SELECTED FCM FINANCIAL DATA AS OF 

September 30, 2015

FROM REPORTS FILED BY 

October 27, 2015

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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

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 9/30/2015 593,310,303 164,765,527 428,544,776 3,086,346,059 2,776,182,289 310,163,770 166,186,876 178,860,134 135,228,708 43,631,426 20,284,306 0 0 0 0 0

2 ADM INVESTOR SERVICES INC FCM CBOT 9/30/2015 301,746,655 174,170,354 127,576,301 4,323,358,569 4,058,231,245 265,127,324 120,000,000 318,365,600 259,796,783 58,568,817 20,000,000 11,941,245 2,040,000 9,901,245 8,000,000 0

3 ADVANTAGE FUTURES LLC FCM CME 9/30/2015 24,685,451 13,119,774 11,565,677 496,015,549 481,811,740 14,203,809 9,000,000 30,344,592 28,432,928 1,911,664 1,000,000 0 0 0 0 0

4 AMP GLOBAL CLEARING LLC FCM NFA 9/30/2015 2,829,785 1,500,000 1,329,785 52,426,034 50,356,042 2,069,992 900,000 1,425,970 1,089,213 336,757 150,000 0 0 0 0 0

5 BARCLAYS CAPITAL INC FCM BD NYME 9/30/2015 6,832,922,097 1,133,679,534 5,699,242,563 6,768,666,631 5,911,809,390 856,857,241 325,149,516 2,685,158,449 2,403,891,875 281,266,574 120,675,372 5,352,607,357 4,668,791,743 683,815,614 263,319,854 0

6 BGC FINANCIAL LP FCM BD NFA 9/30/2015 44,175,204 1,819,719 42,355,485 0 0 0 0 0 0 0 0 0 0 0 0 0

7 BNP PARIBAS PRIME BROKERAGE INC FCM BD NYME 9/30/2015 2,830,317,617 247,648,005 2,582,669,612 2,465,784,016 2,207,190,768 258,593,248 220,719,077 18,851,483 5,853,673 12,997,810 10,000,000 10,688,620 2,570,543 8,118,077 5,000,000 0

8 BNP PARIBAS SECURITIES CORP FCM BD CBOT 9/30/2015 1,878,773,131 275,080,428 1,603,692,703 1,017,031,460 809,113,019 207,918,441 161,822,604 44,940,265 27,760,603 17,179,662 2,776,060 740,701,433 629,402,433 111,299,000 62,940,243 0

9 BOCI COMMODITIES & FUTURES USA LLC FCM CME 9/30/2015 11,338,053 1,000,000 10,338,053 203 0 203 1 184 0 184 1 6 0 6 1 0

10 CANTOR FITZGERALD & CO FCM BD CBOT 9/30/2015 265,945,668 4,971,387 260,974,281 4,969,921 0 4,969,921 3,000,000 0 0 0 0 0 0 0 0 0

11 CHS HEDGING LLC FCM CBOT 9/30/2015 30,730,301 11,014,218 19,716,083 165,260,559 134,970,671 30,289,888 13,100,000 2,178,757 725,218 1,453,539 545,000 503,912 0 503,912 310,000 0

12 CITIGROUP GLOBAL MARKETS INC FCM BD SD CBOT/NFA 9/30/2015 6,059,265,244 1,350,153,576 4,709,111,668 7,868,634,623 7,522,470,170 346,164,453 313,100,000 1,149,020,170 974,189,269 174,830,901 150,000,000 6,733,737,600 6,455,410,325 278,327,275 210,075,000 0

13 CREDIT SUISSE SECURITIES (USA) LLC FCM BD CBOT 9/30/2015 8,612,686,726 1,996,725,471 6,615,961,255 8,989,731,409 8,489,307,057 500,424,352 424,465,353 3,321,116,553 2,927,646,613 393,469,940 146,382,331 11,746,705,225 10,983,086,537 763,618,688 549,154,327 0

14 CUNNINGHAM COMMODITIES LLC FCM CBOT 9/30/2015 5,169,331 1,118,606 4,050,725 63,481,899 59,330,895 4,151,004 3,050,000 329,811 44,229 285,582 100,000 0 0 0 0 0

15 DAIWA CAPITAL MARKETS AMERICA INC FCM BD CME 9/30/2015 533,998,685 8,346,838 525,651,847 5,455,682 0 5,455,682 1 548,479 0 548,479 1 0 0 0 0 0

16 DEUTSCHE BANK SECURITIES INC FCM BD CBOT 9/30/2015 11,896,787,263 660,877,798 11,235,909,465 3,678,795,573 3,407,445,171 271,350,402 200,000,000 1,148,187,116 947,239,074 200,948,042 150,000,000 2,052,058,777 1,762,211,576 289,847,201 250,000,000 0

17 DORMAN TRADING LLC FCM CME 9/30/2015 10,058,252 2,143,911 7,914,341 173,885,510 169,319,879 4,565,631 2,000,000 3,850,568 3,150,223 700,345 200,000 0 0 0 0 0

18 E D & F MAN CAPITAL MARKETS INC FCM BD CME 9/30/2015 75,654,675 35,443,598 40,211,077 991,592,229 962,064,490 29,527,739 14,000,000 46,972,380 41,596,716 5,375,664 2,000,000 3,706,734 2,293,832 1,412,902 500,000 0

19 E TRADE CLEARING LLC FCM BD NFA 9/30/2015 949,295,634 174,791,984 774,503,650 58,769,313 43,875,832 14,893,481 10,000,000 1,467,211 358,027 1,109,184 1,000,000 0 0 0 0 0

20 EFL FUTURES LIMITED FCM CME 9/30/2015 32,957,851 19,041,931 13,915,920 234,406,578 221,438,765 12,967,813 5,000,000 0 0 0 0 0 0 0 0 0

21 FOREX CAPITAL MARKETS LLC FCMRFD SD NFA 9/30/2015 48,331,225 28,870,790 19,460,435 0 0 0 0 0 0 0 0 0 0 0 0 187,415,797

22 GAIN CAPITAL GROUP LLC FCMRFD NFA 9/30/2015 42,335,008 25,279,971 17,055,037 244,512,756 232,448,239 12,064,517 5,000,000 7,375,428 3,516,201 3,859,227 1,000,000 0 0 0 0 115,599,413

23 GH FINANCIALS LLC FCM CME 9/30/2015 15,641,776 4,804,470 10,837,306 81,734,398 70,203,081 11,531,317 2,500,000 387,768 86,465 301,303 75,000 0 0 0 0 0

24 GOLDMAN SACHS & CO FCM BD SD CBOT/NFA 9/30/2015 16,038,642,732 2,632,058,360 13,406,584,372 23,265,305,341 22,696,555,513 568,749,828 475,000,000 13,528,820,751 12,946,245,339 582,575,412 475,000,000 4,585,406,449 4,211,606,870 373,799,579 350,000,000 0

25 GOLDMAN SACHS EXECUTION & CLEARING LP FCM BD CME 9/30/2015 1,575,998,701 140,047,154 1,435,951,547 1,362,709,817 697,691,548 665,018,269 540,000,000 75,974,645 26,030,551 49,944,094 40,000,000 0 0 0 0 0

26 HSBC SECURITIES USA INC FCM BD CME 9/30/2015 985,137,216 266,331,034 718,806,182 1,576,842,528 1,465,533,119 111,309,409 50,000,000 251,683,028 174,625,180 77,057,848 10,000,000 1,365,385,824 1,144,393,861 220,991,963 70,000,000 0

27 IBFX INC RFED SD NFA 9/30/2015 35,617,348 22,051,835 13,565,513 0 0 0 0 0 0 0 0 0 0 0 0 48,140,877

28 INTERACTIVE BROKERS LLC FCM BD CME 9/30/2015 2,321,739,849 246,066,602 2,075,673,247 2,780,595,716 2,570,306,206 210,289,510 155,000,000 443,444,028 326,594,815 116,849,213 80,000,000 0 0 0 0 52,654,379

29 INTL FCSTONE FINANCIAL INC FCM BD CME 9/30/2015 148,550,561 67,181,922 81,368,639 1,880,220,856 1,829,252,311 50,968,545 26,000,000 85,557,542 66,348,449 19,209,093 8,000,000 0 0 0 0 0

30 IRONBEAM INC FCM NFA 9/30/2015 2,227,111 1,000,000 1,227,111 41,018,155 39,680,605 1,337,550 800,000 299,712 199,498 100,214 50,000 0 0 0 0 0

31 ITG DERIVATIVES LLC FCM BD NFA 9/30/2015 1,834,791 1,000,000 834,791 0 0 0 0 0 0 0 0 0 0 0 0 0

32 JEFFERIES LLC FCM BD NFA 9/30/2015 1,111,219,942 84,552,053 1,026,667,889 27,924,387 316,483 27,607,904 1,000,000 499,284 0 499,284 500,000 0 0 0 0 0

33 JP MORGAN CLEARING CORP FCM BD NFA 9/30/2015 7,456,452,319 1,668,897,220 5,787,555,099 930,134,774 639,713,409 290,421,365 57,574,207 695,736,099 519,276,459 176,459,640 46,734,881 250,000 0 250,000 1 0

34 JP MORGAN SECURITIES LLC FCM BD SD CEI/NFA 9/30/2015 13,157,310,842 2,481,967,264 10,675,343,578 18,989,109,225 17,043,158,192 1,945,951,033 1,533,884,237 3,985,052,581 3,586,917,252 398,135,329 322,822,553 7,819,215,035 7,121,285,414 697,929,621 640,915,687 0

35 MACQUARIE FUTURES USA LLC FCM CBOT 9/30/2015 204,184,763 162,031,239 42,153,524 2,143,052,206 1,995,969,281 147,082,925 90,000,000 62,044,369 45,937,648 16,106,721 3,215,635 25,471,385 7,103,942 18,367,443 497,276 0

36 MAREX NORTH AMERICA LLC FCM CME 9/30/2015 17,692,817 12,328,179 5,364,638 153,427,604 148,348,719 5,078,885 4,200,000 53,622,329 52,283,178 1,339,151 1,000,000 0 0 0 0 0

37 MB TRADING FUTURES INC RFED NFA 9/30/2015 24,317,842 20,448,012 3,869,830 0 0 0 0 0 0 0 0 0 0 0 0 18,960,231

38 MCVEAN TRADING & INVESTMENTS LLC FCM NFA 9/30/2015 10,964,288 3,395,401 7,568,887 871,616,369 849,492,059 22,124,310 18,000,000 2,417,861 0 2,417,861 400,000 0 0 0 0 0

39 MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED FCM BD CBOT 9/30/2015 10,125,530,123 1,447,394,047 8,678,136,076 13,031,607,451 12,742,673,631 288,933,820 200,000,000 3,160,465,248 2,961,187,858 199,277,390 150,000,000 3,801,380,017 3,540,332,949 261,047,068 150,000,000 0

40 MERRILL LYNCH PROFESSIONAL CLEARING CORP FCM BD NFA 9/30/2015 3,161,370,331 365,211,257 2,796,159,074 2,131,448,773 1,490,682,649 640,766,124 300,000,000 3,868,707 160,061 3,708,646 1,000,000 0 0 0 0 0

41 MID CO COMMODITIES INC FCM NFA 9/30/2015 7,817,225 2,807,145 5,010,080 35,507,000 26,466,451 9,040,549 5,138,000 0 0 0 0 0 0 0 0 0

42 MINT BROKERS FCM BD NFA 9/30/2015 6,330,082 1,000,000 5,330,082 0 0 0 0 0 0 0 0 0 0 0 0 0

43 MITSUBISHI UFJ SECURITIES USA INC FCM BD NFA 9/30/2015 581,084,035 1,574,538 579,509,497 0 0 0 0 0 0 0 0 0 0 0 0 0

44 MIZUHO SECURITIES USA INC FCM BD SD CME/NFA 9/30/2015 653,336,254 222,573,506 430,762,748 2,625,472,235 2,425,208,836 200,263,399 125,000,000 797,427,557 696,627,120 100,800,437 70,000,000 29,394,387 3,972,165 25,422,222 15,000,000 0

45 MORGAN STANLEY & CO LLC FCM BD SD CME/NFA 9/30/2015 9,532,979,438 1,748,553,146 7,784,426,292 12,400,892,075 12,197,342,519 203,549,556 105,000,000 4,244,945,038 4,034,396,063 210,548,975 105,000,000 9,704,410,552 9,471,836,704 232,573,848 92,000,000 0

46 NANHUA USA LLC FCM CME 9/30/2015 10,386,726 3,866,999 6,519,727 71,282,522 65,976,575 5,305,947 1,000,000 0 0 0 0 0 0 0 0 0

47 NEUBERGER BERMAN LLC FCM BD NFA 9/30/2015 11,605,391 1,500,000 10,105,391 0 0 0 0 0 0 0 0 0 0 0 0 0

48 NOMURA SECURITIES INTERNATIONAL INC FCM BD CBOT 9/30/2015 2,238,050,042 89,639,586 2,148,410,456 324,388,606 232,647,921 91,740,685 15,000,000 17,099,163 353,451 16,745,712 1,000,000 0 0 0 0 0

49 OANDA CORPORATION FCMRFD NFA 9/30/2015 85,469,491 24,549,821 60,919,670 0 0 0 0 0 0 0 0 0 0 0 0 100,996,412

50 OPTIONSXPRESS INC FCM BD NFA 9/30/2015 241,679,154 8,331,294 233,347,860 109,751,835 68,296,819 41,455,016 10,244,523 3,384,606 532,561 2,852,045 79,884 0 0 0 0 0

51 PHILLIP CAPITAL INC FCM BD CME 9/30/2015 35,771,731 20,000,000 15,771,731 176,948,282 154,958,106 21,990,176 7,747,905 9,794,115 2,760,084 7,034,031 138,004 0 0 0 0 0

52 PICTET OVERSEAS INC FCM BD NFA 9/30/2015 17,520,318 1,000,000 16,520,318 0 0 0 0 0 0 0 0 0 0 0 0 0

53 RAND FINANCIAL SERVICES INC FCM CME 9/30/2015 81,445,864 14,269,991 67,175,873 275,595,700 232,488,200 43,107,500 6,974,600 28,552,000 5,873,000 22,679,000 176,200 0 0 0 0 0

54 RBC CAPITAL MARKETS LLC FCM BD CME 9/30/2015 1,698,219,745 155,750,809 1,542,468,936 1,623,244,905 1,428,550,874 194,694,031 80,000,000 166,099,913 134,621,023 31,478,890 20,000,000 591,032,706 396,389,753 194,642,953 40,000,000 0

55 RBS SECURITIES INC FCM BD CBOT 9/30/2015 4,449,359,149 113,846,782 4,335,512,367 1,724,193,412 1,541,144,739 183,048,673 125,000,000 140,974,253 16,433,664 124,540,589 100,000,000 0 0 0 0 0

56 RJ OBRIEN ASSOCIATES LLC FCM SD CME/NFA 9/30/2015 195,045,138 139,475,201 55,569,937 4,151,628,859 4,065,230,748 86,398,111 50,000,000 256,990,047 231,920,425 25,069,622 20,000,000 0 0 0 0 1,547,940

57 ROSENTHAL COLLINS GROUP LLC FCM CME 9/30/2015 79,571,087 56,502,071 23,069,016 1,383,718,503 1,356,055,955 27,662,548 18,000,000 31,821,548 21,893,471 9,928,077 8,000,000 0 0 0 0 0

58 SANFORD C BERNSTEIN & CO LLC FCM BD NFA 9/30/2015 191,170,683 25,515,680 165,655,003 0 0 0 0 0 0 0 0 0 0 0 0 0

59 SANTANDER INVESTMENT SECURITIES INC FCM BD NYME 9/30/2015 198,204,009 12,660,784 185,543,225 438,971,651 434,168,526 4,803,125 4,000,000 0 0 0 0 0 0 0 0 0

60 SCOTIA CAPITAL USA INC FCM BD CME 9/30/2015 528,370,593 46,470,226 481,900,367 0 0 0 0 0 0 0 0 0 0 0 0 0

61 SG AMERICAS SECURITIES LLC FCM BD SD CME/NFA 9/30/2015 3,841,465,709 1,169,993,707 2,671,472,002 14,351,345,066 13,244,333,434 1,107,011,632 500,000,000 4,391,600,263 4,037,929,821 353,670,442 255,000,000 337,413,028 161,746,280 175,666,748 75,000,000 0

62 STATE STREET GLOBAL MARKETS LLC FCM BD CME 9/30/2015 395,917,398 36,450,795 359,466,603 603,504,689 481,087,683 122,417,006 24,054,384 55,476,087 7,700,001 47,776,086 15,000,000 0 0 0 0 0

63 STRAITS FINANCIAL LLC FCM CME 9/30/2015 23,251,713 13,026,393 10,225,320 436,910,618 422,844,611 14,066,007 2,000,000 51,692,370 43,530,668 8,161,702 300,000 0 0 0 0 0

64 TD AMERITRADE FUTURES & FOREX LLC FCM NFA 9/30/2015 90,355,538 11,669,990 78,685,548 322,939,632 261,097,142 61,842,490 18,000,000 0 0 0 0 0 0 0 0 0

65 TRADESTATION SECURITIES INC FCM BD CME 9/30/2015 66,439,091 3,198,207 63,240,884 505,499,767 494,074,086 11,425,681 9,000,000 26,215,025 24,862,920 1,352,105 800,000 0 0 0 0 0

66 TRADOVATE LLC FCM NFA 9/30/2015 1,650,064 1,000,000 650,064 0 0 0 0 0 0 0 0 0 0 0 0 0

67 UBS FINANCIAL SERVICES INC FCM BD NFA 9/30/2015 1,248,424,878 106,107,692 1,142,317,186 161,426,590 122,288,457 39,138,133 22,000,000 30,425,919 3,576,804 26,849,115 15,000,000 0 0 0 0 0

68 UBS SECURITIES LLC FCM BD CBOT 9/30/2015 6,533,622,626 1,033,219,359 5,500,403,267 9,515,058,267 8,787,027,188 728,031,079 615,091,903 5,007,645,223 4,492,662,351 514,982,872 400,000,000 1,508,493,471 1,229,441,801 279,051,670 200,000,000 0

69 UOBBF CLEARING LIMITED FCM NFA 9/30/2015 7,943,999 1,000,000 6,943,999 0 0 0 0 0 0 0 0 0 0 0 0 0

70 WEDBUSH SECURITIES INC FCM BD CBOT 9/30/2015 126,365,847 21,649,597 104,716,250 670,448,370 644,536,304 25,912,066 17,750,000 26,194,763 22,003,755 4,191,008 1,000,000 0 0 0 0 42,991,944

71 WELLS FARGO SECURITIES LLC FCM BD CME 9/30/2015 3,331,004,406 587,163,486 2,743,840,920 2,541,300,457 2,227,288,023 314,012,434 150,000,000 476,910,470 211,825,377 265,085,093 30,000,000 5,304,010,192 4,640,300,410 663,709,782 350,000,000 0

72 XCHANGE FINANCIAL ACCESS LLC FCM BD NFA 9/30/2015 7,707,582 1,000,000 6,707,582 49,483,912 45,019,262 4,464,650 1,750,000 0 0 0 0 0 0 0 0 0

73 YORK BUSINESS ASSOCIATES LLC FCM NFA 9/30/2015 5,086,333 1,000,000 4,086,333 42,542,523 38,459,132 4,083,391 2,000,000 2,118,430 1,648,549 469,881 200,000 0 0 0 0 0

Totals 164,497,927,649 152,813,534,059 11,684,393,590 7,365,203,187 47,074,233,892 42,457,563,214 4,616,670,678 2,806,605,228 61,724,513,955 56,434,217,138 5,290,296,817 3,332,712,389 568,306,993

August Web Page Update 73

Additions 1

TRADOVATE LLC

Deletions 1

TIMBER HILL LLC
SELECTED FCM FINANCIAL DATA AS OF 

September 30, 2015

FROM REPORTS FILED BY 

October 27, 2015

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ABCDEFGH I JKLMNOPQRSTU

Name Changes

NONE

September Web Page Update 73

 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.

(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: 

•  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.

(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.

(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.

(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.

(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.