SELECTED FCM FINANCIAL DATA AS OF 

April 30, 2014

FROM REPORTS FILED BY 

June 01, 2014

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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

(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 4/30/2014 490,994,594 129,541,965 361,452,629 2,867,078,926 2,485,493,021 381,585,905 127,972,430 183,802,608 137,204,758 46,597,850 20,580,714 0 0 0 0 0

2 ADM INVESTOR SERVICES INC FCM CBOT 4/30/2014 287,066,894 175,969,548 111,097,346 3,467,068,160 3,228,066,646 239,001,514 120,000,000 255,642,013 194,990,207 60,651,806 20,000,000 12,550,840 2,672,610 9,878,230 8,000,000 0

3 ADVANTAGE FUTURES LLC FCM CME 4/30/2014 21,709,645 11,817,722 9,891,923 435,735,441 424,495,476 11,239,965 7,500,000 39,435,144 37,659,656 1,775,488 1,000,000 0 0 0 0 0

4 ALPARI (US) LLC FCM NFA 4/30/2014 3,215,272 1,000,000 2,215,272 0 0 0 0 0 0 0 0 0 0 0 0 32,249

5 AMERIPRISE FINANCIAL SERVICES INC FCM BD NFA 4/30/2014 178,011,319 1,000,000 177,011,319 0 0 0 0 0 0 0 0 0 0 0 0 0

6 AMP GLOBAL CLEARING LLC FCM NFA 4/30/2014 2,504,338 1,500,000 1,004,338 56,665,889 55,160,977 1,504,912 900,000 890,510 467,916 422,594 150,000 0 0 0 0 0

7 BARCLAYS CAPITAL INC FCM BD NYME 4/30/2014 6,646,608,043 1,416,801,097 5,229,806,946 6,984,934,496 6,253,894,897 731,039,599 125,077,898 4,460,245,986 4,219,819,303 240,426,683 126,594,579 5,748,312,435 4,876,409,676 871,902,759 536,405,064 0

8 BGC FINANCIAL LP FCM BD NFA 4/30/2014 56,018,222 5,276,700 50,741,522 0 0 0 0 0 0 0 0 0 0 0 0 0

9 BNP PARIBAS PRIME BROKERAGE INC FCM BD NYME 4/30/2014 3,311,250,349 220,027,925 3,091,222,424 3,303,108,086 2,922,862,462 380,245,624 292,286,246 20,176,529 2,170,090 18,006,439 10,000,000 10,100,000 0 10,100,000 5,000,000 0

10 BNP PARIBAS SECURITIES CORP FCM BD CBOT 4/30/2014 1,775,420,341 186,381,266 1,589,039,075 1,156,883,276 930,516,725 226,366,551 186,103,345 34,077,207 10,428,246 23,648,961 1,042,825 265,641,887 205,045,319 60,596,568 20,504,532 0

11 BOCI COMMODITIES & FUTURES USA LLC FCM NFA 4/30/2014 3,912,715 1,000,000 2,912,715 0 0 0 0 0 0 0 0 0 0 0 0 0

12 CANTOR FITZGERALD & CO FCM BD CBOT 4/30/2014 283,462,537 7,839,301 275,623,236 4,969,921 0 4,969,921 3,000,000 0 0 0 0 0 0 0 0 0

13 CHS HEDGING LLC FCM CBOT 4/30/2014 25,578,329 14,664,121 10,914,208 184,286,422 158,787,710 25,498,712 13,100,000 949,761 228,751 721,010 235,000 640,943 0 640,943 310,000 0

14 CITIGROUP GLOBAL MARKETS INC FCM BD SD CBOT/NFA 4/30/2014 5,978,993,109 941,952,335 5,037,040,774 5,235,415,609 4,936,932,636 298,482,973 299,700,000 1,172,683,128 917,656,554 255,026,574 180,000,000 4,874,577,612 4,518,100,081 356,477,531 258,184,670 0

15 CREDIT SUISSE SECURITIES (USA) LLC FCM BD CBOT 4/30/2014 8,819,168,181 2,172,341,560 6,646,826,621 9,181,927,607 7,367,847,870 1,814,079,737 368,392,393 3,426,355,220 2,541,723,400 884,631,820 127,086,170 8,377,889,722 5,539,217,467 2,838,672,255 276,960,873 0

16 CROSSLAND LLC FCM CBOT 4/30/2014 9,718,224 1,736,951 7,981,273 79,550,163 77,369,935 2,180,228 1,000,000 6,688,774 5,836,195 852,579 500,000 0 0 0 0 0

17 CUNNINGHAM COMMODITIES LLC FCM CBOT 4/30/2014 5,451,720 1,195,093 4,256,627 56,835,429 52,670,372 4,165,057 3,050,000 530,235 326,436 203,799 100,000 0 0 0 0 0

18 DAIWA CAPITAL MARKETS AMERICA INC FCM BD CME 4/30/2014 562,265,131 10,311,334 551,953,797 9,542,256 4,060,249 5,482,007 4,060,249 632,239 0 632,239 1 0 0 0 0 0

19 DEUTSCHE BANK SECURITIES INC FCM BD CBOT 4/30/2014 9,697,444,554 668,950,878 9,028,493,676 13,439,141,835 12,807,347,362 631,794,473 500,000,000 1,384,713,189 1,007,959,750 376,753,439 200,000,000 1,611,047,847 1,272,215,601 338,832,246 250,000,000 0

20 DORMAN TRADING LLC FCM CME 4/30/2014 11,417,370 1,791,119 9,626,251 146,230,972 142,854,861 3,376,111 2,000,000 2,885,232 2,325,044 560,188 200,000 0 0 0 0 0

21 E D & F MAN CAPITAL MARKETS INC FCM BD CME 4/30/2014 50,815,909 13,243,042 37,572,867 345,695,030 328,545,047 17,149,983 2,000,000 7,594,636 5,896,532 1,698,104 294,827 0 0 0 0 0

22 E TRADE CLEARING LLC FCM BD NFA 4/30/2014 715,612,759 158,568,275 557,044,484 48,473,515 36,746,693 11,726,822 10,000,000 1,760,754 751,997 1,008,757 1,000,000 0 0 0 0 0

23 EFL FUTURES LIMITED FCM CME 4/30/2014 38,721,721 17,992,412 20,729,309 253,759,521 240,823,454 12,936,067 5,000,000 0 0 0 0 0 0 0 0 0

24 FCSTONE LLC FCM CME 4/30/2014 116,890,299 83,969,709 32,920,590 1,874,780,672 1,850,286,330 24,494,342 20,000,000 63,325,193 46,688,406 16,636,787 14,000,000 0 0 0 0 0

25 FIXI AMERICAS LLC FCM NFA 4/30/2014 1,518,963 1,000,000 518,963 0 0 0 0 0 0 0 0 0 0 0 0 0

26 FOREX CAPITAL MARKETS LLC FCMRFD SD NFA 4/30/2014 67,037,296 27,932,891 39,104,405 0 0 0 0 0 0 0 0 0 0 0 0 168,657,814

27 FRIEDBERG MERCANTILE GROUP INC FCM NFA 4/30/2014 3,632,458 1,000,000 2,632,458 3,513,889 2,446,795 1,067,094 1,000,000 1,126,083 107,657 1,018,426 1,000,000 0 0 0 0 0

28 FRONTIER FUTURES INC FCM NFA 4/30/2014 1,807,888 1,000,000 807,888 22,984,397 21,862,321 1,122,076 299,890 0 0 0 0 0 0 0 0 0

29 FXDIRECTDEALER LLC FCMRFD SD NFA 4/30/2014 21,292,832 20,869,181 423,651 0 0 0 0 0 0 0 0 0 0 0 0 27,383,621

30 GAIN CAPITAL GROUP LLC FCMRFD NFA 4/30/2014 40,398,512 24,685,978 15,712,534 161,201,114 153,316,710 7,884,404 2,500,000 5,685,615 3,759,710 1,925,905 312,500 0 0 0 0 103,719,550

31 GH FINANCIALS LLC FCM CME 4/30/2014 10,267,765 1,188,695 9,079,070 20,193,089 17,510,424 2,682,665 575,000 633,382 371,078 262,304 75,000 0 0 0 0 0

32 GLOBAL FUTURES & FOREX LTD FCMRFD SD NFA 4/30/2014 5,584,591 1,000,000 4,584,591 0 0 0 0 0 0 0 0 0 0 0 0 0

33 GOLDMAN SACHS & CO FCM BD SD CBOT/NFA 4/30/2014 17,454,414,123 2,109,556,993 15,344,857,130 20,127,925,991 19,526,680,990 601,245,001 475,000,000 8,930,656,127 8,365,519,701 565,136,426 475,000,000 2,466,474,865 2,169,755,203 296,719,662 150,000,000 0

34 GOLDMAN SACHS EXECUTION & CLEARING LP FCM BD CME 4/30/2014 1,584,670,698 141,900,207 1,442,770,491 1,361,571,010 786,418,153 575,152,857 540,000,000 64,916,258 18,262,639 46,653,619 40,000,000 0 0 0 0 0

35 GUGGENHEIM SECURITIES LLC FCM BD NFA 4/30/2014 70,858,255 1,454,329 69,403,926 0 0 0 0 0 0 0 0 0 0 0 0 0

36 HSBC SECURITIES USA INC FCM BD CME 4/30/2014 957,321,200 163,015,269 794,305,931 1,178,273,519 1,081,540,285 96,733,234 50,000,000 162,670,804 104,051,124 58,619,680 44,468,937 349,510,992 293,186,435 56,324,557 30,000,000 0

37 IBFX INC RFED SD NFA 4/30/2014 29,602,158 23,028,151 6,574,007 0 0 0 0 0 0 0 0 0 0 0 0 67,634,783

38 INSTITUTIONAL LIQUIDITY LLC FCMRFD NFA 4/30/2014 34,527,685 20,000,000 14,527,685 1,609,891 0 1,609,891 500,000 0 0 0 0 0 0 0 0 745,997

39 INTERACTIVE BROKERS LLC FCM BD NFA 4/30/2014 2,146,826,499 320,338,888 1,826,487,611 2,318,769,335 2,103,161,147 215,608,188 150,000,000 403,659,716 302,512,006 101,147,710 80,000,000 0 0 0 0 41,791,409

40 IRONBEAM INC FCM NFA 4/30/2014 2,375,941 1,000,000 1,375,941 33,227,269 31,974,406 1,252,863 800,000 111,499 0 111,499 50,000 0 0 0 0 0

41 ITG DERIVATIVES LLC FCM BD NFA 4/30/2014 4,402,172 1,000,000 3,402,172 0 0 0 0 0 0 0 0 0 0 0 0 0

42 JEFFERIES BACHE LLC FCM CBOT 4/30/2014 202,483,000 117,990,160 84,492,840 2,106,671,000 2,005,081,000 101,590,000 90,000,000 203,215,000 131,533,000 71,682,000 50,000,000 51,131,000 30,660,000 20,471,000 5,000,000 0

43 JP MORGAN CLEARING CORP FCM BD NFA 4/30/2014 7,243,015,734 1,930,784,764 5,312,230,970 946,184,049 625,647,758 320,536,291 56,308,298 576,992,634 364,851,883 212,140,751 32,836,669 250,000 0 250,000 1 0

44 JP MORGAN SECURITIES LLC FCM BD SD CEI/NFA 4/30/2014 13,176,043,406 2,199,327,409 10,976,715,997 19,478,816,961 17,379,401,530 2,099,415,431 1,564,146,138 3,612,425,993 3,259,890,884 352,535,109 293,390,180 3,910,272,937 3,361,293,348 548,979,589 302,516,401 0

45 KCG AMERICAS LLC FCM BD CME 4/30/2014 384,544,473 31,593,109 352,951,364 617,815,028 600,358,143 17,456,885 15,000,000 10,551,913 7,011,855 3,540,058 2,500,000 0 0 0 0 31,425,262

46 LEK SECURITIES CORPORATION FCM BD NFA 4/30/2014 8,604,028 1,500,000 7,104,028 853,788 595,589 258,199 200,000 0 0 0 0 0 0 0 0 0

47 LINN GROUP THE FCM NFA 4/30/2014 3,429,873 2,079,379 1,350,494 76,802,899 73,254,079 3,548,820 2,000,000 345,038 62,292 282,746 15,573 0 0 0 0 0

48 LPL FINANCIAL LLC FCM BD NFA 4/30/2014 188,856,577 6,755,835 182,100,742 0 0 0 0 0 0 0 0 0 0 0 0 0

49 MACQUARIE FUTURES USA LLC FCM CBOT 4/30/2014 172,140,054 115,874,817 56,265,237 1,594,812,238 1,408,823,923 185,988,315 90,000,000 34,559,437 18,764,111 15,795,326 1,313,488 20,680,592 4,407,798 16,272,794 308,546 0

50 MAREX NORTH AMERICA LLC FCM CME 4/30/2014 13,758,780 7,169,513 6,589,267 93,478,807 88,006,867 5,471,940 4,399,093 12,175,283 10,931,380 1,243,903 1,093,138 0 0 0 0 0

51 MB TRADING FUTURES INC RFED NFA 4/30/2014 24,353,916 20,964,214 3,389,702 0 0 0 0 0 0 0 0 0 0 0 0 29,284,281

52 MCVEAN TRADING & INVESTMENTS LLC FCM NFA 4/30/2014 13,835,699 3,218,271 10,617,428 800,454,857 779,741,423 20,713,434 18,000,000 2,417,861 0 2,417,861 400,000 0 0 0 0 0

53 MERRILL LYNCH PIERCE FENNER & SMITH FCM BD CBOT 4/30/2014 10,539,213,185 1,051,602,869 9,487,610,316 9,848,978,858 9,533,517,148 315,461,710 270,000,000 3,067,434,972 2,787,916,140 279,518,832 225,000,000 1,573,001,012 1,408,965,697 164,035,315 135,000,000 0

54 MERRILL LYNCH PROFESSIONAL CLEARING CORP FCM BD NFA 4/30/2014 2,568,872,412 367,969,199 2,200,903,213 1,383,240,083 780,897,642 602,342,441 300,000,000 4,418,426 713,180 3,705,246 3,000,000 1,000 0 1,000 1 0

55 MID CO COMMODITIES INC FCM NFA 4/30/2014 10,450,489 5,389,880 5,060,609 55,843,526 45,062,573 10,780,953 5,000,000 0 0 0 0 0 0 0 0 0

56 MINT BROKERS FCM BD NFA 4/30/2014 9,995,041 1,000,000 8,995,041 0 0 0 0 0 0 0 0 0 0 0 0 0

57 MITSUBISHI UFJ SECURITIES USA INC FCM BD NFA 4/30/2014 196,585,430 1,132,254 195,453,176 0 0 0 0 0 0 0 0 0 0 0 0 0

58 MIZUHO SECURITIES USA INC FCM BD SD CME/NFA 4/30/2014 482,104,785 223,957,640 258,147,145 2,612,183,174 2,401,686,869 210,496,305 170,000,000 609,401,515 508,515,893 100,885,622 80,000,000 143,242,586 118,151,007 25,091,579 20,000,000 0

59 MORGAN STANLEY & CO LLC FCM BD SD CME/NFA 4/30/2014 9,816,523,078 1,511,283,193 8,305,239,885 10,118,277,284 9,910,831,082 207,446,202 105,000,000 2,602,420,711 2,394,701,333 207,719,378 105,000,000 3,916,942,747 3,795,885,329 121,057,418 92,000,000 0

60 MORGAN STANLEY SMITH BARNEY LLC FCM BD NFA 4/30/2014 4,994,092,417 172,067,840 4,822,024,577 622,605,619 553,659,783 68,945,836 44,292,783 63,798,574 47,446,782 16,351,792 14,234,035 0 0 0 0 0

61 NEUBERGER BERMAN LLC FCM BD NFA 4/30/2014 53,619,980 1,500,000 52,119,980 0 0 0 0 0 0 0 0 0 0 0 0 0

62 NEWEDGE USA LLC FCM BD SD NYME/NFA 4/30/2014 1,806,634,976 1,003,681,288 802,953,688 14,580,097,175 13,980,246,725 599,850,450 500,000,000 3,176,148,146 2,778,805,076 397,343,070 300,000,000 496,731,235 421,592,575 75,138,660 75,000,000 0

63 NOMURA SECURITIES INTERNATIONAL INC FCM BD CBOT 4/30/2014 2,164,858,977 49,688,339 2,115,170,638 73,364,542 61,746,365 11,618,177 10,000,000 9,107,229 1,263,729 7,843,500 1,000,000 35,215,895 14,051,695 21,164,200 20,000,000 0

64 OANDA CORPORATION FCMRFD NFA 4/30/2014 119,954,086 25,692,762 94,261,324 0 0 0 0 0 0 0 0 0 0 0 0 123,855,235

65 OPPENHEIMER & CO INC FCM BD NFA 4/30/2014 163,223,869 26,673,090 136,550,779 29,514,347 8,749,276 20,765,071 1,733,020 0 0 0 0 0 0 0 0 0

66 OPTIONSXPRESS INC FCM BD NFA 4/30/2014 115,530,231 6,817,955 108,712,276 103,874,104 81,059,720 22,814,384 8,105,972 1,981,181 827,372 1,153,809 82,737 0 0 0 0 0

67 PHILLIP FUTURES INC FCM CME 4/30/2014 27,907,764 20,000,000 7,907,764 159,158,317 140,577,881 18,580,436 7,028,894 8,858,699 2,298,529 6,560,170 114,926 0 0 0 0 0

68 RAND FINANCIAL SERVICES INC FCM CME 4/30/2014 79,937,095 19,209,533 60,727,562 271,583,300 227,896,400 43,686,900 6,836,900 28,550,800 7,248,200 21,302,600 217,400 0 0 0 0 0

69 RBC CAPITAL MARKETS LLC FCM BD CME 4/30/2014 1,087,213,301 120,542,258 966,671,043 1,202,925,022 1,109,110,400 93,814,622 80,000,000 196,357,036 142,743,622 53,613,414 20,000,000 0 0 0 0 0

70 RBS SECURITIES INC FCM BD CBOT 4/30/2014 4,204,907,216 156,941,986 4,047,965,230 1,732,333,818 1,574,523,948 157,809,870 125,000,000 198,020,336 42,392,562 155,627,774 100,000,000 361,314,153 258,617,817 102,696,336 80,000,000 0

71 RJ OBRIEN ASSOCIATES LLC FCM SD CME/NFA 4/30/2014 199,995,549 156,729,290 43,266,259 3,759,382,092 3,646,162,047 113,220,045 40,000,000 165,459,555 140,624,808 24,834,747 20,000,000 0 0 0 0 713,693

72 ROSENTHAL COLLINS GROUP LLC FCM CME 4/30/2014 80,426,364 60,009,655 20,416,709 1,478,404,474 1,451,797,852 26,606,622 18,000,000 31,561,285 19,477,506 12,083,779 9,000,000 0 0 0 0 0

73 SANFORD C BERNSTEIN & CO LLC FCM BD NFA 4/30/2014 179,794,370 21,183,171 158,611,199 0 0 0 0 0 0 0 0 0 0 0 0 0

74 SANTANDER INVESTMENT SECURITIES INC FCM BD NYME 4/30/2014 261,178,006 11,534,377 249,643,629 765,293,142 762,909,527 2,383,615 2,000,000 0 0 0 0 0 0 0 0 0

75 STATE STREET GLOBAL MARKETS LLC FCM BD CME 4/30/2014 531,428,962 50,981,588 480,447,374 766,539,447 578,274,015 188,265,432 28,913,701 102,892,124 62,160,779 40,731,345 15,000,000 240,220,013 139,972,455 100,247,558 50,000,000 0

76 STRAITS FINANCIAL LLC FCM CME 4/30/2014 8,755,217 4,750,987 4,004,230 153,501,059 147,735,065 5,765,994 2,000,000 25,089,443 22,813,514 2,275,929 300,000 0 0 0 0 0

77 TD AMERITRADE INC FCM BD NFA 4/30/2014 348,463,500 17,754,152 330,709,348 250,106,093 203,130,799 46,975,294 18,000,000 0 0 0 0 0 0 0 0 0

78 TIMBER HILL LLC FCM BD CME 4/30/2014 569,842,581 54,768,051 515,074,530 756,133,951 751,113,799 5,020,152 1,000,000 0 0 0 0 0 0 0 0 0

79 TRADESTATION SECURITIES INC FCM BD NFA 4/30/2014 56,022,823 4,267,229 51,755,594 448,701,877 438,268,457 10,433,420 9,000,000 22,185,097 21,067,740 1,117,357 800,000 0 0 0 0 0

80 UBS FINANCIAL SERVICES INC FCM BD NFA 4/30/2014 1,374,598,430 99,480,177 1,275,118,253 125,195,937 97,988,864 27,207,073 22,000,000 24,337,233 1,721,360 22,615,873 15,000,000 0 0 0 0 0

81 UBS SECURITIES LLC FCM BD CBOT 4/30/2014 8,458,979,830 939,595,850 7,519,383,980 9,057,970,646 8,436,358,136 621,612,510 590,545,069 4,332,515,272 3,904,654,090 427,861,182 400,000,000 889,425,830 660,973,367 228,452,463 200,000,000 0

82 VISION FINANCIAL MARKETS LLC FCM BD CME 4/30/2014 35,182,341 15,858,306 19,324,035 540,365,551 527,502,174 12,863,377 8,000,000 16,407,600 13,719,738 2,687,862 1,500,000 0 0 0 0 0

Registered 

As DSRO As ofDate

Futures Commission Merchant /

Retail Foreign Exchange Dealer Adjusted Net Capital Net Capital Requirement Excess Net Capital Customers' Assets in Seg

Total Amount of 

Retail Forex 

Obligation

Customers' Seg 

Required 4d(a)(2)

Excess/Deficient 

Funds 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 Seg

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
SELECTED FCM FINANCIAL DATA AS OF 

April 30, 2014

FROM REPORTS FILED BY 

June 01, 2014

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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

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Registered 

As DSRO As ofDate

Futures Commission Merchant /

Retail Foreign Exchange Dealer Adjusted Net Capital Net Capital Requirement Excess Net Capital Customers' Assets in Seg

Total Amount of 

Retail Forex 

Obligation

Customers' Seg 

Required 4d(a)(2)

Excess/Deficient 

Funds 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 Seg

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

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83 WELLS FARGO ADVISORS FINANCIAL NETWORK LLC FCM BD NFA 4/30/2014 61,979,248 1,000,000 60,979,248 0 0 0 0 0 0 0 0 0 0 0 0 0

84 WELLS FARGO ADVISORS LLC FCM BD NFA 4/30/2014 2,096,246,657 1,500,000 2,094,746,657 0 0 0 0 0 0 0 0 0 0 0 0 0

85 WELLS FARGO SECURITIES LLC FCM BD CME 4/30/2014 2,736,683,192 215,871,191 2,520,812,001 604,727,851 463,140,197 141,587,654 25,000,000 11,483,728 1,443,571 10,040,157 3,000,000 1,317,557,958 1,136,985,319 180,572,639 100,000,000 0

86 WHOTRADES FX LLC FCM NFA 4/30/2014 1,903,714 1,000,000 903,714 0 0 0 0 0 0 0 0 0 0 0 0 0

87 XCHANGE FINANCIAL ACCESS LLC FCM BD NFA 4/30/2014 6,546,357 1,203,114 5,343,243 28,228,307 26,146,022 2,082,285 1,000,000 0 0 0 0 0 0 0 0 0

88 YORK BUSINESS ASSOCIATES LLC FCM NFA 4/30/2014 4,934,582 1,000,000 3,934,582 49,670,547 46,366,186 3,304,361 700,000 2,085,798 1,756,557 329,241 200,000 0 0 0 0 0

Totals 161,655,442,500 148,977,043,218 12,678,399,282 7,551,027,319 39,785,045,761 34,624,074,642 5,160,971,119 3,038,688,699 36,672,734,101 30,228,158,799 6,444,575,302 2,615,190,088 595,243,894

March Web Page Update 90

Additions 0

None

Deletions 2

CAPITAL MARKET SERVICES LLC

WHITE COMMERCIAL CORPORATION

Name Changes

CHS HEDGING INC to CHS HEDGING LLC

April Web Page Update 88

(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.

(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.

 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.

 SD: The FCM or RFED is also registered with the Commodity Futures Trading Commission as a provisionally registered swap dealer.

(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.

(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. 

(d): Excess net capital is adjusted net capital, less the firm's net capital requirement.

(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.

(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.

(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.

(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.

(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.

(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.

(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.

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