SELECTED FCM FINANCIAL DATA AS OF 

October 31, 2013

FROM REPORTS FILED BY 

December 4, 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 10/31/2013 439,381,891 123,762,718 315,619,173 2,401,002,465 2,157,467,057 243,535,408 149,645,441 111,066,517 38,578,924 0

2 ADM INVESTOR SERVICES INC FCM CBOT 10/31/2013 280,352,133 163,665,619 116,686,514 3,193,539,446 2,954,093,638 239,445,808 248,263,197 183,015,593 65,247,604 0

3 ADVANTAGE FUTURES LLC FCM CME 10/31/2013 22,052,891 12,983,501 9,069,390 482,272,097 469,252,982 13,019,115 37,943,610 35,625,880 2,317,730 0

4 ALPARI (US) LLC FCMRFD NFA 10/31/2013 3,448,373 1,000,000 2,448,373 2,924,674 463,099 2,461,575 1,922,309 83,368 1,838,941 0

5 AMERIPRISE FINANCIAL SERVICES INC FCM BD NFA 10/31/2013 114,615,432 1,000,000 113,615,432 0 0 0 0 0 0 0

6 AMP GLOBAL CLEARING LLC FCM NFA 10/31/2013 2,502,941 1,500,000 1,002,941 43,617,218 42,232,368 1,384,850 639,296 384,934 254,362 0

7 BARCLAYS CAPITAL INC FCM BD NYME 10/31/2013 6,085,033,502 1,319,598,774 4,765,434,728 6,472,145,064 6,235,890,327 236,254,737 4,392,261,385 4,174,742,550 217,518,835 0

8 BGC FINANCIAL LP FCM BD NFA 10/31/2013 59,770,050 1,992,704 57,777,346 0 0 0 0 0 0 0

9 BNP PARIBAS PRIME BROKERAGE INC FCM BD NYME 10/31/2013 3,410,116,199 218,834,403 3,191,281,796 2,579,868,010 2,301,086,896 278,781,114 18,188,831 1,439,264 16,749,567 0

10 BNP PARIBAS SECURITIES CORP FCM BD CBOT 10/31/2013 1,391,101,827 207,807,706 1,183,294,121 1,183,356,026 956,438,534 226,917,492 6,000,000 0 6,000,000 0

11 BNY MELLON CLEARING LLC FCM CME 10/31/2013 286,244,945 20,000,000 266,244,945 232,065,940 135,634,029 96,431,911 28,572,532 9,018,174 19,554,358 0

12 BOCI COMMODITIES & FUTURES USA LLC FCM NFA 10/31/2013 4,595,059 1,000,000 3,595,059 0 0 0 0 0 0 0

13 CANTOR FITZGERALD & CO FCM BD CBOT 10/31/2013 211,397,861 8,796,775 202,601,086 6,279,948 1,310,592 4,969,356 0 0 0 0

14 CAPITAL MARKET SERVICES LLC FCM NFA 10/31/2013 1,710,483 1,000,000 710,483 0 0 0 0 0 0 0

15 CHS HEDGING INC FCM CBOT 10/31/2013 26,673,132 13,619,135 13,053,997 172,240,793 147,942,385 24,298,408 954,329 237,292 717,037 0

16 CITADEL SECURITIES LLC FCM BD CME 10/31/2013 321,552,469 1,000,000 320,552,469 0 0 0 0 0 0 0

17 CITIGROUP GLOBAL MARKETS INC FCM BD CBOT 10/31/2013 6,763,348,302 832,945,548 5,930,402,754 5,352,929,070 5,069,264,397 283,664,673 1,099,365,321 906,801,931 192,563,390 0

18 CREDIT SUISSE SECURITIES (USA) LLC FCM BD CBOT 10/31/2013 8,063,273,812 2,204,674,935 5,858,598,877 8,919,685,437 7,445,972,270 1,473,713,167 4,045,856,930 3,238,388,052 807,468,878 0

19 CROSSLAND LLC FCM CBOT 10/31/2013 9,464,432 2,200,120 7,264,312 79,452,210 77,623,624 1,828,586 7,534,688 6,812,268 722,420 0

20 CUNNINGHAM COMMODITIES LLC FCM CBOT 10/31/2013 2,928,388 1,841,589 1,086,799 70,724,732 69,547,186 1,177,546 554,583 385,490 169,093 0

21 DAIWA CAPITAL MARKETS AMERICA INC FCM BD CME 10/31/2013 394,111,958 8,891,550 385,220,408 9,597,821 4,359,414 5,238,407 633,263 0 633,263 0

22 DEUTSCHE BANK SECURITIES INC FCM BD CBOT 10/31/2013 6,987,217,186 665,129,495 6,322,087,691 13,942,137,744 13,381,333,711 560,804,033 1,258,909,714 1,026,294,369 232,615,345 0

23 DORMAN TRADING LLC FCM CME 10/31/2013 11,035,795 1,891,130 9,144,665 140,066,506 136,846,153 3,220,353 2,201,984 1,861,320 340,664 0

24 E D & F MAN CAPITAL MARKETS INC FCM BD CME 10/31/2013 28,377,992 7,461,388 20,916,604 225,530,506 214,416,835 11,113,671 2,877,412 2,137,615 739,797 0

25 E TRADE CLEARING LLC FCM BD NFA 10/31/2013 710,190,649 140,883,889 569,306,760 49,752,196 38,839,177 10,913,019 1,500,418 498,762 1,001,656 0

26 EFL FUTURES LIMITED FCM CME 10/31/2013 35,678,912 15,743,037 19,935,875 237,066,133 224,218,180 12,847,953 0 0 0 0

27 FCSTONE LLC FCM CME 10/31/2013 109,505,756 70,791,608 38,714,148 1,706,570,758 1,681,495,816 25,074,942 66,006,685 52,363,481 13,643,204 0

28 FIXI AMERICAS LLC FCM NFA 10/31/2013 1,566,995 1,000,000 566,995 0 0 0 0 0 0 0

29 FOREX CAPITAL MARKETS LLC FCMRFD NFA 10/31/2013 88,461,551 27,437,565 61,023,986 0 0 0 0 0 0 158,751,294

30 FRIEDBERG MERCANTILE GROUP INC FCM NFA 10/31/2013 3,141,023 1,000,000 2,141,023 5,081,285 4,012,166 1,069,119 1,589,434 576,550 1,012,884 0

31 FRONTIER FUTURES INC FCM NFA 10/31/2013 1,958,468 1,000,000 958,468 29,715,754 28,674,641 1,041,113 0 0 0 0

32 FXDIRECTDEALER LLC FCMRFD NFA 10/31/2013 24,020,576 20,911,952 3,108,624 0 0 0 0 0 0 28,239,046

33 GAIN CAPITAL GROUP LLC FCMRFD NFA 10/31/2013 45,130,762 25,039,207 20,091,555 147,398,593 140,080,217 7,318,376 4,807,376 4,003,305 804,071 110,784,146

34 GFI SECURITIES LLC FCM BD NFA 10/31/2013 11,968,474 1,000,000 10,968,474 0 0 0 0 0 0 0

35 GH FINANCIALS LLC FCM CME 10/31/2013 10,006,663 1,000,000 9,006,663 5,434,192 4,496,500 937,692 423,770 323,647 100,123 0

36 GLOBAL FUTURES & FOREX LTD FCMRFD NFA 10/31/2013 4,328,203 1,000,000 3,328,203 0 0 0 0 0 0 0

37 GOLDMAN SACHS & CO FCM BD CBOT 10/31/2013 14,741,758,695 2,117,283,443 12,624,475,252 19,479,818,323 18,885,361,824 594,456,499 9,232,648,391 8,681,971,658 550,676,733 0

38 GOLDMAN SACHS EXECUTION & CLEARING LP FCM BD CME 10/31/2013 1,490,471,936 151,008,233 1,339,463,703 1,461,199,713 884,403,524 576,796,189 77,325,351 31,791,456 45,533,895 0

39 GUGGENHEIM SECURITIES LLC FCM BD NFA 10/31/2013 72,929,495 1,646,199 71,283,296 0 0 0 0 0 0 0

40 HSBC SECURITIES USA INC FCM BD CME 10/31/2013 1,043,616,666 133,256,907 910,359,759 1,097,110,872 1,017,441,950 79,668,922 110,457,663 90,908,635 19,549,028 0

41 IBFX INC RFED NFA 10/31/2013 27,902,859 23,109,887 4,792,972 0 0 0 0 0 0 72,197,747

42 INSTINET LLC FCM BD NFA 10/31/2013 104,861,741 3,162,425 101,699,316 0 0 0 0 0 0 0

43 INSTITUTIONAL LIQUIDITY LLC FCMRFD NFA 10/31/2013 34,080,117 20,178,729 13,901,388 57,776,091 56,740,094 1,035,997 777,436 349,096 428,340 13,574,579

44 INTERACTIVE BROKERS LLC FCM BD NFA 10/31/2013 1,740,300,994 290,090,339 1,450,210,655 2,180,445,408 1,977,871,169 202,574,239 412,226,593 303,072,096 109,154,497 39,137,355

45 IRONBEAM INC FCM NFA 10/31/2013 2,253,067 1,000,000 1,253,067 39,199,764 37,952,174 1,247,590 111,268 4,305 106,963 0

46 ITG DERIVATIVES LLC FCM BD NFA 10/31/2013 5,264,921 1,000,000 4,264,921 0 0 0 0 0 0 0

47 JEFFERIES BACHE LLC FCM CBOT 10/31/2013 199,060,000 126,325,120 72,734,880 2,021,917,000 1,916,935,000 104,982,000 181,789,000 114,508,000 67,281,000 0

48 JP MORGAN CLEARING CORP FCM BD NFA 10/31/2013 6,901,243,618 1,858,410,359 5,042,833,259 932,216,608 655,511,763 276,704,845 660,082,517 440,390,968 219,691,549 0

49 JP MORGAN SECURITIES LLC FCM BD CEI 10/31/2013 14,269,255,171 2,037,013,591 12,232,241,580 19,343,309,599 17,449,125,746 1,894,183,853 3,712,612,864 3,303,988,318 408,624,546 0

50 KNIGHT CAPITAL AMERICAS LLC FCM BD CME 10/31/2013 259,406,481 22,664,465 236,742,016 508,660,629 492,363,636 16,296,993 11,053,910 7,810,772 3,243,138 38,679,946

51 LEK SECURITIES CORPORATION FCM BD NFA 10/31/2013 10,129,294 1,500,000 8,629,294 6,767,002 5,616,685 1,150,317 0 0 0 0

52 LINN GROUP THE FCM NFA 10/31/2013 3,581,560 2,028,065 1,553,495 82,518,123 78,755,783 3,762,340 348,813 1,163 347,650 0

53 LPL FINANCIAL LLC FCM BD NFA 10/31/2013 161,583,089 6,536,204 155,046,885 0 0 0 0 0 0 0

54 MACQUARIE FUTURES USA LLC FCM CBOT 10/31/2013 145,615,169 106,764,827 38,850,342 1,463,100,767 1,284,854,015 178,246,752 27,045,133 20,448,754 6,596,379 0

Futures Commission Merchant / Retail Foreign Exchange 

Dealer
SELECTED FCM FINANCIAL DATA AS OF 

October 31, 2013

FROM REPORTS FILED BY 

December 4, 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

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55 MAREX NORTH AMERICA LLC FCM CME 10/31/2013 11,492,694 8,215,814 3,276,880 104,545,943 98,619,523 5,926,420 8,711,953 7,763,496 948,457 0

56 MB TRADING FUTURES INC RFED NFA 10/31/2013 24,985,496 21,283,215 3,702,281 0 0 0 0 0 0 35,664,300

57 MCVEAN TRADING & INVESTMENTS LLC FCM NFA 10/31/2013 13,175,876 3,972,465 9,203,411 801,445,956 780,384,395 21,061,561 2,356,000 0 2,356,000 0

58 MERRILL LYNCH PIERCE FENNER & SMITH FCM BD CBOT 10/31/2013 11,896,518,304 963,330,720 10,933,187,584 9,664,200,372 9,302,801,999 361,398,373 2,739,378,213 2,513,063,667 226,314,546 0

59 MERRILL LYNCH PROFESSIONAL CLEARING CORP FCM BD NFA 10/31/2013 1,813,220,862 355,461,655 1,457,759,207 1,701,406,889 883,009,690 818,397,199 28,768,239 769,313 27,998,926 0

60 MID CO COMMODITIES INC FCM NFA 10/31/2013 10,644,476 4,564,874 6,079,602 48,284,102 37,164,861 11,119,241 0 0 0 0

61 MITSUBISHI UFJ SECURITIES USA INC FCM BD NFA 10/31/2013 227,615,331 1,054,952 226,560,379 0 0 0 0 0 0 0

62 MITSUI BUSSAN COMMODITIES USA INC FCM NFA 10/31/2013 3,424,059 1,000,000 2,424,059 0 0 0 0 0 0 0

63 MIZUHO SECURITIES USA INC FCM BD CME 10/31/2013 463,060,270 194,774,360 268,285,910 2,385,712,994 2,198,712,924 187,000,070 526,371,131 432,633,631 93,737,500 0

64 MORGAN STANLEY & CO LLC FCM BD CME 10/31/2013 8,140,442,891 1,518,891,483 6,621,551,408 10,331,602,286 10,124,029,648 207,572,638 2,715,483,059 2,506,555,259 208,927,800 0

65 MORGAN STANLEY SMITH BARNEY LLC FCM BD NFA 10/31/2013 3,976,646,882 167,609,736 3,809,037,146 722,605,100 620,075,933 102,529,167 86,430,023 55,631,576 30,798,447 0

66 NEUBERGER BERMAN LLC FCM BD NFA 10/31/2013 94,512,260 1,500,000 93,012,260 0 0 0 0 0 0 0

67 NEWEDGE USA LLC FCM BD NYME 10/31/2013 1,805,021,476 1,047,371,479 757,649,997 14,431,423,820 13,835,649,980 595,773,840 3,725,291,151 3,322,176,307 403,114,844 0

68 NOMURA SECURITIES INTERNATIONAL INC FCM BD CBOT 10/31/2013 1,795,832,591 48,181,884 1,747,650,707 74,228,936 62,901,119 11,327,817 5,233,905 1,640,082 3,593,823 0

69 OANDA CORPORATION FCMRFD NFA 10/31/2013 135,461,661 26,243,717 109,217,944 0 0 0 0 0 0 134,874,341

70 OPPENHEIMER & CO INC FCM BD NFA 10/31/2013 159,747,538 25,084,677 134,662,861 31,068,145 16,398,524 14,669,621 0 0 0 0

71 OPTIONSXPRESS INC FCM BD NFA 10/31/2013 104,140,846 6,545,648 97,595,198 121,470,969 90,953,691 30,517,278 3,551,658 977,652 2,574,006 0

72 PHILLIP FUTURES INC FCM CME 10/31/2013 28,190,114 20,000,000 8,190,114 153,582,261 133,552,675 20,029,586 6,829,081 2,451,789 4,377,292 0

73 PIONEER FUTURES INC FCM NFA 10/31/2013 2,366,634 1,000,000 1,366,634 0 0 0 0 0 0 0

74 RAND FINANCIAL SERVICES INC FCM CME 10/31/2013 79,245,597 25,833,909 53,411,688 353,310,400 310,096,000 43,214,400 42,039,400 19,456,700 22,582,700 0

75 RAYMOND JAMES & ASSOCIATES INC FCM BD NFA 10/31/2013 488,379,962 37,269,146 451,110,816 0 0 0 0 0 0 0

76 RBC CAPITAL MARKETS LLC FCM BD CME 10/31/2013 995,442,012 102,303,831 893,138,181 978,868,200 883,138,723 95,729,477 161,361,097 122,432,012 38,929,085 0

77 RBS SECURITIES INC FCM BD CBOT 10/31/2013 4,364,923,253 139,568,784 4,225,354,469 1,744,889,863 1,591,987,724 152,902,139 169,508,505 51,134,965 118,373,540 0

78 RJ OBRIEN ASSOCIATES LLC FCM CME 10/31/2013 192,798,629 140,365,077 52,433,552 3,873,583,072 3,757,254,229 116,328,843 186,209,204 160,250,723 25,958,481 750,395

79 ROSENTHAL COLLINS GROUP LLC FCM CME 10/31/2013 77,458,766 58,622,013 18,836,753 1,465,340,210 1,441,993,475 23,346,735 38,973,782 28,905,322 10,068,460 0

80 SANFORD C BERNSTEIN & CO LLC FCM BD NFA 10/31/2013 173,525,327 18,318,458 155,206,869 0 0 0 0 0 0 0

81 SANTANDER INVESTMENT SECURITIES INC FCM BD NYME 10/31/2013 123,767,679 9,948,415 113,819,264 703,657,926 701,356,540 2,301,386 0 0 0 0

82 STATE STREET GLOBAL MARKETS LLC FCM BD CME 10/31/2013 531,555,296 24,797,784 506,757,512 351,439,202 263,653,575 87,785,627 67,968,219 26,607,910 41,360,309 0

83 STRAITS FINANCIAL LLC FCM CME 10/31/2013 9,430,887 4,453,964 4,976,923 131,313,608 124,466,532 6,847,076 19,776,740 17,946,049 1,830,691 0

84 TD AMERITRADE INC FCM BD NFA 10/31/2013 338,846,507 10,449,699 328,396,808 158,876,999 125,013,628 33,863,371 0 0 0 0

85 TIMBER HILL LLC FCM BD CME 10/31/2013 547,215,189 55,693,683 491,521,506 763,442,401 760,950,103 2,492,298 0 0 0 0

86 TRADESTATION SECURITIES INC FCM BD NFA 10/31/2013 58,212,213 3,350,371 54,861,842 413,708,322 403,703,991 10,004,331 18,651,272 17,484,517 1,166,755 0

87 TULLETT PREBON FINANCIAL SERVICES LLC FCM BD NFA 10/31/2013 29,239,177 1,000,000 28,239,177 0 0 0 0 0 0 0

88 UBS FINANCIAL SERVICES INC FCM BD NFA 10/31/2013 1,458,915,050 90,920,183 1,367,994,867 138,748,849 104,062,839 34,686,010 24,942,599 7,504,309 17,438,290 0

89 UBS SECURITIES LLC FCM BD CBOT 10/31/2013 9,199,462,734 952,434,684 8,247,028,050 8,782,926,559 8,125,315,172 657,611,387 4,707,694,791 4,274,826,663 432,868,128 0

90 VELOCITY FUTURES LLC FCM NFA 10/31/2013 1,093,805 1,000,000 93,805 0 0 0 0 0 0 0

91 VISION FINANCIAL MARKETS LLC FCM BD CME 10/31/2013 35,141,407 16,088,283 19,053,124 517,014,453 505,831,038 11,183,415 16,139,232 13,913,759 2,225,473 0

92 WELLS FARGO ADVISORS FINANCIAL NETWORK LLC FCM BD NFA 10/31/2013 38,057,380 1,000,000 37,057,380 0 0 0 0 0 0 0

93 WELLS FARGO ADVISORS LLC FCM BD NFA 10/31/2013 1,645,574,820 1,500,000 1,644,074,820 0 0 0 0 0 0 0

94 WELLS FARGO SECURITIES LLC FCM BD CME 10/31/2013 3,009,063,819 89,087,526 2,919,976,293 16,397,248 6,268,134 10,129,114 5,030,056 0 5,030,056 0

95 WHITE COMMERCIAL CORPORATION FCM NFA 10/31/2013 2,982,820 1,000,000 1,982,820 0 0 0 0 0 0 0

96 WHOTRADES FX LLC FCM NFA 10/31/2013 1,677,687 1,000,000 677,687 0 0 0 0 0 0 0

97 XCHANGE FINANCIAL ACCESS LLC FCM BD NFA 10/31/2013 5,639,672 1,300,098 4,339,574 33,279,163 31,166,569 2,112,594 0 0 0 0

98 YORK BUSINESS ASSOCIATES LLC FCM NFA 10/31/2013 5,218,092 1,000,000 4,218,092 55,332,779 53,387,217 1,945,562 1,949,548 1,661,071 288,477 0

Totals 157,418,201,544 146,039,826,008 11,378,375,536 41,111,780,305 36,337,092,355 4,774,687,950 632,653,149

September Web Page Update 100

Additions 0

None

Deletions 2

NATIXIS SECURITIES AMERICAS LLC
SELECTED FCM FINANCIAL DATA AS OF 

October 31, 2013

FROM REPORTS FILED BY 

December 4, 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

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TRADELINK LLC

Name Changes

None

October Web Page Update 98
SELECTED FCM FINANCIAL DATA AS OF 

October 31, 2013

FROM REPORTS FILED BY 

December 4, 2013

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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

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(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.

(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.

(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 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.

(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.

•  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.

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

•  FCM minimum dollar amount ($1,000,000); or

(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.