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 2/28/2017 603,866,237 188,919,870 414,946,367 3,299,153,251 2,956,501,038 342,652,213 174,252,674 130,682,667 107,051,878 23,630,789 10,705,188 0 0 0 0 0

2 ADM INVESTOR SERVICES INC FCM CBOT 2/28/2017 308,839,050 204,221,778 104,617,272 4,730,905,140 4,491,367,548 239,537,592 120,000,000 408,622,782 349,918,101 58,704,681 20,000,000 11,179,699 1,366,748 9,812,951 8,000,000 0

3 ADVANTAGE FUTURES LLC FCM CME 2/28/2017 24,393,730 16,457,545 7,936,185 604,171,948 589,578,918 14,593,030 9,000,000 43,081,088 41,281,264 1,799,824 1,000,000 0 0 0 0 0

4 AMP GLOBAL CLEARING LLC FCM NFA 2/28/2017 2,685,837 1,500,000 1,185,837 54,818,269 51,935,206 2,883,063 900,000 1,908,137 1,554,184 353,953 150,000 0 0 0 0 0

5 APERTURE LLC FCM NFA 2/28/2017 25,472,837 1,000,000 24,472,837 7,721,440 5,657,676 2,063,764 300,000 0 0 0 0 0 0 0 0 0

6 BARCLAYS CAPITAL INC FCM BD NYME 2/28/2017 7,524,033,808 1,237,421,232 6,286,612,576 6,449,954,650 5,867,291,269 582,663,381 322,701,020 3,862,424,958 3,431,224,536 431,200,422 172,247,472 5,805,068,763 4,982,253,263 822,815,500 197,795,455 0

7 BGC FINANCIAL LP FCM BD NFA 2/28/2017 46,327,676 3,145,087 43,182,589 0 0 0 0 0 0 0 0 0 0 0 0 0

8 BNP PARIBAS PRIME BROKERAGE INC FCM BD NYME 2/28/2017 1,508,874,285 227,713,826 1,281,160,459 2,798,256,467 2,610,083,638 188,172,829 150,000,000 33,594,344 24,065,610 9,528,734 7,500,000 35,831,540 16,704,967 19,126,573 15,000,000 0

9 BNP PARIBAS SECURITIES CORP FCM BD CBOT 2/28/2017 1,614,794,967 278,426,628 1,336,368,339 1,276,563,388 1,172,711,969 103,851,419 82,500,000 102,913,128 74,075,466 28,837,662 22,500,000 781,483,458 647,345,225 134,138,233 97,500,000 0

10 BOCI COMMODITIES & FUTURES USA LLC FCM CME 2/28/2017 8,232,527 1,000,000 7,232,527 16,704,257 15,087,632 1,616,625 1,000,000 6 0 6 1 6 0 6 1 0

11 CANTOR FITZGERALD & CO FCM BD CBOT 2/28/2017 257,680,354 10,133,358 247,546,996 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 2/28/2017 39,293,801 9,244,609 30,049,192 190,078,270 118,977,884 71,100,386 13,100,000 1,669,715 143,140 1,526,575 545,000 503,912 0 503,912 310,000 0

13 CITIGROUP GLOBAL MARKETS INC FCM BD SD CBOT/NFA 2/28/2017 10,763,338,868 1,995,606,328 8,767,732,540 9,622,044,534 9,166,633,773 455,410,761 335,300,000 1,668,102,049 1,424,533,569 243,568,480 150,000,000 16,132,567,873 15,734,689,154 397,878,719 301,675,000 0

14 CREDIT SUISSE SECURITIES (USA) LLC FCM BD CBOT 2/28/2017 9,749,751,084 1,556,538,162 8,193,212,922 6,853,816,520 6,455,840,711 397,975,809 322,792,036 3,256,422,953 3,013,831,345 242,591,608 150,691,567 12,876,193,435 12,164,507,998 711,685,437 608,225,400 0

15 CUNNINGHAM COMMODITIES LLC FCM CBOT 2/28/2017 5,192,006 1,315,127 3,876,879 64,235,935 60,445,157 3,790,778 3,050,000 176,142 15,528 160,614 50,000 0 0 0 0 0

16 DAIWA CAPITAL MARKETS AMERICA INC FCM BD CME 2/28/2017 627,851,575 7,779,128 620,072,447 2,167,160 0 2,167,160 1 546,866 0 546,866 1 0 0 0 0 0

17 DEUTSCHE BANK SECURITIES INC FCM BD CBOT 2/28/2017 12,197,773,862 575,603,409 11,622,170,453 3,471,723,036 3,271,594,357 200,128,679 125,000,000 782,573,826 657,149,665 125,424,161 75,000,000 610,797,822 410,656,211 200,141,611 100,000,000 0

18 DORMAN TRADING LLC FCM CME 2/28/2017 11,240,670 2,563,981 8,676,689 189,544,762 185,598,089 3,946,673 2,000,000 4,245,296 3,736,877 508,419 200,000 0 0 0 0 0

19 E D & F MAN CAPITAL MARKETS INC FCM BD CME 2/28/2017 126,354,546 58,021,490 68,333,056 1,564,517,225 1,505,219,226 59,297,999 35,000,000 57,655,853 50,176,089 7,479,764 5,000,000 2,903,865 1,766,015 1,137,850 500,000 0

20 E TRADE SECURITIES LLC FCM BD NFA 2/28/2017 964,569,291 167,099,054 797,470,237 74,107,629 56,147,313 17,960,316 10,000,000 1,351,629 242,415 1,109,214 1,000,000 0 0 0 0 0

21 EFL FUTURES LIMITED FCM CME 2/28/2017 38,704,437 17,534,843 21,169,594 233,471,170 220,055,290 13,415,880 5,000,000 0 0 0 0 0 0 0 0 0

22 GAIN CAPITAL GROUP LLC FCMRFD NFA 2/28/2017 50,712,422 34,217,253 16,495,169 274,206,673 257,187,141 17,019,532 10,000,000 4,726,989 3,165,689 1,561,300 1,000,000 0 0 0 0 271,410,137

23 GH FINANCIALS LLC FCM CME 2/28/2017 21,781,540 6,444,783 15,336,757 109,392,465 98,347,453 11,045,012 6,000,000 2,777,897 1,702,583 1,075,314 550,000 0 0 0 0 0

24 GOLDMAN SACHS & CO FCM BD SD CBOT/NFA 2/28/2017 17,675,130,660 2,619,256,227 15,055,874,433 24,851,690,337 23,778,718,615 1,072,971,722 875,000,000 12,017,224,936 11,415,310,446 601,914,490 475,000,000 4,822,940,128 4,326,863,489 496,076,639 350,000,000 0

25 HSBC SECURITIES USA INC FCM BD CME 2/28/2017 1,052,652,286 235,682,333 816,969,953 1,235,106,200 1,155,666,012 79,440,188 70,000,000 211,629,521 171,724,089 39,905,432 25,000,000 1,212,743,477 1,097,814,495 114,928,982 100,000,000 0

26 INTERACTIVE BROKERS LLC FCM BD CME 2/28/2017 3,300,868,560 301,541,550 2,999,327,010 3,402,940,893 3,164,219,049 238,721,844 155,000,000 480,948,931 358,824,650 122,124,281 80,000,000 0 0 0 0 33,633,836

27 INTL FCSTONE FINANCIAL INC FCM BD CME 2/28/2017 130,593,894 83,874,207 46,719,687 2,101,090,583 2,048,479,575 52,611,008 35,000,000 134,558,917 118,764,128 15,794,789 8,000,000 0 0 0 0 0

28 IRONBEAM INC FCM NFA 2/28/2017 3,548,511 1,541,033 2,007,478 71,586,745 70,236,887 1,349,858 800,000 713,303 515,897 197,406 50,000 0 0 0 0 0

29 JEFFERIES LLC FCM BD NFA 2/28/2017 1,359,023,177 81,622,202 1,277,400,975 0 0 0 0 0 0 0 0 0 0 0 0 0

30 JP MORGAN SECURITIES LLC FCM BD SD CEI/NFA 2/28/2017 14,181,893,879 2,939,001,190 11,242,892,689 20,029,601,153 18,392,770,263 1,636,830,890 1,011,602,364 5,087,879,664 4,589,569,604 498,310,060 390,113,416 11,274,084,550 10,326,841,665 947,242,885 645,427,604 0

31 MACQUARIE FUTURES USA LLC FCM CBOT 2/28/2017 263,655,133 152,578,530 111,076,603 2,056,526,375 1,850,309,157 206,217,218 100,000,000 38,307,373 19,235,241 19,072,132 7,000,000 28,388,188 9,714,704 18,673,484 1,000,000 0

32 MAREX NORTH AMERICA LLC FCM CME 2/28/2017 33,526,912 21,553,841 11,973,071 277,299,023 271,434,315 5,864,708 5,200,000 53,545,034 52,191,456 1,353,578 1,000,000 0 0 0 0 0

33 MCVEAN TRADING & INVESTMENTS LLC FCM NFA 2/28/2017 13,882,569 1,203,690 12,678,879 759,298,319 738,213,737 21,084,582 18,000,000 2,417,861 0 2,417,861 1,000,000 0 0 0 0 0

34 MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED FCM BD CBOT 2/28/2017 11,293,231,858 1,799,115,147 9,494,116,711 14,912,914,123 14,622,502,843 290,411,280 200,000,000 4,168,572,670 3,868,235,215 300,337,455 150,000,000 5,560,667,426 5,027,792,771 532,874,655 150,000,000 0

35 MERRILL LYNCH PROFESSIONAL CLEARING CORP FCM BD NFA 2/28/2017 3,684,957,800 513,973,886 3,170,983,914 1,873,842,237 1,072,575,466 801,266,771 300,000,000 0 0 0 0 0 0 0 0 0

36 MID CO COMMODITIES INC FCM NFA 2/28/2017 8,378,395 3,824,666 4,553,729 34,500,677 25,364,363 9,136,314 5,138,000 0 0 0 0 0 0 0 0 0

37 MINT BROKERS FCM BD NFA 2/28/2017 5,068,106 1,000,000 4,068,106 0 0 0 0 0 0 0 0 0 0 0 0 0

38 MIZUHO SECURITIES USA INC FCM BD SD CME/NFA 2/28/2017 570,811,745 244,918,106 325,893,639 2,838,496,898 2,637,629,531 200,867,367 125,000,000 1,231,263,849 1,104,891,410 126,372,439 70,000,000 33,332,798 3,305,629 30,027,169 15,000,000 0

39 MORGAN STANLEY & CO LLC FCM BD SD CME/NFA 2/28/2017 9,967,793,181 2,210,075,685 7,757,717,496 16,077,344,961 15,804,681,380 272,663,581 210,000,000 4,862,850,681 4,655,848,267 207,002,414 160,000,000 12,549,585,117 12,432,815,083 116,770,034 92,000,000 0

40 MUFG SECURITIES AMERICAS INC FCM BD NFA 2/28/2017 401,609,047 1,024,555 400,584,492 0 0 0 0 0 0 0 0 0 0 0 0 0

41 NANHUA USA LLC FCM CME 2/28/2017 19,091,243 4,587,029 14,504,214 102,767,409 90,173,182 12,594,227 3,500,000 0 0 0 0 0 0 0 0 0

42 NOMURA SECURITIES INTERNATIONAL INC FCM BD CBOT 2/28/2017 1,933,796,245 78,001,978 1,855,794,267 293,391,745 191,506,062 101,885,683 15,000,000 17,185,666 87,987 17,097,679 1,000,000 0 0 0 0 0

43 OANDA CORPORATION FCMRFD NFA 2/28/2017 69,862,480 50,707,368 19,155,112 0 0 0 0 0 0 0 0 0 0 0 0 147,849,819

44 OPTIONSXPRESS INC FCM BD NFA 2/28/2017 277,480,967 7,182,881 270,298,086 138,956,707 94,244,968 44,711,739 14,136,745 2,622,163 1,138,316 1,483,847 170,747 0 0 0 0 0

45 PHILLIP CAPITAL INC FCM BD CME 2/28/2017 30,273,196 13,232,805 17,040,391 208,000,966 197,615,987 10,384,979 9,880,799 35,405,245 27,429,934 7,975,311 1,371,497 0 0 0 0 0

46 PICTET OVERSEAS INC FCM BD NFA 2/28/2017 17,626,528 1,000,000 16,626,528 0 0 0 0 0 0 0 0 0 0 0 0 0

47 RAND FINANCIAL SERVICES INC FCM CME 2/28/2017 84,686,578 14,987,633 69,698,945 231,175,100 188,711,300 42,463,800 5,661,300 43,098,300 19,767,000 23,331,300 593,000 0 0 0 0 0

48 RBC CAPITAL MARKETS LLC FCM BD CME 2/28/2017 2,180,914,649 276,671,289 1,904,243,360 2,501,584,869 2,255,622,737 245,962,132 160,000,000 251,557,015 209,708,239 41,848,776 20,000,000 967,106,423 710,143,443 256,962,980 80,000,000 0

49 RBS SECURITIES INC FCM BD CBOT 2/28/2017 1,048,455,516 64,417,856 984,037,660 1,112,641,818 913,362,909 199,278,909 125,000,000 150,913,206 24,081,196 126,832,010 100,000,000 0 0 0 0 0

50 RJ OBRIEN ASSOCIATES LLC FCM SD CME/NFA 2/28/2017 201,397,727 159,667,173 41,730,554 4,153,668,769 4,063,789,106 89,879,663 50,000,000 231,138,509 206,090,407 25,048,102 20,000,000 0 0 0 0 0

51 ROSENTHAL COLLINS GROUP LLC FCM CME 2/28/2017 81,299,107 52,358,657 28,940,450 1,281,162,941 1,256,608,599 24,554,342 18,000,000 29,254,166 17,241,777 12,012,389 8,000,000 0 0 0 0 0

52 SANTANDER INVESTMENT SECURITIES INC FCM BD NYME 2/28/2017 153,736,802 14,812,961 138,923,841 531,698,402 525,605,181 6,093,221 4,000,000 0 0 0 0 0 0 0 0 0

53 SCOTIA CAPITAL USA INC FCM BD CME 2/28/2017 683,041,219 54,912,410 628,128,809 0 0 0 0 0 0 0 0 0 0 0 0 0

54 SG AMERICAS SECURITIES LLC FCM BD CME 2/28/2017 3,892,812,330 1,255,438,040 2,637,374,290 15,299,409,608 14,417,258,489 882,151,119 500,000,000 4,675,209,249 4,124,849,926 550,359,323 255,000,000 588,414,766 342,488,379 245,926,387 75,000,000 0

55 STRAITS FINANCIAL LLC FCM CME 2/28/2017 20,682,461 9,145,008 11,537,453 273,633,321 262,252,309 11,381,012 2,000,000 36,048,216 28,310,714 7,737,502 300,000 0 0 0 0 0

56 TD AMERITRADE FUTURES & FOREX LLC FCM NFA 2/28/2017 105,538,105 22,972,476 82,565,629 351,851,407 292,214,586 59,636,821 25,000,000 0 0 0 0 0 0 0 0 54,476,510

57 TRADESTATION SECURITIES INC FCM BD CME 2/28/2017 73,518,681 4,125,430 69,393,251 541,967,598 530,088,401 11,879,197 9,000,000 25,979,490 24,269,359 1,710,131 800,000 0 0 0 0 0

58 UBS FINANCIAL SERVICES INC FCM BD NFA 2/28/2017 1,294,908,052 122,362,879 1,172,545,173 124,206,491 93,248,594 30,957,897 22,000,000 33,232,595 6,298,135 26,934,460 15,000,000 0 0 0 0 0

59 UBS SECURITIES LLC FCM BD CBOT 2/28/2017 4,826,895,049 1,089,285,452 3,737,609,597 8,555,068,476 8,049,376,467 505,692,009 425,000,000 5,568,907,692 5,192,573,211 376,334,481 300,000,000 1,028,698,752 768,156,996 260,541,756 200,000,000 0

60 UOBBF CLEARING LIMITED FCM CME 2/28/2017 25,755,154 1,551,466 24,203,688 36,964,984 34,040,935 2,924,049 2,000,000 0 0 0 0 0 0 0 0 0

61 WEDBUSH SECURITIES INC FCM BD CBOT 2/28/2017 160,828,413 39,543,961 121,284,452 1,574,257,783 1,556,276,370 17,981,413 13,000,000 23,664,375 20,791,928 2,872,447 1,000,000 0 0 0 0 0

62 WELLS FARGO SECURITIES LLC FCM BD CME 2/28/2017 4,330,735,545 927,683,953 3,403,051,592 3,702,544,199 3,338,835,304 363,708,895 275,000,000 365,713,327 239,592,169 126,121,158 30,000,000 8,869,159,229 8,135,619,179 733,540,050 625,000,000 0

63 YORK BUSINESS ASSOCIATES LLC FCM NFA 2/28/2017 4,722,801 1,000,000 3,722,801 42,765,320 38,702,533 4,062,787 2,000,000 2,226,614 1,787,073 439,541 200,000 0 0 0 0 0

Totals 173,472,480,547 163,178,596,500 10,293,884,047 6,521,814,939 50,145,544,893 45,682,995,713 4,462,549,180 2,738,737,889 83,191,651,227 77,140,845,414 6,050,805,813 3,662,433,460 507,370,302

January Web Page Update 65

Additions 0

Deletions 2

FOREX CAPITAL MARKETS LLC

NEUBERGER BERMAN LLC

Name Changes

NONE

February Web Page Update 63
 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.

•  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: 

(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.

(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. 

(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.