SELECTED FCM FINANCIAL DATA AS OF 

December 31, 2012

FROM REPORTS FILED BY 

February 08, 2013

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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)

1 ABN AMRO CLEARING CHICAGO LLC FCM BD CBOT 12/31/2012 350,578,604 129,621,843 220,956,761 2,633,806,797 2,479,153,339 154,653,458 129,350,639 103,343,018 26,007,621 0

2 ADM INVESTOR SERVICES INC FCM CBOT 12/31/2012 272,947,871 145,716,481 127,231,390 3,126,944,727 2,894,543,463 232,401,264 202,998,760 137,757,750 65,241,010 0

3 ADVANCED MARKETS LLC FCMRFD NFA 12/31/2012 20,065,873 20,000,000 65,873 0 0 0 0 0 0 0

4 ADVANTAGE FUTURES LLC FCM CME 12/31/2012 24,796,372 12,439,895 12,356,477 504,978,975 494,318,139 10,660,836 27,682,011 25,967,151 1,714,860 0

5 ALPARI (US) LLC FCMRFD NFA 12/31/2012 24,654,774 20,278,422 4,376,352 3,813,266 2,152,622 1,660,644 2,653,876 1,742,259 911,617 15,568,447

6 AMERIPRISE FINANCIAL SERVICES INC FCM BD NFA 12/31/2012 88,337,373 1,000,000 87,337,373 0 0 0 0 0 0 0

7 AMP GLOBAL CLEARING LLC FCM NFA 12/31/2012 2,510,557 1,500,000 1,010,557 39,202,091 37,934,276 1,267,815 699,533 225,094 474,439 0

8 BARCLAYS CAPITAL INC FCM BD NYME 12/31/2012 5,348,789,513 1,027,684,552 4,321,104,961 6,411,498,014 6,204,004,340 207,493,674 3,114,144,977 2,964,378,624 149,766,353 0

9 BGC FINANCIAL LP FCM BD NFA 12/31/2012 45,790,095 1,017,854 44,772,241 0 0 0 0 0 0 0

10 BNP PARIBAS PRIME BROKERAGE INC FCM BD NYME 12/31/2012 2,220,205,135 244,105,909 1,976,099,226 2,210,504,773 1,971,899,067 238,605,706 15,217,712 5,319,488 9,898,224 0

11 BNP PARIBAS SECURITIES CORP FCM BD CBOT 12/31/2012 1,884,696,738 110,598,868 1,774,097,870 649,797,143 553,682,359 96,114,784 0 0 0 0

12 BNY MELLON CLEARING LLC FCM CME 12/31/2012 291,655,566 9,740,823 281,914,743 310,647,954 124,776,012 185,871,942 34,154,658 16,318,329 17,836,329 0

13 BOCI COMMODITIES & FUTURES USA LLC FCM NFA 12/31/2012 4,962,105 1,000,000 3,962,105 0 0 0 0 0 0 0

14 CANTOR FITZGERALD & CO FCM BD CBOT 12/31/2012 251,262,221 6,094,459 245,167,762 6,204,280 1,245,633 4,958,647 0 0 0 0

15 CAPITAL MARKET SERVICES LLC FCM NFA 12/31/2012 2,148,909 1,000,000 1,148,909 0 0 0 0 0 0 0

16 CHS HEDGING INC FCM NFA 12/31/2012 30,390,639 16,064,772 14,325,867 223,436,553 200,573,487 22,863,066 1,856,300 949,954 906,346 0

17 CIBC WORLD MARKETS CORP FCM BD CME 12/31/2012 553,536,901 1,500,000 552,036,901 0 0 0 0 0 0 0

18 CITADEL SECURITIES LLC FCM BD CME 12/31/2012 431,472,319 1,000,000 430,472,319 0 0 0 0 0 0 0

19 CITIGROUP GLOBAL MARKETS INC FCM BD CBOT 12/31/2012 6,249,699,821 590,629,798 5,659,070,023 8,093,939,671 7,868,878,758 225,060,913 998,269,763 792,633,681 205,636,082 0

20 COMMONWEALTH FOREIGN EXCHANGE INC FCM NFA 12/31/2012 1,249,384 1,000,000 249,384 0 0 0 0 0 0 0

21 CREDIT SUISSE SECURITIES (USA) LLC FCM BD CBOT 12/31/2012 8,684,106,921 1,471,239,571 7,212,867,350 7,752,135,499 6,510,240,788 1,241,894,711 2,560,848,832 1,835,233,345 725,615,487 0

22 CROSSLAND LLC FCM CBOT 12/31/2012 7,479,358 2,714,092 4,765,266 86,612,534 84,321,768 2,290,766 11,725,233 10,621,194 1,104,039 0

23 CUNNINGHAM COMMODITIES LLC FCM CBOT 12/31/2012 2,767,943 1,122,908 1,645,035 84,268,674 83,326,766 941,908 421,291 305,800 115,491 0

24 CX CAPITAL MARKETS LLC FCM BD NFA 12/31/2012 2,979,102 1,000,000 1,979,102 37,772,243 35,841,503 1,930,740 0 0 0 0

25 DAIWA CAPITAL MARKETS AMERICA INC FCM BD CME 12/31/2012 295,540,444 4,904,374 290,636,070 7,658,746 2,996,721 4,662,025 1,046,473 0 1,046,473 0

26 DEUTSCHE BANK SECURITIES INC FCM BD CBOT 12/31/2012 9,293,709,654 625,242,767 8,668,466,887 15,488,125,823 14,701,005,496 787,120,327 1,355,917,009 995,887,460 360,029,549 0

27 DORMAN TRADING LLC FCM CME 12/31/2012 9,278,443 1,411,038 7,867,405 136,714,415 134,582,568 2,131,847 2,461,020 1,855,435 605,585 0

28 E D & F MAN CAPITAL MARKETS INC FCM BD CME 12/31/2012 17,894,258 1,617,337 16,276,921 28,997,741 23,411,145 5,586,596 0 0 0 0

29 EAGLE MARKET MAKERS INC FCM CBOT 12/31/2012 6,126,386 1,000,000 5,126,386 591,169 33,844 557,325 0 0 0 0

30 EASY FOREX US LTD FCM NFA 12/31/2012 1,458,083 1,000,000 458,083 0 0 0 0 0 0 0

31 ENSKILDA FUTURES LTD FCM CME 12/31/2012 39,098,072 13,981,978 25,116,094 265,887,569 257,282,129 8,605,440 0 0 0 0

32 FCSTONE LLC FCM CME 12/31/2012 98,704,304 68,564,653 30,139,651 1,574,741,809 1,550,587,958 24,153,851 74,076,000 62,540,793 11,535,207 0

33 FOREX CAPITAL MARKETS LLC FCMRFD NFA 12/31/2012 54,442,335 26,132,591 28,309,744 0 0 0 0 0 0 132,651,817

34 FRIEDBERG MERCANTILE GROUP INC FCM NFA 12/31/2012 3,599,301 1,000,000 2,599,301 9,719,878 9,128,878 591,000 686,783 629,315 57,468 0

35 FRONTIER FUTURES INC FCM NFA 12/31/2012 1,962,977 1,000,000 962,977 31,422,548 30,486,388 936,160 0 0 0 0

36 FX SOLUTIONS LLC FCMRFD NFA 12/31/2012 27,586,704 20,261,508 7,325,196 0 0 0 0 0 0 15,230,162

37 FXDIRECTDEALER LLC FCMRFD NFA 12/31/2012 23,336,393 20,962,164 2,374,229 0 0 0 0 0 0 29,243,274

38 GAIN CAPITAL GROUP LLC FCMRFD NFA 12/31/2012 46,313,116 24,770,901 21,542,215 119,155,075 114,874,474 4,280,601 3,172,180 2,392,403 779,777 105,418,029

39 GH FINANCIALS LLC FCM CME 12/31/2012 8,331,965 1,000,000 7,331,965 1,101,204 675,741 425,463 0 0 0 0

40 GLOBAL FUTURES & FOREX LTD FCMRFD NFA 12/31/2012 6,034,974 20,000,000 (13,965,026) 0 0 0 0 0 0 0

41 GOLDMAN SACHS & CO FCM BD CBOT 12/31/2012 14,591,157,935 1,701,392,446 12,889,765,489 20,673,283,733 20,179,762,140 493,521,593 8,218,990,850 7,683,997,017 534,993,833 0

42 GOLDMAN SACHS EXECUTION & CLEARING LP FCM BD CME 12/31/2012 2,024,794,323 103,703,403 1,921,090,920 1,368,079,180 783,495,721 584,583,459 69,365,890 23,807,354 45,558,536 0

43 GUGGENHEIM SECURITIES LLC FCM BD NFA 12/31/2012 55,858,450 1,050,525 54,807,925 0 0 0 0 0 0 0

44 HSBC SECURITIES USA INC FCM BD CME 12/31/2012 1,109,433,118 124,097,905 985,335,213 1,082,159,172 1,010,787,401 71,371,771 99,167,615 80,342,646 18,824,969 0

45 IBFX INC RFED NFA 12/31/2012 28,353,584 23,247,626 5,105,958 0 0 0 0 0 0 74,952,518

46 INSTINET LLC FCM BD NFA 12/31/2012 104,818,884 1,730,827 103,088,057 0 0 0 0 0 0 0

47 INSTITUTIONAL LIQUIDITY LLC FCMRFD NFA 12/31/2012 21,406,837 20,233,398 1,173,439 0 0 0 0 0 0 14,667,951

48 INTEGRATED BROKERAGE SERVICES LLC FCM NFA 12/31/2012 (98,197) 1,000,000 (1,098,197) 0 0 0 0 0 0 0

49 INTERACTIVE BROKERS LLC FCM BD NFA 12/31/2012 1,633,402,224 219,575,913 1,413,826,311 1,995,760,004 1,761,251,211 234,508,793 559,156,802 454,230,545 104,926,257 34,355,592

50 IRONBEAM INC FCM NFA 12/31/2012 2,305,020 1,000,000 1,305,020 49,026,779 47,771,689 1,255,090 110,757 3,509 107,248 0

51 ITG DERIVATIVES LLC FCM BD NFA 12/31/2012 4,812,179 1,000,000 3,812,179 0 0 0 0 0 0 0

52 JEFFERIES BACHE LLC FCM CBOT 12/31/2012 247,598,000 153,533,360 94,064,640 2,393,480,000 2,295,200,000 98,280,000 238,832,000 168,946,000 69,886,000 0

53 JP MORGAN CLEARING CORP FCM BD NFA 12/31/2012 6,629,500,338 1,604,337,417 5,025,162,921 795,055,556 530,553,973 264,501,583 508,827,065 302,860,179 205,966,886 0

54 JP MORGAN SECURITIES LLC FCM BD CEI 12/31/2012 13,490,844,081 1,521,770,869 11,969,073,212 20,269,579,189 18,198,539,657 2,071,039,532 3,251,350,011 2,911,292,794 340,057,217 0

Futures Commission Merchant / Retail Foreign Exchange 

Dealer
SELECTED FCM FINANCIAL DATA AS OF 

December 31, 2012

FROM REPORTS FILED BY 

February 08, 2013

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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

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80

81

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84

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90

91

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115

55 KNIGHT CAPITAL AMERICAS LLC FCM BD CME 12/31/2012 312,004,892 20,793,987 291,210,905 432,469,167 416,139,604 16,329,563 13,698,836 9,479,419 4,219,417 25,879,731

56 LEK SECURITIES CORPORATION FCM BD NFA 12/31/2012 10,096,439 1,500,000 8,596,439 5,927,685 4,891,487 1,036,198 0 0 0 0

57 LINN GROUP THE FCM NFA 12/31/2012 3,586,901 1,887,809 1,699,092 77,241,667 73,520,768 3,720,899 365,570 88,210 277,360 0

58 LIQUID FUTURES LLC FCM NFA 12/31/2012 1,139,663 1,000,000 139,663 0 0 0 0 0 0 0

59 LPL FINANCIAL LLC FCM BD NFA 12/31/2012 61,535,031 7,449,277 54,085,754 0 0 0 0 0 0 0

60 MACQUARIE FUTURES USA LLC FCM CBOT 12/31/2012 101,163,604 79,352,464 21,811,140 1,082,892,039 985,393,651 97,498,388 45,148,914 32,102,962 13,045,952 0

61 MAREX NORTH AMERICA LLC FCM CME 12/31/2012 9,683,425 6,148,389 3,535,036 82,898,144 77,607,286 5,290,858 4,637,047 4,182,075 454,972 0

62 MAREX USA LIMITED FCM NFA 12/31/2012 2,978,244 1,000,000 1,978,244 0 0 0 0 0 0 0

63 MB TRADING FUTURES INC FCMRFD NFA 12/31/2012 24,094,761 21,298,228 2,796,533 0 0 0 0 0 0 35,964,556

64 MCVEAN TRADING & INVESTMENTS LLC FCM NFA 12/31/2012 13,651,697 2,701,971 10,949,726 948,952,917 926,714,728 22,238,189 2,650,556 0 2,650,556 0

65 MERRILL LYNCH PIERCE FENNER & SMITH FCM BD CBOT 12/31/2012 10,335,957,499 682,782,917 9,653,174,582 7,581,540,085 7,070,327,245 511,212,840 2,426,172,985 2,074,340,908 351,832,077 0

66 MERRILL LYNCH PROFESSIONAL CLEARING CORP FCM BD NFA 12/31/2012 2,065,894,140 236,034,334 1,829,859,806 1,202,062,753 616,293,079 585,769,674 29,007,681 999,102 28,008,579 0

67 MID CO COMMODITIES INC FCM NFA 12/31/2012 9,240,787 5,382,910 3,857,877 48,289,089 38,980,824 9,308,265 743,955 171,528 572,427 0

68 MITSUBISHI UFJ SECURITIES USA INC FCM BD NFA 12/31/2012 231,282,088 1,027,823 230,254,265 0 0 0 0 0 0 0

69 MITSUI BUSSAN COMMODITIES USA INC FCM NFA 12/31/2012 3,116,950 1,000,000 2,116,950 0 0 0 0 0 0 0

70 MIZUHO SECURITIES USA INC FCM BD CME 12/31/2012 508,618,691 179,892,926 328,725,765 1,906,595,609 1,712,812,568 193,783,041 516,999,672 415,927,069 101,072,603 0

71 MORGAN KEEGAN & COMPANY INC FCM BD NFA 12/31/2012 270,833,042 7,097,387 263,735,655 0 0 0 0 0 0 0

72 MORGAN STANLEY & CO LLC FCM BD CME 12/31/2012 7,820,289,124 1,367,105,481 6,453,183,643 7,675,504,564 7,569,925,666 105,578,898 1,715,650,636 1,609,093,136 106,557,500 0

73 MORGAN STANLEY SMITH BARNEY LLC FCM BD NFA 12/31/2012 2,167,164,997 150,412,737 2,016,752,260 747,607,330 651,077,864 96,529,466 84,819,716 73,224,359 11,595,357 0

74 NATIXIS SECURITIES AMERICAS LLC FCM BD NFA 12/31/2012 358,217,051 1,854,018 356,363,033 0 0 0 0 0 0 0

75 NEUBERGER BERMAN LLC FCM BD NFA 12/31/2012 58,672,505 1,500,000 57,172,505 0 0 0 0 0 0 0

76 NEWEDGE USA LLC FCM BD NYME 12/31/2012 1,925,281,788 1,045,842,016 879,439,772 15,504,527,262 14,894,529,000 609,998,262 4,155,368,259 3,751,289,423 404,078,836 0

77 NOMURA SECURITIES INTERNATIONAL INC FCM BD CBOT 12/31/2012 2,230,414,250 34,174,189 2,196,240,061 50,230,601 31,068,529 19,162,072 13,129,790 9,730,491 3,399,299 0

78 OANDA CORPORATION FCMRFD NFA 12/31/2012 150,570,879 27,188,850 123,382,029 0 0 0 0 0 0 153,776,992

79 OMAHA CAPITAL GROUP LLC FCM NFA 12/31/2012 1,509,489 1,000,000 509,489 0 0 0 0 0 0 0

80 OPPENHEIMER & CO INC FCM BD NFA 12/31/2012 167,360,708 25,887,630 141,473,078 41,345,733 32,267,080 9,078,653 0 0 0 0

81 OPTIONSXPRESS INC FCM BD NFA 12/31/2012 86,744,298 5,272,795 81,471,503 102,376,994 83,626,217 18,750,777 4,871,434 2,340,718 2,530,716 0

82 PHILLIP FUTURES INC FCM CME 12/31/2012 27,785,792 20,000,000 7,785,792 245,704,860 219,521,337 26,183,523 559,191 141,259 417,932 0

83 PIONEER FUTURES INC FCM NFA 12/31/2012 1,718,071 1,000,000 718,071 2,909,662 2,765,786 143,876 50,000 0 50,000 0

84 RAND FINANCIAL SERVICES INC FCM CME 12/31/2012 76,848,531 21,662,324 55,186,207 415,142,200 374,864,300 40,277,900 47,298,800 25,589,400 21,709,400 0

85 RAYMOND JAMES & ASSOCIATES INC FCM BD NFA 12/31/2012 291,408,332 30,514,040 260,894,292 0 0 0 0 0 0 0

86 RBC CAPITAL MARKETS LLC FCM BD CME 12/31/2012 1,522,575,193 110,980,712 1,411,594,481 634,812,205 583,169,006 51,643,199 79,482,251 40,983,778 38,498,473 0

87 RBS SECURITIES INC FCM BD CBOT 12/31/2012 3,788,207,410 140,310,127 3,647,897,283 1,664,251,150 1,521,589,910 142,661,240 161,349,610 43,537,373 117,812,237 0

88 RJ OBRIEN ASSOCIATES LLC FCM CME 12/31/2012 211,176,609 130,582,027 80,594,582 3,989,427,019 3,872,231,257 117,195,762 177,182,614 151,554,912 25,627,702 2,535,280

89 ROSENTHAL COLLINS GROUP LLC FCM CME 12/31/2012 82,601,814 58,263,211 24,338,603 1,604,725,794 1,586,610,890 18,114,904 60,219,138 48,134,034 12,085,104 0

90 SANFORD C BERNSTEIN & CO LLC FCM BD NFA 12/31/2012 144,422,126 18,508,112 125,914,014 0 0 0 0 0 0 0

91 SANTANDER INVESTMENT SECURITIES INC FCM BD NYME 12/31/2012 102,071,082 7,405,665 94,665,417 568,421,631 565,955,889 2,465,742 0 0 0 0

92 STATE STREET GLOBAL MARKETS LLC FCM BD CME 12/31/2012 487,366,542 6,982,321 480,384,221 253,265,310 99,819,121 153,446,189 46,872,810 6,459,945 40,412,865 0

93 STEPHENS INC FCM BD NFA 12/31/2012 100,048,977 15,443,944 84,605,033 0 0 0 0 0 0 0

94 STRAITS FINANCIAL LLC FCM CME 12/31/2012 9,345,506 2,184,189 7,161,317 88,219,952 84,026,779 4,193,173 16,596,968 14,777,841 1,819,127 0

95 TD AMERITRADE INC FCM BD NFA 12/31/2012 249,195,109 5,516,190 243,678,919 145,055,510 88,939,877 56,115,633 0 0 0 0

96 TIMBER HILL LLC FCM BD CME 12/31/2012 394,067,015 41,962,170 352,104,845 615,133,681 612,608,204 2,525,477 0 0 0 0

97 TRADELINK LLC FCM BD CBOT 12/31/2012 17,039,617 1,000,000 16,039,617 0 0 0 0 0 0 0

98 TRADESTATION SECURITIES INC FCM BD NFA 12/31/2012 48,275,064 2,626,654 45,648,410 398,752,436 387,898,909 10,853,527 14,973,683 13,952,678 1,021,005 0

99 TRADITION SECURITIES AND FUTURES INC FCM NFA 12/31/2012 1,526,603 1,000,000 526,603 0 0 0 0 0 0 0

100 TULLETT PREBON FINANCIAL SERVICES LLC FCM BD NFA 12/31/2012 28,396,286 1,000,000 27,396,286 0 0 0 0 0 0 0

101 UBS FINANCIAL SERVICES INC FCM BD NFA 12/31/2012 1,184,612,501 104,244,520 1,080,367,981 151,507,538 118,437,353 33,070,185 25,599,638 1,505,149 24,094,489 0

102 UBS SECURITIES LLC FCM BD CBOT 12/31/2012 11,173,957,202 855,762,650 10,318,194,552 9,239,622,786 8,677,320,240 562,302,546 3,257,897,712 2,857,167,991 400,729,721 0

103 VELOCITY FUTURES LLC FCM NFA 12/31/2012 1,543,335 1,000,000 543,335 68,713,729 67,815,758 897,971 2,265,228 1,771,186 494,042 0

104 VISION FINANCIAL MARKETS LLC FCM BD CME 12/31/2012 33,127,635 14,184,882 18,942,753 627,164,692 612,515,103 14,649,589 11,904,705 9,391,098 2,513,607 0

105 WELLS FARGO ADVISORS FINANCIAL NETWORK LLC FCM BD NFA 12/31/2012 34,734,872 1,000,000 33,734,872 0 0 0 0 0 0 0

106 WELLS FARGO ADVISORS LLC FCM BD NFA 12/31/2012 1,117,335,810 1,500,000 1,115,835,810 0 0 0 0 0 0 0

107 WELLS FARGO SECURITIES LLC FCM BD CME 12/31/2012 2,548,769,366 11,879,514 2,536,889,852 0 0 0 0 0 0 0

108 WHITE COMMERCIAL CORPORATION FCM NFA 12/31/2012 2,483,562 1,000,000 1,483,562 0 0 0 0 0 0 0

109 XPRESSTRADE LLC RFED NFA 12/31/2012 22,867,582 20,000,000 2,867,582 0 0 0 0 0 0 729,610
SELECTED FCM FINANCIAL DATA AS OF 

December 31, 2012

FROM REPORTS FILED BY 

February 08, 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

130

131

132

133

134

135

110 YORK BUSINESS ASSOCIATES LLC FCM NFA 12/31/2012 3,585,633 1,000,000 2,585,633 62,113,379 59,618,723 2,494,656 2,172,468 1,650,244 522,224 0

Totals 156,731,507,957 145,900,203,492 10,831,304,465 34,400,873,907 29,783,167,425 4,617,706,482 640,973,959

November Web Page Update 112

Additions 1

TULLETT PREBON FINANCIAL SERVICES LLC

Deletions 3

IKON GLOBAL MARKETS INC

MBF CLEARING CORP

OPEN E CRY LLC

Name Changes

None

December Web Page Update 110
SELECTED FCM FINANCIAL DATA AS OF 

December 31, 2012

FROM REPORTS FILED BY 

February 08, 2013

4 of 4

1

2

3

4

5

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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

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

161

162

163

164

165

166

(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.

(b): DSRO: Designated Self-Regulatory Organization. 

(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.

(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.