SELECTED FCM FINANCIAL DATA AS OF 

February 29, 2016

FROM REPORTS FILED BY 

April 1, 2016

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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 2/29/2016 532,446,082 170,608,531 361,837,551 3,065,912,568 2,735,375,118 330,537,450 148,777,072 169,199,893 124,756,450 44,443,443 12,475,645 0 0 0 0 0

2 ADM INVESTOR SERVICES INC FCM CBOT 2/29/2016 304,559,697 198,717,732 105,841,965 4,837,977,803 4,548,420,669 289,557,134 120,000,000 381,453,531 319,373,331 62,080,200 20,000,000 13,612,085 4,147,484 9,464,601 8,000,000 0

3 ADVANTAGE FUTURES LLC FCM CME 2/29/2016 23,602,915 15,699,231 7,903,684 564,194,645 547,648,399 16,546,246 8,500,000 29,751,577 27,664,676 2,086,901 1,000,000 0 0 0 0 0

4 AMP GLOBAL CLEARING LLC FCM NFA 2/29/2016 2,681,621 1,500,000 1,181,621 55,081,317 53,114,129 1,967,188 900,000 2,107,427 1,707,637 399,790 150,000 0 0 0 0 0

5 BARCLAYS CAPITAL INC FCM BD NYME 2/29/2016 7,468,491,123 1,151,088,783 6,317,402,340 6,441,187,139 5,617,632,138 823,555,001 308,969,768 3,096,235,446 2,744,131,145 352,104,301 137,755,383 5,743,482,891 4,930,156,773 813,326,118 278,060,842 0

6 BGC FINANCIAL LP FCM BD NFA 2/29/2016 45,176,565 2,856,710 42,319,855 0 0 0 0 0 0 0 0 0 0 0 0 0

7 BNP PARIBAS PRIME BROKERAGE INC FCM BD NYME 2/29/2016 2,599,908,914 239,914,237 2,359,994,677 2,623,741,740 2,312,614,223 311,127,517 231,261,422 31,985,592 12,841,156 19,144,436 10,000,000 11,912,951 3,820,069 8,092,882 5,000,000 0

8 BNP PARIBAS SECURITIES CORP FCM BD CBOT 2/29/2016 1,727,969,039 304,374,060 1,423,594,979 1,351,396,257 1,103,245,712 248,150,545 220,649,143 120,881,734 97,514,463 23,367,271 9,751,446 1,039,541,392 793,877,528 245,663,864 79,387,753 0

9 BOCI COMMODITIES & FUTURES USA LLC FCM CME 2/29/2016 10,358,004 1,000,000 9,358,004 4,445,866 2,939,788 1,506,078 1,000,000 184 0 184 1 6 0 6 1 0

10 CANTOR FITZGERALD & CO FCM BD CBOT 2/29/2016 232,304,169 9,251,347 223,052,822 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 2/29/2016 32,349,052 8,408,105 23,940,947 149,683,676 116,376,862 33,306,814 13,100,000 2,256,041 859,522 1,396,519 545,000 503,912 0 503,912 310,000 0

12 CITIGROUP GLOBAL MARKETS INC FCM BD SD CBOT/NFA 2/29/2016 6,865,518,066 1,474,867,174 5,390,650,892 8,444,161,110 8,093,939,390 350,221,720 314,400,000 1,239,687,600 1,063,484,241 176,203,359 150,000,000 8,631,702,417 8,385,405,246 246,297,171 210,175,000 0

13 CREDIT SUISSE SECURITIES (USA) LLC FCM BD CBOT 2/29/2016 10,615,303,293 1,636,593,159 8,978,710,134 7,299,220,725 6,643,844,500 655,376,225 332,192,225 3,270,222,179 2,918,448,402 351,773,777 145,922,420 10,838,997,750 9,813,646,072 1,025,351,678 490,682,304 0

14 CUNNINGHAM COMMODITIES LLC FCM CBOT 2/29/2016 5,176,401 1,046,062 4,130,339 62,715,721 58,541,774 4,173,947 3,050,000 234,406 19,754 214,652 100,000 0 0 0 0 0

15 DAIWA CAPITAL MARKETS AMERICA INC FCM BD CME 2/29/2016 552,867,451 9,358,571 543,508,880 5,465,439 0 5,465,439 1 552,401 0 552,401 1 0 0 0 0 0

16 DEUTSCHE BANK SECURITIES INC FCM BD CBOT 2/29/2016 11,546,650,559 708,238,884 10,838,411,675 3,897,269,656 3,626,708,110 270,561,546 200,000,000 1,029,778,600 837,792,995 191,985,605 150,000,000 1,874,387,437 1,589,048,574 285,338,863 250,000,000 0

17 DORMAN TRADING LLC FCM CME 2/29/2016 9,643,863 1,706,945 7,936,918 167,282,423 163,583,542 3,698,881 2,000,000 4,261,369 3,572,942 688,427 200,000 0 0 0 0 0

18 E D & F MAN CAPITAL MARKETS INC FCM BD CME 2/29/2016 101,000,079 46,206,945 54,793,134 1,271,371,412 1,238,755,084 32,616,328 20,000,000 70,586,122 65,912,282 4,673,840 3,000,000 2,861,626 1,738,700 1,122,926 500,000 0

19 E TRADE CLEARING LLC FCM BD NFA 2/29/2016 892,236,176 143,247,830 748,988,346 60,179,031 44,437,768 15,741,263 10,000,000 1,371,639 262,425 1,109,214 1,000,000 0 0 0 0 0

20 EFL FUTURES LIMITED FCM CME 2/29/2016 31,336,346 22,317,287 9,019,059 314,575,777 301,571,959 13,003,818 5,000,000 0 0 0 0 0 0 0 0 0

21 FOREX CAPITAL MARKETS LLC FCMRFD SD NFA 2/29/2016 54,711,426 30,830,343 23,881,083 0 0 0 0 0 0 0 0 0 0 0 0 176,554,674

22 GAIN CAPITAL GROUP LLC FCMRFD NFA 2/29/2016 44,961,100 26,985,714 17,975,386 250,429,249 236,360,048 14,069,201 5,000,000 11,124,434 8,687,061 2,437,373 1,000,000 0 0 0 0 128,725,139

23 GH FINANCIALS LLC FCM CME 2/29/2016 15,937,831 5,716,115 10,221,716 72,996,152 61,414,816 11,581,336 4,000,000 2,411,542 1,385,182 1,026,360 550,000 0 0 0 0 0

24 GOLDMAN SACHS & CO FCM BD SD CBOT/NFA 2/29/2016 16,197,608,869 2,421,571,667 13,776,037,202 24,000,472,286 22,986,982,705 1,013,489,581 875,000,000 12,185,825,943 11,600,643,922 585,182,021 475,000,000 3,834,905,185 3,411,478,478 423,426,707 350,000,000 0

25 GOLDMAN SACHS EXECUTION & CLEARING LP FCM BD CME 2/29/2016 1,859,928,704 110,424,167 1,749,504,537 1,392,772,532 761,016,124 631,756,408 540,000,000 102,934,102 53,590,943 49,343,159 40,000,000 0 0 0 0 0

26 HSBC SECURITIES USA INC FCM BD CME 2/29/2016 1,093,053,910 226,122,072 866,931,838 1,331,149,267 1,240,528,563 90,620,704 70,000,000 275,695,435 165,045,416 110,650,019 25,000,000 952,051,340 805,935,332 146,116,008 115,000,000 0

27 IBFX INC RFED SD NFA 2/29/2016 58,987,463 22,001,527 36,985,936 0 0 0 0 0 0 0 0 0 0 0 0 43,118,441

28 INTERACTIVE BROKERS LLC FCM BD CME 2/29/2016 2,669,320,103 232,533,343 2,436,786,760 2,869,705,781 2,651,415,386 218,290,395 155,000,000 415,088,539 298,222,285 116,866,254 80,000,000 0 0 0 0 35,129,896

29 INTL FCSTONE FINANCIAL INC FCM BD CME 2/29/2016 128,920,942 68,755,967 60,164,975 1,925,067,502 1,876,213,464 48,854,038 35,000,000 119,433,037 101,950,724 17,482,313 8,000,000 0 0 0 0 0

30 IRONBEAM INC FCM NFA 2/29/2016 2,174,689 1,000,000 1,174,689 42,878,420 41,542,701 1,335,719 800,000 255,288 82,332 172,956 50,000 0 0 0 0 0

31 ITG DERIVATIVES LLC FCM BD NFA 2/29/2016 1,851,530 1,000,000 851,530 0 0 0 0 0 0 0 0 0 0 0 0 0

32 JEFFERIES LLC FCM BD NFA 2/29/2016 1,261,050,129 76,025,159 1,185,024,970 0 0 0 0 0 0 0 0 0 0 0 0 0

33 JP MORGAN CLEARING CORP FCM BD NFA 2/29/2016 7,315,714,836 1,641,838,336 5,673,876,500 1,021,046,099 746,129,893 274,916,206 149,225,979 560,439,871 433,100,509 127,339,362 86,620,102 250,000 0 250,000 1 0

34 JP MORGAN SECURITIES LLC FCM BD SD CEI/NFA 2/29/2016 12,561,018,135 2,498,336,073 10,062,682,062 18,619,273,642 16,742,156,222 1,877,117,420 837,107,811 3,656,698,743 3,296,150,142 360,548,601 230,730,510 8,634,739,631 7,816,117,820 818,621,811 547,128,247 0

35 MACQUARIE FUTURES USA LLC FCM CBOT 2/29/2016 249,385,554 167,199,439 82,186,115 2,223,926,581 2,055,768,864 168,157,717 100,000,000 24,913,537 8,703,698 16,209,839 7,000,000 25,198,030 6,751,385 18,446,645 1,000,000 0

36 MAREX NORTH AMERICA LLC FCM CME 2/29/2016 22,652,343 15,602,781 7,049,562 207,240,513 202,280,038 4,960,475 4,200,000 58,201,184 56,862,089 1,339,095 1,000,000 0 0 0 0 0

37 MCVEAN TRADING & INVESTMENTS LLC FCM NFA 2/29/2016 12,373,676 3,122,125 9,251,551 888,053,927 866,719,156 21,334,771 18,000,000 2,417,861 0 2,417,861 400,000 0 0 0 0 0

38 MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED FCM BD CBOT 2/29/2016 11,440,640,981 1,606,614,207 9,834,026,774 13,223,871,315 12,962,869,717 261,001,598 200,000,000 3,487,481,439 3,239,257,673 248,223,766 150,000,000 5,239,964,778 4,892,373,560 347,591,218 150,000,000 0

39 MERRILL LYNCH PROFESSIONAL CLEARING CORP FCM BD NFA 2/29/2016 3,320,740,904 492,444,482 2,828,296,422 1,538,497,548 985,346,666 553,150,882 300,000,000 0 0 0 0 0 0 0 0 0

40 MID CO COMMODITIES INC FCM NFA 2/29/2016 7,891,871 2,258,477 5,633,394 26,272,864 18,102,408 8,170,456 5,138,000 0 0 0 0 0 0 0 0 0

41 MINT BROKERS FCM BD NFA 2/29/2016 5,317,067 1,000,000 4,317,067 0 0 0 0 0 0 0 0 0 0 0 0 0

42 MITSUBISHI UFJ SECURITIES USA INC FCM BD NFA 2/29/2016 568,739,124 2,245,485 566,493,639 0 0 0 0 0 0 0 0 0 0 0 0 0

43 MIZUHO SECURITIES USA INC FCM BD SD CME/NFA 2/29/2016 607,533,955 242,772,259 364,761,696 2,565,630,948 2,366,951,250 198,679,698 125,000,000 943,934,580 835,574,008 108,360,572 70,000,000 33,725,519 8,560,049 25,165,470 15,000,000 0

44 MORGAN STANLEY & CO LLC FCM BD SD CME/NFA 2/29/2016 10,082,289,444 1,841,616,281 8,240,673,163 13,954,964,664 13,742,026,679 212,937,985 105,000,000 4,454,870,946 4,232,888,777 221,982,169 105,000,000 10,495,420,126 10,324,929,149 170,490,977 92,000,000 0

45 NANHUA USA LLC FCM CME 2/29/2016 10,660,341 3,934,605 6,725,736 77,877,793 72,362,099 5,515,694 1,000,000 0 0 0 0 0 0 0 0 0

46 NEUBERGER BERMAN LLC FCM BD NFA 2/29/2016 26,067,212 1,500,000 24,567,212 0 0 0 0 0 0 0 0 0 0 0 0 0

47 NOMURA SECURITIES INTERNATIONAL INC FCM BD CBOT 2/29/2016 2,419,193,271 91,109,546 2,328,083,725 323,292,721 223,294,106 99,998,615 15,000,000 17,507,749 291,521 17,216,228 1,000,000 0 0 0 0 0

48 OANDA CORPORATION FCMRFD NFA 2/29/2016 90,979,729 43,901,626 47,078,103 0 0 0 0 0 0 0 0 0 0 0 0 94,818,495

49 OPTIONSXPRESS INC FCM BD NFA 2/29/2016 253,776,323 5,954,577 247,821,746 111,915,716 79,678,992 32,236,724 11,951,849 4,035,842 1,148,397 2,887,445 172,260 0 0 0 0 0

50 PHILLIP CAPITAL INC FCM BD CME 2/29/2016 34,361,269 20,000,000 14,361,269 195,986,866 176,055,394 19,931,472 8,802,770 13,387,601 5,833,170 7,554,431 291,658 0 0 0 0 0

51 PICTET OVERSEAS INC FCM BD NFA 2/29/2016 18,191,669 1,000,000 17,191,669 0 0 0 0 0 0 0 0 0 0 0 0 0

52 RAND FINANCIAL SERVICES INC FCM CME 2/29/2016 82,942,556 13,361,674 69,580,882 272,345,900 228,580,600 43,765,300 6,857,400 34,393,900 11,735,000 22,658,900 352,100 0 0 0 0 0

53 RBC CAPITAL MARKETS LLC FCM BD CME 2/29/2016 1,882,239,909 232,014,621 1,650,225,288 2,296,077,669 2,089,350,147 206,727,522 160,000,000 179,339,935 138,051,427 41,288,508 20,000,000 944,715,974 722,716,565 221,999,409 80,000,000 0

54 RBS SECURITIES INC FCM BD CBOT 2/29/2016 3,728,297,850 115,470,802 3,612,827,048 1,787,313,327 1,600,166,137 187,147,190 125,000,000 149,594,318 24,052,764 125,541,554 100,000,000 0 0 0 0 0

55 RJ OBRIEN ASSOCIATES LLC FCM SD CME/NFA 2/29/2016 199,340,845 137,696,931 61,643,914 3,863,899,473 3,776,939,977 86,959,496 50,000,000 260,095,353 233,345,839 26,749,514 20,000,000 0 0 0 0 0

56 ROSENTHAL COLLINS GROUP LLC FCM CME 2/29/2016 70,822,052 48,905,385 21,916,667 1,279,578,624 1,253,218,901 26,359,723 18,000,000 30,355,642 18,468,266 11,887,376 8,000,000 0 0 0 0 0

57 SANFORD C BERNSTEIN & CO LLC FCM BD NFA 2/29/2016 208,200,708 26,299,474 181,901,234 0 0 0 0 0 0 0 0 0 0 0 0 0

58 SANTANDER INVESTMENT SECURITIES INC FCM BD NYME 2/29/2016 114,744,986 12,897,858 101,847,128 388,184,398 383,107,075 5,077,323 4,000,000 0 0 0 0 0 0 0 0 0

59 SCOTIA CAPITAL USA INC FCM BD CME 2/29/2016 541,149,035 37,991,266 503,157,769 0 0 0 0 0 0 0 0 0 0 0 0 0

60 SG AMERICAS SECURITIES LLC FCM BD CME 2/29/2016 3,851,301,754 1,263,838,300 2,587,463,454 15,473,659,988 14,606,471,446 867,188,542 500,000,000 4,315,439,361 3,841,007,663 474,431,698 255,000,000 464,952,384 288,818,711 176,133,673 75,000,000 0

61 STATE STREET GLOBAL MARKETS LLC FCM BD CME 2/29/2016 570,639,100 31,970,042 538,669,058 593,285,006 467,619,399 125,665,607 23,380,970 56,658,294 8,548,698 48,109,596 15,000,000 0 0 0 0 0

62 STRAITS FINANCIAL LLC FCM CME 2/29/2016 24,100,124 10,302,792 13,797,332 286,812,346 270,552,556 16,259,790 2,000,000 33,789,873 27,152,646 6,637,227 300,000 0 0 0 0 0

63 TD AMERITRADE FUTURES & FOREX LLC FCM NFA 2/29/2016 101,879,767 20,000,000 81,879,767 234,744,060 185,454,702 49,289,358 18,000,000 0 0 0 0 0 0 0 0 0

64 TRADESTATION SECURITIES INC FCM BD CME 2/29/2016 67,112,459 3,474,880 63,637,579 533,846,005 521,480,966 12,365,039 9,000,000 22,549,329 21,120,657 1,428,672 800,000 0 0 0 0 0

65 TRADOVATE LLC FCM NFA 2/29/2016 1,508,073 1,000,000 508,073 0 0 0 0 0 0 0 0 0 0 0 0 0

66 UBS FINANCIAL SERVICES INC FCM BD NFA 2/29/2016 1,191,881,450 107,429,686 1,084,451,764 164,057,406 107,155,337 56,902,069 22,000,000 26,670,954 3,980,095 22,690,859 15,000,000 0 0 0 0 0

67 UBS SECURITIES LLC FCM BD CBOT 2/29/2016 4,682,874,297 1,143,302,893 3,539,571,404 10,273,829,369 9,699,439,296 574,390,073 425,000,000 5,530,014,979 5,090,546,820 439,468,159 300,000,000 1,821,321,997 1,532,454,316 288,867,681 200,000,000 0

68 UOBBF CLEARING LIMITED FCM NFA 2/29/2016 7,958,383 1,000,000 6,958,383 0 0 0 0 0 0 0 0 0 0 0 0 0

69 WEDBUSH SECURITIES INC FCM BD CBOT 2/29/2016 144,235,936 22,224,285 122,011,651 760,362,064 739,360,998 21,001,066 13,000,000 29,366,441 25,559,515 3,806,926 1,000,000 0 0 0 0 40,598,869

70 WELLS FARGO SECURITIES LLC FCM BD CME 2/29/2016 3,799,108,110 747,376,784 3,051,731,326 3,045,777,870 2,736,162,087 309,615,783 200,000,000 619,400,499 379,495,427 239,905,072 30,000,000 7,081,168,160 6,209,310,988 871,857,172 550,000,000 0

71 YORK BUSINESS ASSOCIATES LLC FCM NFA 2/29/2016 4,940,338 1,000,000 3,940,338 41,487,578 37,046,082 4,441,496 2,000,000 2,206,908 1,706,851 500,057 200,000 0 0 0 0 0
SELECTED FCM FINANCIAL DATA AS OF 

February 29, 2016

FROM REPORTS FILED BY 

April 1, 2016

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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

Totals 168,779,415,695 157,006,070,162 11,773,345,533 7,086,264,410 47,077,099,200 42,382,530,938 4,694,568,262 2,689,366,526 67,685,415,591 61,541,286,799 6,144,128,792 3,497,244,148 518,945,514

January Web Page Update 72

Additions 0

NONE

Deletions 1

XCHANGE FINANCIAL ACCESS LLC

Name Changes

NONE

February Web Page Update 71

 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.