/31/2015 2,270,676 1,000,000 1,270,676 40,480,842 39,134,407 1,346,435 800,000 237,623 67,889 169,734 50,000 0 0 0 0 0

31 ITG DERIVATIVES LLC FCM BD NFA 10/31/2015 1,830,668 1,000,000 830,668 0 0 0 0 0 0 0 0 0 0 0 0 0

32 JEFFERIES LLC FCM BD NFA 10/31/2015 1,324,434,216 84,010,744 1,240,423,472 0 0 0 0 0 0 0 0 0 0 0 0 0

33 JP MORGAN CLEARING CORP FCM BD NFA 10/31/2015 7,414,209,526 1,714,829,200 5,699,380,326 957,508,352 640,476,124 317,032,228 57,642,851 637,333,030 456,841,093 180,491,937 41,115,699 250,000 0 250,000 1 0

34 JP MORGAN SECURITIES LLC FCM BD SD CEI/NFA 10/31/2015 13,558,017,584 2,443,595,251 11,114,422,333 17,852,728,053 16,251,446,714 1,601,281,339 1,462,630,204 3,863,997,939 3,486,742,326 377,255,613 313,806,809 7,842,615,838 7,105,647,649 736,968,189 639,508,288 0

35 MACQUARIE FUTURES USA LLC FCM CBOT 10/31/2015 238,328,810 168,041,722 70,287,088 2,256,398,268 2,109,813,707 146,584,561 90,000,000 49,333,516 33,207,314 16,126,202 2,324,512 26,836,612 8,456,782 18,379,830 591,975 0

36 MAREX NORTH AMERICA LLC FCM CME 10/31/2015 19,402,090 12,792,430 6,609,660 165,610,928 160,587,172 5,023,756 4,200,000 50,281,716 48,879,827 1,401,889 1,000,000 0 0 0 0 0

37 MB TRADING FUTURES INC RFED NFA 10/31/2015 24,147,061 20,000,000 4,147,061 0 0 0 0 0 0 0 0 0 0 0 0 140,538

38 MCVEAN TRADING & INVESTMENTS LLC FCM NFA 10/31/2015 11,482,671 3,965,700 7,516,971 915,772,844 894,282,683 21,490,161 18,000,000 2,417,861 0 2,417,861 400,000 0 0 0 0 0

39 MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED FCM BD CBOT 10/31/2015 10,816,777,329 1,553,311,828 9,263,465,501 12,946,460,286 12,655,630,425 290,829,861 200,000,000 3,071,193,231 2,867,081,351 204,111,880 150,000,000 4,616,424,354 4,373,092,285 243,332,069 150,000,000 0

40 MERRILL LYNCH PROFESSIONAL CLEARING CORP FCM BD NFA 10/31/2015 3,141,974,796 447,454,434 2,694,520,362 1,543,468,769 915,327,285 628,141,484 300,000,000 3,815,396 106,750 3,708,646 1,000,000 0 0 0 0 0

41 MID CO COMMODITIES INC FCM NFA 10/31/2015 7,796,427 3,465,709 4,330,718 37,315,562 28,825,865 8,489,697 5,138,000 0 0 0 0 0 0 0 0 0

42 MINT BROKERS FCM BD NFA 10/31/2015 6,181,260 1,000,000 5,181,260 0 0 0 0 0 0 0 0 0 0 0 0 0

43 MITSUBISHI UFJ SECURITIES USA INC FCM BD NFA 10/31/2015 611,026,577 1,663,072 609,363,505 0 0 0 0 0 0 0 0 0 0 0 0 0

44 MIZUHO SECURITIES USA INC FCM BD SD CME/NFA 10/31/2015 643,783,276 232,045,775 411,737,501 2,575,277,340 2,375,670,995 199,606,345 125,000,000 853,396,688 756,153,557 97,243,131 70,000,000 30,134,201 4,924,087 25,210,114 15,000,000 0

45 MORGAN STANLEY & CO LLC FCM BD SD CME/NFA 10/31/2015 9,679,209,769 1,815,391,355 7,863,818,414 12,612,378,224 12,404,137,999 208,240,225 105,000,000 3,992,884,920 3,775,919,555 216,965,365 105,000,000 9,287,409,552 9,019,599,402 267,810,150 92,000,000 0

46 NANHUA USA LLC FCM CME 10/30/2015 10,488,192 4,044,088 6,444,104 86,048,253 80,502,830 5,545,423 1,000,000 0 0 0 0 0 0 0 0 0

47 NEUBERGER BERMAN LLC FCM BD NFA 10/31/2015 19,744,555 1,500,000 18,244,555 0 0 0 0 0 0 0 0 0 0 0 0 0

48 NOMURA SECURITIES INTERNATIONAL INC FCM BD CBOT 10/31/2015 2,030,146,003 80,891,175 1,949,254,828 259,847,755 168,070,992 91,776,763 15,000,000 21,078,066 4,467,050 16,611,016 1,000,000 0 0 0 0 0

49 OANDA CORPORATION FCMRFD NFA 10/31/2015 97,358,566 24,550,848 72,807,718 0 0 0 0 0 0 0 0 0 0 0 0 101,016,970

50 OPTIONSXPRESS INC FCM BD NFA 10/31/2015 244,053,479 7,247,189 236,806,290 118,930,217 76,472,548 42,457,669 11,470,882 4,122,393 1,255,122 2,867,271 188,268 0 0 0 0 0

51 PHILLIP CAPITAL INC FCM BD CME 10/31/2015 35,321,408 20,000,000 15,321,408 189,238,028 170,026,551 19,211,477 8,501,328 20,572,542 10,764,913 9,807,629 538,245 0 0 0 0 0

52 PICTET OVERSEAS INC FCM BD NFA 10/31/2015 17,695,563 1,000,000 16,695,563 0 0 0 0 0 0 0 0 0 0 0 0 0

53 RAND FINANCIAL SERVICES INC FCM CME 10/31/2015 81,859,805 11,335,378 70,524,427 259,251,400 215,657,800 43,593,600 6,469,700 30,131,500 7,531,500 22,600,000 225,900 0 0 0 0 0

54 RBC CAPITAL MARKETS LLC FCM BD CME 10/31/2015 1,401,653,781 190,032,724 1,211,621,057 2,129,812,570 1,938,349,127 191,463,443 120,000,000 163,127,345 122,650,902 40,476,443 20,000,000 733,099,370 462,378,259 270,721,111 40,000,000 0

55 RBS SECURITIES INC FCM BD CBOT 10/31/2015 4,540,768,048 112,436,622 4,428,331,426 1,769,975,127 1,586,865,434 183,109,693 125,000,000 150,165,266 24,857,957 125,307,309 100,000,000 0 0 0 0 0

56 RJ OBRIEN ASSOCIATES LLC FCM SD CME/NFA 10/31/2015 197,033,111 145,649,042 51,384,069 4,036,771,662 3,949,109,445 87,662,217 50,000,000 274,929,686 250,002,551 24,927,135 20,000,000 0 0 0 0 4,208

57 ROSENTHAL COLLINS GROUP LLC FCM CME 10/31/2015 82,322,250 61,265,789 21,056,461 1,387,764,850 1,360,349,923 27,414,927 18,000,000 34,180,161 22,188,970 11,991,191 8,000,000 0 0 0 0 0

58 SANFORD C BERNSTEIN & CO LLC FCM BD NFA 10/31/2015 193,030,589 25,918,368 167,112,221 0 0 0 0 0 0 0 0 0 0 0 0 0

59 SANTANDER INVESTMENT SECURITIES INC FCM BD NYME 10/31/2015 134,736,808 12,368,493 122,368,315 451,732,027 447,388,894 4,343,133 4,000,000 0 0 0 0 0 0 0 0 0

60 SCOTIA CAPITAL USA INC FCM BD CME 10/31/2015 547,166,744 45,717,376 501,449,368 0 0 0 0 0 0 0 0 0 0 0 0 0

61 SG AMERICAS SECURITIES LLC FCM BD CME 10/31/2015 3,623,815,125 1,170,917,331 2,452,897,794 14,873,057,416 14,108,598,492 764,458,924 500,000,000 3,947,176,988 3,588,592,333 358,584,655 255,000,000 366,653,844 188,546,210 178,107,634 75,000,000 0

62 STATE STREET GLOBAL MARKETS LLC FCM BD CME 10/31/2015 389,892,372 33,982,823 355,909,549 590,910,611 468,027,355 122,883,256 23,401,368 53,215,652 5,308,874 47,906,778 15,000,000 0 0 0 0 0

63 STRAITS FINANCIAL LLC FCM CME 10/31/2015 23,541,587 11,133,601 12,407,986 479,566,673 465,596,145 13,970,528 2,000,000 52,501,411 44,238,987 8,262,424 300,000 0 0 0 0 0

64 TD AMERITRADE FUTURES & FOREX LLC FCM NFA 10/31/2015 92,941,748 12,893,913 80,047,835 247,871,560 191,590,178 56,281,382 18,000,000 0 0 0 0 0 0 0 0 0

65 TRADESTATION SECURITIES INC FCM BD CME 10/31/2015 66,720,503 3,317,550 63,402,953 499,511,463 489,144,843 10,366,620 9,000,000 25,324,396 23,958,652 1,365,744 800,000 0 0 0 0 0

66 TRADOVATE LLC FCM NFA 10/31/2015 1,603,312 1,000,000 603,312 0 0 0 0 0 0 0 0 0 0 0 0 0

67 UBS FINANCIAL SERVICES INC FCM BD NFA 10/31/2015 1,303,361,835 107,775,800 1,195,586,035 128,020,948 85,573,298 42,447,650 22,000,000 28,811,663 4,462,542 24,349,121 15,000,000 0 0 0 0 0

68 UBS SECURITIES LLC FCM BD CBOT 10/31/2015 6,358,605,056 1,109,321,399 5,249,283,657 9,829,514,532 9,125,209,961 704,304,571 638,764,697 5,859,162,558 5,336,885,572 522,276,986 400,000,000 1,600,888,136 1,332,872,874 268,015,262 200,000,000 0

69 UOBBF CLEARING LIMITED FCM NFA 10/31/2015 7,934,736 1,000,000 6,934,736 0 0 0 0 0 0 0 0 0 0 0 0 0

70 WEDBUSH SECURITIES INC FCM BD CBOT 10/31/2015 124,978,480 20,000,000 104,978,480 689,608,980 661,893,874 27,715,106 17,750,000 31,245,023 26,845,376 4,399,647 1,000,000 0 0 0 0 44,494,493

71 WELLS FARGO SECURITIES LLC FCM BD CME 10/31/2015 3,519,299,526 632,109,218 2,887,190,308 2,682,263,991 2,367,544,870 314,719,121 175,000,000 519,332,239 253,766,528 265,565,711 30,000,000 5,247,889,594 4,586,821,077 661,068,517 400,000,000 0

72 XCHANGE FINANCIAL ACCESS LLC FCM BD NFA 10/31/2015 7,572,983 1,871,359 5,701,624 52,157,751 49,963,256 2,194,495 1,750,000 0 0 0 0 0 0 0 0 0

73 YORK BUSINESS ASSOCIATES LLC FCM NFA 10/31/2015 5,183,411 1,000,000 4,183,411 40,987,646 36,806,041 4,181,605 2,000,000 2,050,686 1,571,561 479,125 200,000 0 0 0 0 0

Totals 164,681,757,953 153,440,938,709 11,240,819,244 7,442,999,789 47,024,503,310 42,394,044,939 4,630,458,371 2,786,359,185 62,570,945,129 56,813,183,914 5,757,761,215 3,386,802,465 568,155,121

September Web Page Update 73

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Deletions 0

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October 31, 2015

FROM REPORTS FILED BY 

December 3, 2015

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ABCDEFGH I JKLMNOPQRSTU

Name Changes

NONE

October Web Page Update 73

(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.