SELECTED FCM FINANCIAL DATA AS OF 

August 31, 2014

FROM REPORTS FILED BY 

September 30, 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

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 8/31/2014 477,384,751 147,793,096 329,591,655 2,708,294,636 2,430,091,501 278,203,135 126,628,133 151,868,769 108,557,482 43,311,287 16,283,622 0 0 0 0 0

2 ADM INVESTOR SERVICES INC FCM CBOT 8/31/2014 287,303,035 158,506,573 128,796,462 3,504,521,388 3,256,067,220 248,454,168 120,000,000 266,130,732 207,561,381 58,569,351 20,000,000 13,227,737 3,392,153 9,835,584 8,000,000 0

3 ADVANTAGE FUTURES LLC FCM CME 8/31/2014 24,121,104 12,660,855 11,460,249 485,957,152 470,374,593 15,582,559 8,000,000 53,007,516 50,824,240 2,183,276 1,000,000 0 0 0 0 0

4 AMP GLOBAL CLEARING LLC FCM NFA 8/29/2014 2,477,878 1,500,000 977,878 56,282,082 54,639,039 1,643,043 900,000 1,089,149 768,861 320,288 150,000 0 0 0 0 0

5 BARCLAYS CAPITAL INC FCM BD NYME 8/31/2014 7,692,967,510 1,439,797,701 6,253,169,809 6,886,771,196 6,528,237,562 358,533,634 231,099,610 3,834,923,976 3,674,536,155 160,387,821 128,241,311 6,888,512,682 5,749,704,476 1,138,808,206 535,297,487 0

6 BGC FINANCIAL LP FCM BD NFA 8/31/2014 58,471,460 1,000,000 57,471,460 0 0 0 0 0 0 0 0 0 0 0 0 0

7 BNP PARIBAS PRIME BROKERAGE INC FCM BD NYME 8/31/2014 3,354,767,508 204,501,285 3,150,266,223 2,939,792,627 2,620,624,133 319,168,494 262,062,413 17,785,244 2,417,128 15,368,116 10,000,000 11,912,875 1,812,663 10,100,212 5,000,000 0

8 BNP PARIBAS SECURITIES CORP FCM BD CBOT 8/31/2014 1,620,880,322 215,236,827 1,405,643,495 1,378,535,323 1,120,491,264 258,044,059 224,098,253 36,508,062 12,194,743 24,313,319 1,219,474 492,323,962 425,832,707 66,491,255 42,583,271 0

9 BOCI COMMODITIES & FUTURES USA LLC FCM NFA 8/31/2014 13,586,243 1,000,000 12,586,243 0 0 0 0 0 0 0 0 0 0 0 0 0

10 CANTOR FITZGERALD & CO FCM BD CBOT 8/31/2014 212,220,781 5,648,190 206,572,591 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 8/31/2014 26,652,803 12,424,947 14,227,856 193,497,602 167,277,882 26,219,720 13,100,000 967,070 244,760 722,310 235,000 1,172,860 496,650 676,210 310,000 0

12 CITIGROUP GLOBAL MARKETS INC FCM BD SD CBOT/NFA 8/31/2014 5,717,018,490 1,027,082,936 4,689,935,554 5,380,647,072 5,102,627,752 278,019,320 253,800,000 1,118,454,569 897,808,535 220,646,034 150,000,000 6,027,977,149 5,474,794,249 553,182,900 278,700,000 0

13 CREDIT SUISSE SECURITIES (USA) LLC FCM BD CBOT 8/31/2014 7,636,159,767 2,448,992,215 5,187,167,552 9,117,174,635 8,156,646,306 960,528,329 407,832,315 3,166,122,919 2,775,901,480 390,221,439 138,795,074 9,935,496,837 8,046,196,626 1,889,300,211 402,309,831 0

14 CUNNINGHAM COMMODITIES LLC FCM CBOT 8/31/2014 5,464,496 1,474,476 3,990,020 69,777,591 65,603,077 4,174,514 3,050,000 591,115 349,833 241,282 100,000 0 0 0 0 0

15 DAIWA CAPITAL MARKETS AMERICA INC FCM BD CME 8/31/2014 517,171,486 10,173,375 506,998,111 10,221,516 4,742,544 5,478,972 4,742,544 613,438 0 613,438 1 0 0 0 0 0

16 DEUTSCHE BANK SECURITIES INC FCM BD CBOT 8/29/2014 9,928,386,780 770,797,229 9,157,589,551 12,725,266,149 12,094,652,869 630,613,280 500,000,000 1,493,448,728 1,220,919,002 272,529,726 200,000,000 1,908,611,477 1,596,224,106 312,387,371 250,000,000 0

17 DORMAN TRADING LLC FCM CME 8/31/2014 11,975,127 2,597,615 9,377,512 175,730,603 172,736,211 2,994,392 2,000,000 3,669,752 3,096,439 573,313 200,000 0 0 0 0 0

18 E D & F MAN CAPITAL MARKETS INC FCM BD CME 8/31/2014 48,757,143 15,204,793 33,552,350 596,630,859 579,442,938 17,187,921 9,000,000 35,763,843 33,889,811 1,874,032 1,000,000 0 0 0 0 0

19 E TRADE CLEARING LLC FCM BD NFA 8/31/2014 754,614,595 160,161,190 594,453,405 54,060,073 41,834,826 12,225,247 10,000,000 1,469,526 460,451 1,009,075 1,000,000 0 0 0 0 0

20 EFL FUTURES LIMITED FCM CME 8/31/2014 37,111,258 19,141,560 17,969,698 283,007,374 270,069,900 12,937,474 5,000,000 0 0 0 0 0 0 0 0 0

21 FCSTONE LLC FCM CME 8/31/2014 120,764,186 72,565,732 48,198,454 1,745,289,891 1,712,963,857 32,326,034 26,000,000 73,421,367 54,687,783 18,733,584 15,000,000 0 0 0 0 0

22 FOREX CAPITAL MARKETS LLC FCMRFD SD NFA 8/31/2014 49,177,539 29,581,228 19,596,311 0 0 0 0 0 0 0 0 0 0 0 0 201,624,562

23 FRIEDBERG MERCANTILE GROUP INC FCM NFA 8/31/2014 3,604,615 1,000,000 2,604,615 4,128,806 3,016,115 1,112,691 1,000,000 1,013,529 0 1,013,529 1,000,000 0 0 0 0 0

24 FRONTIER FUTURES INC FCM NFA 8/31/2014 1,834,856 1,054,100 780,756 33,150,042 32,299,024 851,018 388,588 0 0 0 0 0 0 0 0 0

25 FXDIRECTDEALER LLC FCMRFD SD NFA 8/31/2014 20,322,653 20,000,000 322,653 0 0 0 0 0 0 0 0 0 0 0 0 42,274

26 GAIN CAPITAL GROUP LLC FCMRFD NFA 8/31/2014 34,410,013 25,084,467 9,325,546 211,976,709 201,478,496 10,498,213 2,500,000 5,799,798 3,528,264 2,271,534 312,500 0 0 0 0 111,689,346

27 GH FINANCIALS LLC FCM CME 8/31/2014 10,830,366 2,288,212 8,542,154 22,702,418 20,935,497 1,766,921 575,000 388,919 92,807 296,112 75,000 0 0 0 0 0

28 GLOBAL FUTURES & FOREX LTD FCMRFD SD NFA 8/31/2014 3,725,216 1,000,000 2,725,216 0 0 0 0 0 0 0 0 0 0 0 0 0

29 GOLDMAN SACHS & CO FCM BD SD CBOT/NFA 8/31/2014 12,617,968,954 2,391,973,518 10,225,995,436 21,617,960,408 21,039,453,641 578,506,767 475,000,000 8,653,508,387 8,049,034,948 604,473,439 475,000,000 2,926,336,739 2,562,771,344 363,565,395 150,000,000 0

30 GOLDMAN SACHS EXECUTION & CLEARING LP FCM BD CME 8/31/2014 1,615,167,837 197,615,087 1,417,552,750 1,209,988,212 633,498,433 576,489,779 540,000,000 63,702,505 16,624,628 47,077,877 40,000,000 0 0 0 0 0

31 GUGGENHEIM SECURITIES LLC FCM BD NFA 8/31/2014 57,514,952 1,454,922 56,060,030 0 0 0 0 0 0 0 0 0 0 0 0 0

32 HSBC SECURITIES USA INC FCM BD CME 8/31/2014 1,071,087,431 198,849,235 872,238,196 1,369,788,448 1,256,146,419 113,642,029 50,000,000 172,608,290 123,313,586 49,294,704 37,964,902 675,540,887 619,429,928 56,110,959 30,000,000 0

33 IBFX INC RFED SD NFA 8/31/2014 26,977,729 22,975,867 4,001,862 0 0 0 0 0 0 0 0 0 0 0 0 66,028,810

34 INSTITUTIONAL LIQUIDITY LLC FCMRFD NFA 8/31/2014 31,478,038 20,000,000 11,478,038 0 0 0 0 0 0 0 0 0 0 0 0 70,435

35 INTERACTIVE BROKERS LLC FCM BD NFA 8/31/2014 2,222,953,664 357,283,092 1,865,670,572 2,445,452,173 2,226,748,543 218,703,630 155,000,000 415,708,221 313,902,741 101,805,480 80,000,000 0 0 0 0 42,974,138

36 IRONBEAM INC FCM NFA 8/31/2014 2,251,624 1,000,000 1,251,624 37,753,445 36,503,354 1,250,091 800,000 110,959 0 110,959 50,000 0 0 0 0 0

37 ITG DERIVATIVES LLC FCM BD NFA 8/31/2014 4,502,435 1,000,000 3,502,435 0 0 0 0 0 0 0 0 0 0 0 0 0

38 JEFFERIES BACHE LLC FCM CBOT 8/31/2014 187,645,000 103,642,400 84,002,600 1,961,818,000 1,859,330,000 102,488,000 90,000,000 190,712,000 120,851,000 69,861,000 50,000,000 72,787,000 52,564,000 20,223,000 5,000,000 0

39 JEFFERIES LLC FCM BD NFA 8/31/2014 902,854,742 73,474,314 829,380,428 0 0 0 0 0 0 0 0 0 0 0 0 0

40 JP MORGAN CLEARING CORP FCM BD NFA 8/31/2014 8,033,815,633 2,097,446,658 5,936,368,975 1,047,027,229 709,617,615 337,409,614 63,865,585 581,409,200 381,608,717 199,800,483 34,344,785 250,000 0 250,000 1 0

41 JP MORGAN SECURITIES LLC FCM BD SD CEI/NFA 8/29/2014 13,336,003,770 2,270,988,335 11,065,015,435 19,659,492,346 17,602,333,492 2,057,158,854 1,584,210,014 3,419,901,062 3,040,709,591 379,191,471 273,663,863 4,735,259,557 4,067,435,449 667,824,108 366,069,190 0

42 KCG AMERICAS LLC FCM BD CME 8/31/2014 344,598,443 36,278,895 308,319,548 766,235,870 748,412,184 17,823,686 15,000,000 6,994,693 3,533,727 3,460,966 2,500,000 0 0 0 0 30,747,708

43 LEK SECURITIES CORPORATION FCM BD NFA 8/31/2014 9,458,137 1,500,000 7,958,137 875,072 622,311 252,761 200,000 0 0 0 0 0 0 0 0 0

44 LINN GROUP THE FCM NFA 8/31/2014 1,677,751 1,000,000 677,751 841,251 0 841,251 1 39,622 0 39,622 1 0 0 0 0 0

45 MACQUARIE FUTURES USA LLC FCM CBOT 8/31/2014 165,110,801 119,119,258 45,991,543 1,566,787,503 1,386,836,402 179,951,101 90,000,000 18,277,005 4,286,009 13,990,996 300,021 23,497,040 5,201,775 18,295,265 364,124 0

46 MAREX NORTH AMERICA LLC FCM CME 8/31/2014 13,971,897 7,996,882 5,975,015 102,494,490 96,485,529 6,008,961 4,822,901 25,549,357 23,048,004 2,501,353 2,304,800 0 0 0 0 0

47 MB TRADING FUTURES INC RFED NFA 8/31/2014 24,364,959 20,858,664 3,506,295 0 0 0 0 0 0 0 0 0 0 0 0 27,173,271

48 MCVEAN TRADING & INVESTMENTS LLC FCM NFA 8/31/2014 13,225,472 3,438,021 9,787,451 930,030,534 909,297,709 20,732,825 18,000,000 2,417,861 0 2,417,861 400,000 0 0 0 0 0

49 MERRILL LYNCH PIERCE FENNER & SMITH FCM BD CBOT 8/31/2014 10,403,768,659 1,118,715,497 9,285,053,162 10,639,211,697 10,364,978,979 274,232,718 200,000,000 3,097,423,848 2,847,390,825 250,033,023 150,000,000 2,412,920,828 2,114,744,694 298,176,134 150,000,000 0

50 MERRILL LYNCH PROFESSIONAL CLEARING CORP FCM BD NFA 8/29/2014 2,010,991,974 318,028,680 1,692,963,294 2,268,951,646 1,136,061,038 1,132,890,608 300,000,000 4,298,222 592,966 3,705,256 1,000,000 0 0 0 0 0

51 MID CO COMMODITIES INC FCM NFA 8/31/2014 7,830,933 4,061,997 3,768,936 47,698,310 39,130,679 8,567,631 5,000,000 0 0 0 0 0 0 0 0 0

52 MINT BROKERS FCM BD NFA 8/31/2014 9,565,874 1,000,000 8,565,874 0 0 0 0 0 0 0 0 0 0 0 0 0

53 MITSUBISHI UFJ SECURITIES USA INC FCM BD NFA 8/31/2014 416,716,117 1,023,152 415,692,965 0 0 0 0 0 0 0 0 0 0 0 0 0

54 MIZUHO SECURITIES USA INC FCM BD SD CME/NFA 8/31/2014 496,993,611 205,981,591 291,012,020 2,209,465,263 2,025,441,680 184,023,583 150,000,000 597,339,553 497,912,102 99,427,451 80,000,000 67,545,464 42,516,452 25,029,012 20,000,000 0

55 MORGAN STANLEY & CO LLC FCM BD SD CME/NFA 8/31/2014 9,470,887,072 1,691,260,361 7,779,626,711 10,674,226,956 10,466,432,091 207,794,865 105,000,000 2,485,309,813 2,278,068,865 207,240,948 105,000,000 4,775,925,055 4,657,081,628 118,843,427 92,000,000 0

56 MORGAN STANLEY SMITH BARNEY LLC FCM BD NFA 8/31/2014 4,970,320,465 160,358,922 4,809,961,543 0 0 0 0 0 0 0 0 0 0 0 0 0

57 NANHUA USA LLC FCM NFA 8/31/2014 1,627,875 1,000,000 627,875 0 0 0 0 0 0 0 0 0 0 0 0 0

58 NEUBERGER BERMAN LLC FCM BD NFA 8/31/2014 70,218,928 1,500,000 68,718,928 0 0 0 0 0 0 0 0 0 0 0 0 0

59 NEWEDGE USA LLC FCM BD SD NYME/NFA 8/29/2014 1,816,428,638 969,273,421 847,155,217 12,627,703,417 12,030,308,364 597,395,053 500,000,000 3,704,372,116 3,347,774,258 356,597,858 255,000,000 571,354,366 446,434,751 124,919,615 75,000,000 0

60 NOMURA SECURITIES INTERNATIONAL INC FCM BD CBOT 8/29/2014 1,470,935,370 67,209,610 1,403,725,760 110,854,177 88,242,820 22,611,357 15,000,000 8,575,028 62,268 8,512,760 1,000,000 37,311,952 16,062,886 21,249,066 20,000,000 0

61 OANDA CORPORATION FCMRFD NFA 8/31/2014 86,459,390 26,438,913 60,020,477 0 0 0 0 0 0 0 0 0 0 0 0 138,778,250

62 OPTIONSXPRESS INC FCM BD NFA 8/31/2014 122,958,167 6,697,590 116,260,577 122,267,840 95,632,298 26,635,542 9,563,230 2,334,761 1,165,110 1,169,651 116,511 0 0 0 0 0

63 PHILLIP CAPITAL INC FCM CME 8/31/2014 27,570,100 20,000,000 7,570,100 181,065,111 165,170,585 15,894,526 8,258,529 8,708,819 3,052,001 5,656,818 152,600 0 0 0 0 0

64 RAND FINANCIAL SERVICES INC FCM CME 8/31/2014 80,225,127 22,342,219 57,882,908 305,167,200 260,464,500 44,702,700 7,813,900 34,909,300 13,094,000 21,815,300 392,800 0 0 0 0 0

65 RBC CAPITAL MARKETS LLC FCM BD CME 8/31/2014 1,198,147,832 112,923,823 1,085,224,009 1,254,635,500 1,130,584,509 124,050,991 80,000,000 122,147,146 90,828,683 31,318,463 20,000,000 0 0 0 0 0

66 RBS SECURITIES INC FCM BD CBOT 8/31/2014 4,814,371,482 133,898,970 4,680,472,512 1,764,358,194 1,602,138,358 162,219,836 125,000,000 199,686,136 41,819,220 157,866,916 100,000,000 190,613,340 15,953,066 174,660,274 80,000,000 0

67 RJ OBRIEN ASSOCIATES LLC FCM SD CME/NFA 8/31/2014 203,102,791 152,932,940 50,169,851 3,983,288,626 3,883,049,082 100,239,544 40,000,000 184,402,560 161,342,123 23,060,437 20,000,000 0 0 0 0 553,287

68 ROSENTHAL COLLINS GROUP LLC FCM CME 8/31/2014 77,569,590 56,395,008 21,174,582 1,527,572,908 1,497,049,695 30,523,213 18,000,000 30,437,757 20,658,537 9,779,220 9,000,000 0 0 0 0 0

69 SANFORD C BERNSTEIN & CO LLC FCM BD NFA 8/31/2014 176,077,220 21,614,667 154,462,553 0 0 0 0 0 0 0 0 0 0 0 0 0

70 SANTANDER INVESTMENT SECURITIES INC FCM BD NYME 8/29/2014 204,300,302 11,563,873 192,736,429 675,399,783 673,038,984 2,360,799 2,000,000 0 0 0 0 0 0 0 0 0

71 STATE STREET GLOBAL MARKETS LLC FCM BD CME 8/31/2014 539,999,041 69,856,343 470,142,698 873,221,391 635,285,355 237,936,036 31,764,268 51,620,767 10,613,807 41,006,960 15,000,000 446,937,935 316,525,019 130,412,916 50,000,000 0

72 STRAITS FINANCIAL LLC FCM CME 8/31/2014 11,962,297 6,776,379 5,185,918 304,020,910 295,252,780 8,768,130 2,000,000 23,106,238 20,781,893 2,324,345 300,000 0 0 0 0 0

73 TD AMERITRADE INC FCM BD NFA 8/31/2014 340,191,611 15,704,850 324,486,761 259,067,991 217,394,161 41,673,830 18,000,000 0 0 0 0 0 0 0 0 0

74 TIMBER HILL LLC FCM BD CME 8/31/2014 370,220,144 67,026,291 303,193,853 877,892,390 872,879,497 5,012,893 5,000,000 0 0 0 0 0 0 0 0 0

75 TRADESTATION SECURITIES INC FCM BD NFA 8/31/2014 51,028,238 4,622,505 46,405,733 461,112,979 451,097,021 10,015,958 9,000,000 20,840,281 19,655,162 1,185,119 800,000 0 0 0 0 0

76 UBS FINANCIAL SERVICES INC FCM BD NFA 8/31/2014 1,430,770,470 95,980,909 1,334,789,561 135,310,897 105,566,210 29,744,687 22,000,000 23,970,993 4,988,101 18,982,892 15,000,000 0 0 0 0 0

77 UBS SECURITIES LLC FCM BD CBOT 8/31/2014 7,838,592,157 886,707,886 6,951,884,271 8,702,770,878 8,075,304,664 627,466,214 565,271,326 3,754,597,164 3,319,212,864 435,384,300 400,000,000 1,064,275,585 834,522,347 229,753,238 200,000,000 0

78 VISION FINANCIAL MARKETS LLC FCM BD CME 8/31/2014 37,463,493 16,139,827 21,323,666 563,048,477 550,124,535 12,923,942 8,000,000 13,021,471 10,587,472 2,433,999 1,500,000 0 0 0 0 0

79 WEDBUSH SECURITIES INC FCM BD CBOT 8/31/2014 115,909,549 9,323,338 106,586,211 106,584,598 101,121,523 5,463,075 2,750,000 7,852,635 6,735,186 1,117,449 500,000 0 0 0 0 0

80 WELLS FARGO SECURITIES LLC FCM BD CME 8/31/2014 2,990,174,462 276,809,701 2,713,364,761 1,023,087,900 828,147,831 194,940,069 80,000,000 48,628,102 33,607,922 15,020,180 3,000,000 1,846,688,109 1,588,654,873 258,033,236 120,000,000 0

81 WHOTRADES FX LLC FCM NFA 8/31/2014 2,531,636 1,000,000 1,531,636 0 0 0 0 0 0 0 0 0 0 0 0 0

82 XCHANGE FINANCIAL ACCESS LLC FCM BD NFA 8/31/2014 6,516,928 1,000,000 5,516,928 32,184,391 30,008,313 2,176,078 1,750,000 0 0 0 0 0 0 0 0 0

83 YORK BUSINESS ASSOCIATES LLC FCM NFA 8/31/2014 4,770,915 1,000,000 3,770,915 49,590,871 47,085,712 2,505,159 700,000 2,032,436 1,753,436 279,000 200,000 0 0 0 0 0
SELECTED FCM FINANCIAL DATA AS OF 

August 31, 2014

FROM REPORTS FILED BY 

September 30, 2014

2 of 2

1

2

3

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)

87

88

89

90

91

92

93

94

95

96

97

98

99

100

101

102

103

104

105

106

107

108

109

110

111

112

113

114

115

116

117

118

119

120

121

122

123

124

125

126

127

128

129

130

131

132

133

134

135

136

137

138

139

140

141

142

143

144

145

146

147

Totals 163,084,690,947 151,279,129,502 11,805,561,445 7,613,546,610 38,239,592,329 33,856,448,907 4,383,143,422 2,859,102,265 45,126,479,436 38,638,351,842 6,488,127,594 2,880,633,904 619,682,081

July Web Page Update 83

Additions 1

JEFFERIES LLC

Deletions 1

AMERIPRISE FINANCIAL SERVICES INC

Name Changes

None

August Web Page Update 83

 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.