SELECTED FCM FINANCIAL DATA AS OF 

July 31, 2014

FROM REPORTS FILED BY 

September 05, 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 7/31/2014 400,344,050 150,908,832 249,435,218 2,671,721,876 2,398,836,760 272,885,116 128,684,231 217,238,507 169,430,620 47,807,887 25,414,593 0 0 0 0 0

2 ADM INVESTOR SERVICES INC FCM CBOT 7/31/2014 286,955,149 163,339,879 123,615,270 3,531,779,270 3,283,291,185 248,488,085 120,000,000 251,497,302 192,932,639 58,564,663 20,000,000 13,453,875 2,687,874 10,766,001 8,000,000 0

3 ADVANTAGE FUTURES LLC FCM CME 7/31/2014 23,090,826 17,033,161 6,057,665 495,472,470 477,869,193 17,603,277 8,000,000 40,702,405 38,708,535 1,993,870 1,000,000 0 0 0 0 0

4 AMERIPRISE FINANCIAL SERVICES INC FCM BD NFA 7/31/2014 159,938,969 1,000,000 158,938,969 0 0 0 0 0 0 0 0 0 0 0 0 0

5 AMP GLOBAL CLEARING LLC FCM NFA 7/31/2014 2,453,965 1,500,000 953,965 54,906,384 53,405,272 1,501,112 900,000 666,782 447,860 218,922 150,000 0 0 0 0 0

6 BARCLAYS CAPITAL INC FCM BD NYME 7/31/2014 7,461,221,852 1,456,792,521 6,004,429,331 6,643,497,184 6,260,345,955 383,151,229 221,616,247 3,554,782,182 3,399,151,454 155,630,728 118,630,386 6,861,502,902 5,824,094,747 1,037,408,155 542,223,221 0

7 BGC FINANCIAL LP FCM BD NFA 7/31/2014 57,730,255 1,982,978 55,747,277 0 0 0 0 0 0 0 0 0 0 0 0 0

8 BNP PARIBAS PRIME BROKERAGE INC FCM BD NYME 7/31/2014 3,366,546,825 201,838,470 3,164,708,355 3,041,050,765 2,694,322,440 346,728,325 269,432,244 18,882,151 1,647,384 17,234,767 10,000,000 10,831,500 731,813 10,099,687 5,000,000 0

9 BNP PARIBAS SECURITIES CORP FCM BD CBOT 7/31/2014 1,670,012,279 171,406,255 1,498,606,024 1,195,432,954 968,085,616 227,347,338 193,617,123 31,754,935 7,690,074 24,064,861 1,000,000 430,744,592 370,185,150 60,559,442 37,018,515 0

10 BOCI COMMODITIES & FUTURES USA LLC FCM NFA 7/31/2014 13,645,779 1,000,000 12,645,779 0 0 0 0 0 0 0 0 0 0 0 0 0

11 CANTOR FITZGERALD & CO FCM BD CBOT 7/31/2014 256,712,119 8,792,376 247,919,743 4,969,921 0 4,969,921 3,000,000 0 0 0 0 0 0 0 0 0

12 CHS HEDGING LLC FCM CBOT 7/31/2014 26,559,441 12,518,284 14,041,157 187,163,868 161,916,833 25,247,035 13,100,000 982,835 260,801 722,034 235,000 780,293 112,560 667,733 310,000 0

13 CITIGROUP GLOBAL MARKETS INC FCM BD SD CBOT/NFA 7/31/2014 5,464,898,055 1,066,873,079 4,398,024,976 5,563,434,675 5,289,876,228 273,558,447 257,600,000 1,133,964,612 931,129,892 202,834,720 180,000,000 5,783,154,955 5,475,668,782 307,486,173 278,800,000 0

14 CREDIT SUISSE SECURITIES (USA) LLC FCM BD CBOT 7/31/2014 7,074,234,087 2,304,170,706 4,770,063,381 9,774,124,491 8,783,093,294 991,031,197 439,154,665 2,920,590,067 2,641,879,676 278,710,391 132,093,984 9,294,546,312 7,583,982,994 1,710,563,318 379,199,150 0

15 CUNNINGHAM COMMODITIES LLC FCM CBOT 7/31/2014 5,405,820 1,771,685 3,634,135 73,050,302 68,946,743 4,103,559 3,050,000 620,121 383,595 236,526 100,000 0 0 0 0 0

16 DAIWA CAPITAL MARKETS AMERICA INC FCM BD CME 7/31/2014 508,140,001 8,344,097 499,795,904 9,802,318 4,321,244 5,481,074 4,321,244 620,791 0 620,791 1 0 0 0 0 0

17 DEUTSCHE BANK SECURITIES INC FCM BD CBOT 7/31/2014 9,630,704,900 755,262,495 8,875,442,405 12,999,496,611 12,397,659,752 601,836,859 500,000,000 1,389,308,244 1,068,740,939 320,567,305 200,000,000 1,818,934,500 1,502,136,236 316,798,264 250,000,000 0

18 DORMAN TRADING LLC FCM CME 7/31/2014 11,710,242 3,082,064 8,628,178 169,184,711 165,735,412 3,449,299 2,000,000 3,694,378 3,247,536 446,842 200,000 0 0 0 0 0

19 E D & F MAN CAPITAL MARKETS INC FCM BD CME 7/31/2014 54,794,969 11,134,048 43,660,921 343,763,428 327,616,276 16,147,152 9,000,000 6,797,023 5,225,655 1,571,368 1,000,000 0 0 0 0 0

20 E TRADE CLEARING LLC FCM BD NFA 7/31/2014 744,897,374 167,579,804 577,317,570 51,780,833 39,683,582 12,097,251 10,000,000 1,505,890 496,799 1,009,091 1,000,000 0 0 0 0 0

21 EFL FUTURES LIMITED FCM CME 7/31/2014 38,142,133 17,619,277 20,522,856 225,969,880 213,031,618 12,938,262 5,000,000 0 0 0 0 0 0 0 0 0

22 FCSTONE LLC FCM CME 7/31/2014 122,197,315 74,614,248 47,583,067 1,783,248,016 1,749,703,972 33,544,044 26,000,000 59,671,090 43,417,864 16,253,226 15,000,000 0 0 0 0 0

23 FOREX CAPITAL MARKETS LLC FCMRFD SD NFA 7/31/2014 50,384,360 29,661,167 20,723,193 0 0 0 0 0 0 0 0 0 0 0 0 203,223,349

24 FRIEDBERG MERCANTILE GROUP INC FCM NFA 7/31/2014 3,606,095 1,000,000 2,606,095 3,776,254 2,682,114 1,094,140 1,000,000 1,058,706 31,826 1,026,880 1,000,000 0 0 0 0 0

25 FRONTIER FUTURES INC FCM NFA 7/31/2014 1,811,945 1,000,000 811,945 34,282,838 33,333,133 949,705 355,943 0 0 0 0 0 0 0 0 0

26 FXDIRECTDEALER LLC FCMRFD SD NFA 7/31/2014 20,666,105 20,000,000 666,105 0 0 0 0 0 0 0 0 0 0 0 0 42,350

27 GAIN CAPITAL GROUP LLC FCMRFD NFA 7/31/2014 35,260,564 25,508,532 9,752,032 190,279,631 179,958,241 10,321,390 2,500,000 6,152,687 3,941,454 2,211,233 312,500 0 0 0 0 120,170,642

28 GH FINANCIALS LLC FCM CME 7/31/2014 10,745,191 1,910,727 8,834,464 28,845,376 27,114,913 1,730,463 575,000 369,948 78,535 291,413 75,000 0 0 0 0 0

29 GLOBAL FUTURES & FOREX LTD FCMRFD SD NFA 7/31/2014 4,443,396 1,000,000 3,443,396 0 0 0 0 0 0 0 0 0 0 0 0 0

30 GOLDMAN SACHS & CO FCM BD SD CBOT/NFA 7/31/2014 13,838,500,878 2,311,493,479 11,527,007,399 18,874,745,143 18,093,723,169 781,021,974 475,000,000 7,786,876,518 7,221,001,030 565,875,488 475,000,000 2,907,864,893 2,353,995,394 553,869,499 150,000,000 0

31 GOLDMAN SACHS EXECUTION & CLEARING LP FCM BD CME 7/31/2014 1,585,848,977 164,120,199 1,421,728,778 1,129,117,950 553,812,820 575,305,130 540,000,000 63,590,373 16,711,169 46,879,204 40,000,000 0 0 0 0 0

32 GUGGENHEIM SECURITIES LLC FCM BD NFA 7/31/2014 54,011,333 1,362,604 52,648,729 0 0 0 0 0 0 0 0 0 0 0 0 0

33 HSBC SECURITIES USA INC FCM BD CME 7/31/2014 997,455,604 191,391,550 806,064,054 1,162,196,222 1,031,338,244 130,857,978 50,000,000 166,067,454 118,933,244 47,134,210 35,267,972 578,928,742 522,398,676 56,530,066 30,000,000 0

34 IBFX INC RFED SD NFA 7/31/2014 27,688,378 23,033,657 4,654,721 0 0 0 0 0 0 0 0 0 0 0 0 67,192,288

35 INSTITUTIONAL LIQUIDITY LLC FCMRFD NFA 7/31/2014 32,828,787 20,000,000 12,828,787 0 0 0 0 0 0 0 0 0 0 0 0 170,585

36 INTERACTIVE BROKERS LLC FCM BD NFA 7/31/2014 2,179,557,838 345,767,280 1,833,790,558 2,414,483,081 2,217,108,587 197,374,494 155,000,000 417,252,681 315,723,859 101,528,822 80,000,000 0 0 0 0 38,571,354

37 IRONBEAM INC FCM NFA 7/31/2014 2,278,969 1,000,000 1,278,969 33,763,198 32,452,183 1,311,015 800,000 110,959 0 110,959 50,000 0 0 0 0 0

38 ITG DERIVATIVES LLC FCM BD NFA 7/31/2014 4,748,926 1,000,000 3,748,926 0 0 0 0 0 0 0 0 0 0 0 0 0

39 JEFFERIES BACHE LLC FCM CBOT 7/31/2014 188,363,000 108,489,520 79,873,480 1,910,329,000 1,789,545,000 120,784,000 90,000,000 207,569,000 136,621,000 70,948,000 50,000,000 61,763,000 41,203,000 20,560,000 5,000,000 0

40 JP MORGAN CLEARING CORP FCM BD NFA 7/31/2014 7,844,454,509 2,091,725,305 5,752,729,204 1,129,987,543 788,885,611 341,101,932 70,999,705 557,652,743 359,171,687 198,481,056 32,325,452 250,000 0 250,000 1 0

41 JP MORGAN SECURITIES LLC FCM BD SD CEI/NFA 7/31/2014 13,109,502,495 2,225,987,881 10,883,514,614 19,393,368,514 17,308,874,487 2,084,494,027 1,557,798,704 3,315,832,560 2,953,607,141 362,225,419 265,824,643 4,700,616,746 4,010,710,065 689,906,681 360,963,906 0

42 KCG AMERICAS LLC FCM BD CME 7/31/2014 294,465,464 36,229,870 258,235,594 768,955,858 751,327,755 17,628,103 15,000,000 6,644,695 3,143,381 3,501,314 2,500,000 0 0 0 0 32,660,218

43 LEK SECURITIES CORPORATION FCM BD NFA 7/31/2014 9,220,887 1,500,000 7,720,887 841,862 588,428 253,434 200,000 0 0 0 0 0 0 0 0 0

44 LINN GROUP THE FCM NFA 7/31/2014 1,802,631 1,000,000 802,631 1,291,251 0 1,291,251 1 39,622 0 39,622 1 0 0 0 0 0

45 MACQUARIE FUTURES USA LLC FCM CBOT 7/31/2014 169,921,020 114,991,728 54,929,292 1,545,664,637 1,366,693,874 178,970,763 90,000,000 18,180,795 4,217,967 13,962,828 295,258 21,605,136 3,316,120 18,289,016 232,128 0

46 MAREX NORTH AMERICA LLC FCM CME 7/31/2014 13,728,361 8,280,262 5,448,099 104,857,587 96,847,651 8,009,936 4,841,008 19,328,043 17,299,711 2,028,332 1,729,971 0 0 0 0 0

47 MB TRADING FUTURES INC RFED NFA 7/31/2014 24,342,165 20,871,725 3,470,440 0 0 0 0 0 0 0 0 0 0 0 0 27,434,504

48 MCVEAN TRADING & INVESTMENTS LLC FCM NFA 7/31/2014 13,126,896 3,575,384 9,551,512 912,606,450 892,447,480 20,158,970 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 7/31/2014 10,041,585,317 1,099,047,995 8,942,537,322 10,501,298,494 10,072,518,519 428,779,975 225,000,000 2,875,027,186 2,621,795,848 253,231,338 200,000,000 2,384,290,305 2,065,002,087 319,288,218 100,000,000 0

50 MERRILL LYNCH PROFESSIONAL CLEARING CORP FCM BD NFA 7/31/2014 1,911,240,959 347,151,822 1,564,089,137 2,207,983,214 1,000,398,669 1,207,584,545 300,000,000 4,545,642 832,940 3,712,702 1,000,000 1,000 0 1,000 1 0

51 MID CO COMMODITIES INC FCM NFA 7/31/2014 8,131,537 3,962,227 4,169,310 47,392,869 38,825,451 8,567,418 5,000,000 0 0 0 0 0 0 0 0 0

52 MINT BROKERS FCM BD NFA 7/31/2014 9,659,138 1,000,000 8,659,138 0 0 0 0 0 0 0 0 0 0 0 0 0

53 MITSUBISHI UFJ SECURITIES USA INC FCM BD NFA 7/31/2014 383,160,618 1,013,911 382,146,707 0 0 0 0 0 0 0 0 0 0 0 0 0

54 MIZUHO SECURITIES USA INC FCM BD SD CME/NFA 7/31/2014 470,191,320 211,723,805 258,467,515 2,369,259,573 2,190,760,440 178,499,133 150,000,000 546,325,306 463,487,310 82,837,996 80,000,000 69,372,333 43,755,732 25,616,601 20,000,000 0

55 MORGAN STANLEY & CO LLC FCM BD SD CME/NFA 7/31/2014 9,333,109,493 1,653,072,250 7,680,037,243 10,886,038,710 10,679,531,592 206,507,118 105,000,000 2,374,258,917 2,166,775,678 207,483,239 105,000,000 4,750,430,314 4,633,503,266 116,927,048 92,000,000 0

56 MORGAN STANLEY SMITH BARNEY LLC FCM BD NFA 7/31/2014 4,684,282,334 166,235,885 4,518,046,449 584,857,147 512,089,959 72,767,188 40,967,197 58,305,915 41,551,133 16,754,782 12,465,340 0 0 0 0 0

57 NANHUA USA LLC FCM NFA 7/31/2014 1,815,465 1,000,000 815,465 0 0 0 0 0 0 0 0 0 0 0 0 0

58 NEUBERGER BERMAN LLC FCM BD NFA 7/31/2014 54,898,680 1,500,000 53,398,680 0 0 0 0 0 0 0 0 0 0 0 0 0

59 NEWEDGE USA LLC FCM BD SD NYME/NFA 7/31/2014 1,819,767,675 958,281,407 861,486,268 12,753,294,665 12,139,106,435 614,188,230 500,000,000 3,405,008,423 3,049,555,222 355,453,201 255,000,000 547,752,676 422,435,013 125,317,663 75,000,000 0

60 NOMURA SECURITIES INTERNATIONAL INC FCM BD CBOT 7/31/2014 1,494,064,317 60,805,558 1,433,258,759 112,394,204 89,878,591 22,515,613 15,000,000 8,656,850 67,138 8,589,712 1,000,000 45,097,177 24,047,555 21,049,622 20,000,000 0

61 OANDA CORPORATION FCMRFD NFA 7/31/2014 85,909,721 26,602,694 59,307,027 0 0 0 0 0 0 0 0 0 0 0 0 142,053,880

62 OPTIONSXPRESS INC FCM BD NFA 7/31/2014 116,754,546 6,989,406 109,765,140 122,750,375 97,507,041 25,243,334 9,750,704 2,159,228 999,967 1,159,261 99,997 0 0 0 0 0

63 PHILLIP CAPITAL INC FCM CME 7/31/2014 27,769,248 20,000,000 7,769,248 168,884,507 152,990,593 15,893,914 7,649,530 8,674,325 2,176,123 6,498,202 108,806 0 0 0 0 0

64 RAND FINANCIAL SERVICES INC FCM CME 7/31/2014 79,849,089 21,140,600 58,708,489 300,165,900 255,451,000 44,714,900 7,663,500 34,114,100 12,319,400 21,794,700 369,600 0 0 0 0 0

65 RBC CAPITAL MARKETS LLC FCM BD CME 7/31/2014 1,112,286,751 116,297,701 995,989,050 1,319,707,639 1,163,166,823 156,540,816 80,000,000 114,657,575 82,778,925 31,878,650 20,000,000 0 0 0 0 0

66 RBS SECURITIES INC FCM BD CBOT 7/31/2014 4,741,037,013 140,547,216 4,600,489,797 1,833,800,437 1,675,678,011 158,122,426 125,000,000 204,589,588 45,613,612 158,975,976 100,000,000 178,816,125 39,683,871 139,132,254 80,000,000 0

67 RJ OBRIEN ASSOCIATES LLC FCM SD CME/NFA 7/31/2014 203,221,322 156,483,823 46,737,499 4,202,187,210 4,088,679,067 113,508,143 40,000,000 187,685,564 163,214,213 24,471,351 20,000,000 0 0 0 0 479,924

68 ROSENTHAL COLLINS GROUP LLC FCM CME 7/31/2014 81,501,254 60,679,597 20,821,657 1,628,252,443 1,597,253,390 30,999,053 18,000,000 28,881,708 18,917,663 9,964,045 9,000,000 0 0 0 0 0

69 SANFORD C BERNSTEIN & CO LLC FCM BD NFA 7/31/2014 179,258,843 22,743,936 156,514,907 0 0 0 0 0 0 0 0 0 0 0 0 0

70 SANTANDER INVESTMENT SECURITIES INC FCM BD NYME 7/31/2014 413,690,299 11,365,108 402,325,191 742,673,369 740,319,707 2,353,662 2,000,000 0 0 0 0 0 0 0 0 0

71 STATE STREET GLOBAL MARKETS LLC FCM BD CME 7/31/2014 542,243,894 76,947,224 465,296,670 931,436,912 694,364,783 237,072,129 34,718,239 45,660,794 4,650,562 41,010,232 15,000,000 415,689,660 315,334,914 100,354,746 50,000,000 0

72 STRAITS FINANCIAL LLC FCM CME 7/31/2014 10,891,881 6,623,254 4,268,627 301,424,767 292,520,996 8,903,771 2,000,000 29,963,232 27,729,144 2,234,088 300,000 0 0 0 0 0

73 TD AMERITRADE INC FCM BD NFA 7/31/2014 303,747,941 18,688,433 285,059,508 274,914,745 201,210,375 73,704,370 18,000,000 0 0 0 0 0 0 0 0 0

74 TIMBER HILL LLC FCM BD CME 7/31/2014 394,675,167 68,771,532 325,903,635 929,853,126 924,836,695 5,016,431 5,000,000 0 0 0 0 0 0 0 0 0

75 TRADESTATION SECURITIES INC FCM BD NFA 7/31/2014 50,834,821 5,119,355 45,715,466 458,022,994 447,620,882 10,402,112 9,000,000 20,369,066 19,224,305 1,144,761 800,000 0 0 0 0 0

76 UBS FINANCIAL SERVICES INC FCM BD NFA 7/31/2014 1,400,908,326 93,295,497 1,307,612,829 131,220,807 99,878,196 31,342,611 22,000,000 24,728,411 4,406,755 20,321,656 15,000,000 0 0 0 0 0

77 UBS SECURITIES LLC FCM BD CBOT 7/31/2014 8,135,620,066 876,345,719 7,259,274,347 7,692,991,261 7,067,479,221 625,512,040 494,723,545 3,728,441,436 3,300,466,252 427,975,184 400,000,000 1,108,237,481 829,082,727 279,154,754 200,000,000 0

78 VISION FINANCIAL MARKETS LLC FCM BD CME 7/31/2014 38,853,237 21,597,444 17,255,793 551,408,273 538,283,263 13,125,010 8,000,000 11,836,163 9,394,325 2,441,838 1,500,000 0 0 0 0 0

79 WEDBUSH SECURITIES INC FCM BD CBOT 7/31/2014 107,720,851 9,827,154 97,893,697 87,686,613 82,366,728 5,319,885 2,750,000 7,948,316 6,891,808 1,056,508 500,000 0 0 0 0 0

80 WELLS FARGO SECURITIES LLC FCM BD CME 7/31/2014 2,786,201,972 271,413,843 2,514,788,129 1,089,002,931 795,027,683 293,975,248 80,000,000 32,011,812 21,815,030 10,196,782 3,000,000 1,741,820,461 1,509,345,655 232,474,806 120,000,000 0

81 WHOTRADES FX LLC FCM NFA 7/31/2014 2,656,244 1,000,000 1,656,244 0 0 0 0 0 0 0 0 0 0 0 0 0

82 XCHANGE FINANCIAL ACCESS LLC FCM BD NFA 7/31/2014 6,696,438 1,065,326 5,631,112 29,157,031 27,008,597 2,148,434 1,750,000 0 0 0 0 0 0 0 0 0

83 YORK BUSINESS ASSOCIATES LLC FCM NFA 7/31/2014 4,862,042 1,000,000 3,862,042 47,604,449 44,775,076 2,829,373 700,000 2,091,733 1,799,488 292,245 200,000 0 0 0 0 0

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

Registered 

As 

Target Residual 

Interest in Cleared 

Swap Seg

DSRO As of

Date

Futures Commission Merchant / 

Retail Foreign Exchange Dealer Adjusted Net Capital Net Capital Requirement
SELECTED FCM FINANCIAL DATA AS OF 

July 31, 2014

FROM REPORTS FILED BY 

September 05, 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)

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

Registered 

As 

Target Residual 

Interest in Cleared 

Swap Seg

DSRO As of

Date

Futures Commission Merchant / 

Retail Foreign Exchange Dealer Adjusted Net Capital Net Capital Requirement

89

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91

92

93

94

95

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98

99

100

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132

133

134

135

136

137

138

139

140

141

142

143

144

145

146

147

148

149

150

151

Totals 160,764,907,017 148,214,002,848 12,550,904,169 7,596,218,830 35,958,365,250 31,721,736,168 4,236,629,082 2,930,948,504 43,726,484,978 37,573,414,231 6,153,070,747 2,803,746,922 631,999,094

June Web Page Update 85

Additions 1

NANHUA USA LLC

Deletions 3

CROSSLAND LLC

WELLS FARGO ADVISORS FINANCIAL NETWORK LLC

WELLS FARGO ADVISORS LLC

Name Changes

PHILLIP FUTURES INC to PHILLIP CAPITAL INC

July Web Page Update 83

(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.

(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.

(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.

(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.

(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.

• 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.

(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

 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.

 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.