SELECTED FCM FINANCIAL DATA AS OF 

March 31, 2013

FROM REPORTS FILED BY 

April 30, 2013

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58

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60

A B C D E F G H I J K L M N O

Reg As DSRO A/O Adjusted Net Capital Excess Customers' Customers' Excess/Deficient Funds in Separate Customer Excess/Deficient Total Amount

Date Net Capital Requirement Net Capital Assets Seg Required Funds in Seg Section 30.7 Amount Pt. 30 Funds in Separate of Retail Forex

in Seg 4d(a)(2) Accounts Required Section 30.7 Obligation

Accounts

(a) (b) (c) (d) (e) (f) (g) (h) (i) (j) (k)

1 ABN AMRO CLEARING CHICAGO LLC FCM BD CBOT 3/31/2013 489,359,798 139,637,838 349,721,960 2,875,819,203 2,646,689,071 229,130,132 187,353,753 124,317,725 63,036,028 0 

2 ADM INVESTOR SERVICES INC FCM CBOT 3/31/2013 276,048,784 151,436,362 124,612,422 3,331,346,476 3,065,543,608 265,802,868 200,542,347 132,948,853 67,593,494 0 

3 ADVANCED MARKETS LLC FCMRF

D

NFA 3/31/2013 10,344,575 1,000,000 9,344,575 0 0 0 0 0 0 0 

4 ADVANTAGE FUTURES LLC FCM CME 3/31/2013 22,669,241 12,917,761 9,751,480 500,935,821 488,514,692 12,421,129 26,504,171 24,625,676 1,878,495 0 

5 ALPARI (US) LLC FCMRF

D

NFA 3/31/2013 26,717,729 20,143,774 6,573,955 5,199,355 1,945,592 3,253,763 2,620,453 1,708,628 911,825 12,875,489 

6 AMERIPRISE FINANCIAL SERVICES INC FCM BD NFA 3/31/2013 125,785,011 1,000,000 124,785,011 0 0 0 0 0 0 0 

7 AMP GLOBAL CLEARING LLC FCM NFA 3/31/2013 2,519,686 1,500,000 1,019,686 41,198,376 39,740,295 1,458,081 889,810 672,962 216,848 0 

8 BARCLAYS CAPITAL INC FCM BD NYME 3/31/2013 5,739,878,978 1,071,578,992 4,668,299,986 6,888,707,396 6,619,064,494 269,642,902 3,636,651,887 3,457,594,341 179,057,546 0 

9 BGC FINANCIAL LP FCM BD NFA 3/31/2013 61,445,994 2,176,902 59,269,092 0 0 0 0 0 0 0 

10 BNP PARIBAS PRIME BROKERAGE INC FCM BD NYME 3/31/2013 2,250,330,918 227,544,460 2,022,786,458 2,268,615,234 1,984,930,537 283,684,697 21,719,637 4,403,101 17,316,536 0 

11 BNP PARIBAS SECURITIES CORP FCM BD CBOT 3/31/2013 1,828,611,882 122,806,984 1,705,804,898 1,012,394,346 619,877,121 392,517,225 1,000,000 0 1,000,000 0 

12 BNY MELLON CLEARING LLC FCM CME 3/31/2013 290,679,469 8,258,790 282,420,679 435,375,065 249,326,829 186,048,236 38,563,999 20,645,967 17,918,032 0 

13 BOCI COMMODITIES & FUTURES USA LLC FCM NFA 3/31/2013 4,915,766 1,000,000 3,915,766 0 0 0 0 0 0 0 

14 CANTOR FITZGERALD & CO FCM BD CBOT 3/31/2013 275,850,164 5,845,463 270,004,701 6,164,206 1,203,846 4,960,360 0 0 0 0 

15 CAPITAL MARKET SERVICES LLC FCM NFA 3/31/2013 2,342,797 1,000,000 1,342,797 0 0 0 0 0 0 0 

16 CHS HEDGING INC FCM CBOT 3/31/2013 25,740,626 15,580,138 10,160,488 299,503,738 275,257,682 24,246,056 1,265,594 283,485 982,109 0 

17 CITADEL SECURITIES LLC FCM BD CME 3/31/2013 368,812,607 1,000,000 367,812,607 0 0 0 0 0 0 0 

18 CITIGROUP GLOBAL MARKETS INC FCM BD CBOT 3/31/2013 7,260,889,585 693,721,947 6,567,167,638 7,531,650,979 7,318,697,584 212,953,395 1,196,356,519 940,239,249 256,117,270 0 

19 COMMONWEALTH FOREIGN EXCHANGE INC FCM NFA 3/31/2013 1,592,909 1,000,000 592,909 0 0 0 0 0 0 0 

20 CREDIT SUISSE SECURITIES (USA) LLC FCM BD CBOT 3/31/2013 8,948,357,597 1,779,019,619 7,169,337,978 7,976,816,076 6,677,806,968 1,299,009,108 2,948,061,422 2,468,088,086 479,973,336 0 

21 CROSSLAND LLC FCM CBOT 3/31/2013 7,832,092 3,178,562 4,653,530 79,875,304 77,722,000 2,153,304 15,013,785 14,451,737 562,048 0 

22 CUNNINGHAM COMMODITIES LLC FCM CBOT 3/31/2013 2,751,843 1,318,635 1,433,208 70,325,630 69,421,873 903,757 501,265 390,550 110,715 0 

23 CX CAPITAL MARKETS LLC FCM BD NFA 3/31/2013 2,801,013 1,000,000 1,801,013 38,112,766 36,037,429 2,075,337 0 0 0 0 

24 DAIWA CAPITAL MARKETS AMERICA INC FCM BD CME 3/31/2013 317,070,382 5,644,982 311,425,400 8,453,867 3,808,466 4,645,401 1,010,160 0 1,010,160 0 

25 DEUTSCHE BANK SECURITIES INC FCM BD CBOT 3/31/2013 7,055,912,672 661,644,553 6,394,268,119 15,142,543,157 14,616,074,925 526,468,232 1,275,028,718 875,031,632 399,997,086 0 

26 DORMAN TRADING LLC FCM CME 3/31/2013 10,317,819 1,755,312 8,562,507 132,244,880 129,688,816 2,556,064 2,514,218 1,925,951 588,267 0 

27 E D & F MAN CAPITAL MARKETS INC FCM BD CME 3/31/2013 24,031,513 2,507,238 21,524,275 45,988,828 39,672,742 6,316,086 727,412 125,892 601,520 0 

28 E TRADE CLEARING LLC FCM BD NFA 3/31/2013 654,096,924 128,110,468 525,986,456 43,533,657 33,338,623 10,195,034 1,615,297 615,297 1,000,000 0 

29 ENSKILDA FUTURES LTD FCM CME 3/31/2013 36,317,875 14,198,089 22,119,786 221,691,794 211,953,343 9,738,451 0 0 0 0 

30 FCSTONE LLC FCM CME 3/31/2013 108,084,076 70,802,479 37,281,597 1,715,449,282 1,692,220,374 23,228,908 94,305,466 83,694,678 10,610,788 0 

31 FOREX CAPITAL MARKETS LLC FCMRF

D

NFA 3/31/2013 49,686,037 26,553,243 23,132,794 0 0 0 0 0 0 141,064,865 

32 FRIEDBERG MERCANTILE GROUP INC FCM NFA 3/31/2013 3,613,534 1,000,000 2,613,534 7,896,465 7,320,005 576,460 1,268,498 1,210,186 58,312 0 

33 FRONTIER FUTURES INC FCM NFA 3/31/2013 1,965,763 1,000,000 965,763 32,441,594 31,698,568 743,026 0 0 0 0 

34 FX SOLUTIONS LLC FCMRF

D

NFA 3/31/2013 24,202,298 20,000,000 4,202,298 0 0 0 0 0 0 2,138,962 

35 FXDIRECTDEALER LLC FCMRF

D

NFA 3/31/2013 23,691,278 20,823,814 2,867,464 0 0 0 0 0 0 26,476,272 

36 GAIN CAPITAL GROUP LLC FCMRF

D

NFA 3/31/2013 35,208,772 25,091,424 10,117,348 118,510,876 114,117,564 4,393,312 3,474,352 2,517,881 956,471 111,828,478 

37 GH FINANCIALS LLC FCM CME 3/31/2013 8,807,725 1,000,000 7,807,725 2,052,473 1,578,177 474,296 0 0 0 0 

38 GLOBAL FUTURES & FOREX LTD FCMRF

D

NFA 3/31/2013 3,575,684 20,000,000 (16,424,316) 0 0 0 0 0 0 0 

39 GOLDMAN SACHS & CO FCM BD CBOT 3/31/2013 14,796,695,798 1,944,828,119 12,851,867,679 20,298,306,462 19,784,516,408 513,790,054 8,830,952,594 8,332,429,965 498,522,629 0 

40 GOLDMAN SACHS EXECUTION & CLEARING LP FCM BD CME 3/31/2013 2,051,474,510 115,498,547 1,935,975,963 1,367,501,729 782,843,405 584,658,324 64,489,738 17,746,001 46,743,737 0 

41 GUGGENHEIM SECURITIES LLC FCM BD NFA 3/31/2013 66,213,952 1,404,295 64,809,657 0 0 0 0 0 0 0 

42 HSBC SECURITIES USA INC FCM BD CME 3/31/2013 1,123,109,603 105,531,311 1,017,578,292 935,796,222 869,713,297 66,082,925 96,191,621 71,188,457 25,003,164 0 

43 IBFX INC RFED NFA 3/31/2013 27,921,865 23,216,902 4,704,963 0 0 0 0 0 0 74,338,033 

44 INSTINET LLC FCM BD NFA 3/31/2013 106,688,206 3,704,377 102,983,829 0 0 0 0 0 0 0 

45 INSTITUTIONAL LIQUIDITY LLC FCMRF

D

NFA 3/31/2013 36,949,274 20,122,959 16,826,315 0 0 0 0 0 0 12,459,172 

46 INTERACTIVE BROKERS LLC FCM BD NFA 3/31/2013 1,685,887,625 256,725,517 1,429,162,108 2,158,247,047 1,947,608,656 210,638,391 682,440,569 555,840,250 126,600,319 40,717,390 

47 IRONBEAM INC FCM NFA 3/31/2013 2,489,478 1,338,667 1,150,811 52,530,722 51,089,459 1,441,263 110,242 2,815 107,427 0 

48 ITG DERIVATIVES LLC FCM BD NFA 3/31/2013 4,154,093 1,000,000 3,154,093 0 0 0 0 0 0 0 

49 JEFFERIES BACHE LLC FCM CBOT 3/31/2013 246,453,000 143,742,400 102,710,600 2,393,238,000 2,284,408,000 108,830,000 212,738,000 140,548,000 72,190,000 0 

50 JP MORGAN CLEARING CORP FCM BD NFA 3/31/2013 6,662,383,714 1,773,515,549 4,888,868,165 884,942,918 611,601,947 273,340,971 567,818,085 364,124,005 203,694,080 0 

51 JP MORGAN SECURITIES LLC FCM BD CEI 3/31/2013 13,493,750,545 1,588,589,099 11,905,161,446 19,119,957,931 17,038,888,863 2,081,069,068 3,313,628,383 2,970,759,301 342,869,082 0 

52 KNIGHT CAPITAL AMERICAS LLC FCM BD CME 3/31/2013 293,576,632 23,962,708 269,613,924 496,466,223 479,970,694 16,495,529 14,597,330 10,668,299 3,929,031 30,876,184 

53 LEK SECURITIES CORPORATION FCM BD NFA 3/31/2013 10,056,987 1,500,000 8,556,987 6,642,417 5,108,411 1,534,006 0 0 0 0 

54 LINN GROUP THE FCM NFA 3/31/2013 3,262,498 2,113,083 1,149,415 83,209,734 79,566,022 3,643,712 347,801 241 347,560 0 

Futures Commission Merchant / Retail Foreign Exchange 

Dealer
SELECTED FCM FINANCIAL DATA AS OF 

March 31, 2013

FROM REPORTS FILED BY 

April 30, 2013

2 of 4

1

2

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A B C D E F G H I J K L M N O

Reg As DSRO A/O Adjusted Net Capital Excess Customers' Customers' Excess/Deficient Funds in Separate Customer Excess/Deficient Total Amount

Date Net Capital Requirement Net Capital Assets Seg Required Funds in Seg Section 30.7 Amount Pt. 30 Funds in Separate of Retail Forex

in Seg 4d(a)(2) Accounts Required Section 30.7 Obligation

Accounts

(a) (b) (c) (d) (e) (f) (g) (h) (i) (j) (k)

Futures Commission Merchant / Retail Foreign Exchange 

Dealer

61

62

63

64

65

66

67

68

69

70

71

72

73

74

75

76

77

78

79

80

81

82

83

84

85

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88

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90

91

92

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97

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100

101

102

103

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109

110

111

112

113

114

115

55 LPL FINANCIAL LLC FCM BD NFA 3/31/2013 134,085,470 6,471,770 127,613,700 0 0 0 0 0 0 0 

56 MACQUARIE FUTURES USA LLC FCM CBOT 3/31/2013 138,799,173 85,167,408 53,631,765 1,277,573,056 1,124,588,246 152,984,810 35,421,688 28,890,251 6,531,437 0 

57 MAREX NORTH AMERICA LLC FCM CME 3/31/2013 8,305,064 7,327,121 977,943 90,865,843 83,804,991 7,060,852 5,845,493 5,092,128 753,365 0 

58 MAREX USA LIMITED FCM NFA 3/31/2013 2,481,333 1,000,000 1,481,333 0 0 0 0 0 0 0 

59 MB TRADING FUTURES INC FCMRF

D

NFA 3/31/2013 24,390,238 21,515,671 2,874,567 0 0 0 0 0 0 40,313,420 

60 MCVEAN TRADING & INVESTMENTS LLC FCM NFA 3/31/2013 13,566,188 3,184,744 10,381,444 897,541,907 876,550,239 20,991,668 2,650,556 0 2,650,556 0 

61 MERRILL LYNCH PIERCE FENNER & SMITH FCM BD CBOT 3/31/2013 10,200,269,628 776,352,607 9,423,917,021 8,347,629,119 7,812,492,241 535,136,878 2,695,350,993 2,343,696,944 351,654,049 0 

62 MERRILL LYNCH PROFESSIONAL CLEARING CORP FCM BD NFA 3/31/2013 1,597,204,965 235,362,193 1,361,842,772 1,921,155,237 1,162,814,204 758,341,033 28,216,032 265,981 27,950,051 0 

63 MID CO COMMODITIES INC FCM NFA 3/31/2013 9,706,948 5,173,756 4,533,192 71,415,691 62,778,541 8,637,150 630,319 57,763 572,556 0 

64 MITSUBISHI UFJ SECURITIES USA INC FCM BD NFA 3/31/2013 219,786,295 1,109,543 218,676,752 0 0 0 0 0 0 0 

65 MITSUI BUSSAN COMMODITIES USA INC FCM NFA 3/31/2013 3,317,585 1,000,000 2,317,585 0 0 0 0 0 0 0 

66 MIZUHO SECURITIES USA INC FCM BD CME 3/31/2013 507,517,280 174,045,479 333,471,801 2,163,275,239 1,965,794,380 197,480,859 482,672,593 379,364,679 103,307,914 0 

67 MORGAN KEEGAN & COMPANY INC FCM BD NFA 3/31/2013 63,688,188 1,500,000 62,188,188 0 0 0 0 0 0 0 

68 MORGAN STANLEY & CO LLC FCM BD CME 3/31/2013 8,848,445,938 1,500,753,547 7,347,692,391 8,002,522,900 7,793,554,147 208,968,753 1,979,525,217 1,768,832,616 210,692,601 0 

69 MORGAN STANLEY SMITH BARNEY LLC FCM BD NFA 3/31/2013 2,429,317,008 133,850,612 2,295,466,396 675,511,067 623,259,275 52,251,792 70,059,366 62,745,475 7,313,891 0 

70 NATIXIS SECURITIES AMERICAS LLC FCM BD NFA 3/31/2013 357,830,308 1,855,832 355,974,476 0 0 0 0 0 0 0 

71 NEUBERGER BERMAN LLC FCM BD NFA 3/31/2013 61,412,445 1,500,000 59,912,445 0 0 0 0 0 0 0 

72 NEWEDGE USA LLC FCM BD NYME 3/31/2013 1,990,444,206 1,008,043,517 982,400,689 15,226,523,087 14,628,090,311 598,432,776 3,833,572,447 3,438,036,271 395,536,176 0 

73 NOMURA SECURITIES INTERNATIONAL INC FCM BD CBOT 3/31/2013 2,453,921,484 34,137,826 2,419,783,658 76,433,516 55,437,559 20,995,957 13,630,886 9,403,836 4,227,050 0 

74 OANDA CORPORATION FCMRF

D

NFA 3/31/2013 152,870,767 27,133,832 125,736,935 0 0 0 0 0 0 152,676,650 

75 OPPENHEIMER & CO INC FCM BD NFA 3/31/2013 154,177,062 24,856,337 129,320,725 46,744,321 29,289,431 17,454,890 0 0 0 0 

76 OPTIONSXPRESS INC FCM BD NFA 3/31/2013 89,125,204 5,952,989 83,172,215 115,838,643 92,881,565 22,957,078 4,522,191 1,961,472 2,560,719 0 

77 PHILLIP FUTURES INC FCM CME 3/31/2013 27,252,026 20,000,000 7,252,026 193,569,179 170,456,321 23,112,858 1,285,332 478,382 806,950 0 

78 PIONEER FUTURES INC FCM NFA 3/31/2013 1,732,262 1,000,000 732,262 3,939,342 3,711,159 228,183 50,000 0 50,000 0 

79 RAND FINANCIAL SERVICES INC FCM CME 3/31/2013 77,781,608 18,866,219 58,915,389 382,325,800 342,465,700 39,860,100 33,492,700 11,416,900 22,075,800 0 

80 RAYMOND JAMES & ASSOCIATES INC FCM BD NFA 3/28/2013 298,731,650 38,300,584 260,431,066 0 0 0 0 0 0 0 

81 RBC CAPITAL MARKETS LLC FCM BD CME 3/28/2013 1,162,638,929 112,521,812 1,050,117,117 873,955,147 804,249,932 69,705,215 179,767,656 119,654,500 60,113,156 0 

82 RBS SECURITIES INC FCM BD CBOT 3/31/2013 4,310,308,059 154,008,449 4,156,299,610 1,660,512,209 1,515,564,906 144,947,303 162,683,397 44,383,837 118,299,560 0 

83 RJ OBRIEN ASSOCIATES LLC FCM CME 3/31/2013 214,199,579 135,488,656 78,710,923 4,020,216,585 3,920,125,395 100,091,190 204,349,338 178,089,886 26,259,452 1,679,228 

84 ROSENTHAL COLLINS GROUP LLC FCM CME 3/31/2013 76,443,733 57,373,270 19,070,463 1,655,845,814 1,634,156,088 21,689,726 47,083,091 37,021,211 10,061,880 0 

85 SANFORD C BERNSTEIN & CO LLC FCM BD NFA 3/31/2013 150,745,918 18,238,226 132,507,692 0 0 0 0 0 0 0 

86 SANTANDER INVESTMENT SECURITIES INC FCM BD NYME 3/29/2013 97,460,480 7,096,549 90,363,931 616,450,408 614,020,037 2,430,371 0 0 0 0 

87 STATE STREET GLOBAL MARKETS LLC FCM BD CME 3/31/2013 509,656,408 9,130,283 500,526,125 269,263,731 116,934,768 152,328,963 51,176,679 11,869,033 39,307,646 0 

88 STEPHENS INC FCM BD NFA 3/31/2013 96,039,062 19,134,594 76,904,468 0 0 0 0 0 0 0 

89 STRAITS FINANCIAL LLC FCM CME 3/31/2013 10,208,312 2,937,889 7,270,423 95,975,498 89,365,776 6,609,722 19,695,220 17,721,077 1,974,143 0 

90 TD AMERITRADE INC FCM BD NFA 3/31/2013 226,256,550 12,633,896 213,622,654 179,173,937 156,318,979 22,854,958 0 0 0 0 

91 TIMBER HILL LLC FCM BD CME 3/31/2013 290,320,610 51,315,555 239,005,055 676,951,514 674,425,154 2,526,360 0 0 0 0 

92 TRADELINK LLC FCM BD CBOT 3/31/2013 13,311,395 1,000,000 12,311,395 0 0 0 0 0 0 0 

93 TRADESTATION SECURITIES INC FCM BD NFA 3/31/2013 49,771,492 3,350,045 46,421,447 394,093,369 384,075,651 10,017,718 15,527,659 14,515,543 1,012,116 0 

94 TULLETT PREBON FINANCIAL SERVICES LLC FCM BD NFA 3/31/2013 29,586,120 1,000,000 28,586,120 0 0 0 0 0 0 0 

95 UBS FINANCIAL SERVICES INC FCM BD NFA 3/31/2013 1,282,387,469 105,865,643 1,176,521,826 134,677,517 110,217,986 24,459,531 25,324,062 1,131,366 24,192,696 0 

96 UBS SECURITIES LLC FCM BD CBOT 3/31/2013 11,507,945,450 942,091,528 10,565,853,922 9,804,856,562 9,148,483,300 656,373,262 3,759,957,344 3,321,013,426 438,943,918 0 

97 VELOCITY FUTURES LLC FCM NFA 3/31/2013 1,265,906 1,000,000 265,906 64,497,559 63,640,704 856,855 1,859,102 1,262,542 596,560 0 

98 VISION FINANCIAL MARKETS LLC FCM BD CME 3/31/2013 30,335,560 18,196,426 12,139,134 667,546,455 651,649,328 15,897,127 12,458,478 9,332,324 3,126,154 0 

99 WELLS FARGO ADVISORS FINANCIAL NETWORK LLC FCM BD NFA 3/31/2013 45,290,156 1,000,000 44,290,156 0 0 0 0 0 0 0 

100 WELLS FARGO ADVISORS LLC FCM BD NFA 3/31/2013 1,308,085,396 1,500,000 1,306,585,396 0 0 0 0 0 0 0 

101 WELLS FARGO SECURITIES LLC FCM BD CME 3/31/2013 1,525,501,596 13,302,695 1,512,198,901 0 0 0 0 0 0 0 

102 WHITE COMMERCIAL CORPORATION FCM NFA 3/31/2013 2,222,031 1,000,000 1,222,031 0 0 0 0 0 0 0 

103 XCHANGE FINANCIAL ACCESS LLC FCM BD NFA 3/31/2013 2,583,674 1,000,000 1,583,674 0 0 0 0 0 0 0 

104 XPRESSTRADE LLC RFED NFA 3/31/2013 22,863,385 20,000,000 2,863,385 0 0 0 0 0 0 493,040 

105 YORK BUSINESS ASSOCIATES LLC FCM NFA 3/31/2013 3,576,828 1,000,000 2,576,828 60,447,711 58,662,592 1,785,119 2,325,472 1,827,517 497,955 0 

Totals 159,297,014,212 147,758,425,292 11,538,588,920 37,109,436,437 32,426,864,171 4,682,572,266 647,937,183
SELECTED FCM FINANCIAL DATA AS OF 

March 31, 2013

FROM REPORTS FILED BY 

April 30, 2013

3 of 4

1

2

3

4

5

6

A B C D E F G H I J K L M N O

Reg As DSRO A/O Adjusted Net Capital Excess Customers' Customers' Excess/Deficient Funds in Separate Customer Excess/Deficient Total Amount

Date Net Capital Requirement Net Capital Assets Seg Required Funds in Seg Section 30.7 Amount Pt. 30 Funds in Separate of Retail Forex

in Seg 4d(a)(2) Accounts Required Section 30.7 Obligation

Accounts

(a) (b) (c) (d) (e) (f) (g) (h) (i) (j) (k)

Futures Commission Merchant / Retail Foreign Exchange 

Dealer

116

117

118

119

120

121

122

123

124

125

126

127

128

129

February Web Page Update 107

Additions 0

None

Deletions 2

EAGLE MARKET MAKERS INC

OMAHA CAPITAL GROUP LLC

Name Changes

None

March Web Page Update 105
SELECTED FCM FINANCIAL DATA AS OF 

March 31, 2013

FROM REPORTS FILED BY 

April 30, 2013

4 of 4

1

2

3

4

5

6

A B C D E F G H I J K L M N O

Reg As DSRO A/O Adjusted Net Capital Excess Customers' Customers' Excess/Deficient Funds in Separate Customer Excess/Deficient Total Amount

Date Net Capital Requirement Net Capital Assets Seg Required Funds in Seg Section 30.7 Amount Pt. 30 Funds in Separate of Retail Forex

in Seg 4d(a)(2) Accounts Required Section 30.7 Obligation

Accounts

(a) (b) (c) (d) (e) (f) (g) (h) (i) (j) (k)

Futures Commission Merchant / Retail Foreign Exchange 

Dealer

130

131

132

133

134

135

136

137

138

139

140

141

142

143

144

145

146

147

148

149

150

151

152

153

154

155

156

157

158

159

160

(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.

(k): 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.

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

(h): 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.

(i): 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. 

(j): Excess/Deficient funds in separate Section 30.7 accounts is funds in separate Section 30.7 accounts, less the customer amount Part 30 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.

•  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. 

(c): A firm's net capital requirement is the greater of: 

(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;

 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.