SELECTED FCM FINANCIAL DATA AS OF 

December 31, 2013

FROM REPORTS FILED BY 

February 10, 2014

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

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

1 ABN AMRO CLEARING CHICAGO LLC FCM BD CBOT 12/31/2013 496,543,612 120,530,595 376,013,017 2,536,542,670 1,981,333,752 555,208,918 203,480,833 155,031,693 48,449,140 0

2 ADM INVESTOR SERVICES INC FCM CBOT 12/31/2013 274,225,436 151,295,443 122,929,993 3,176,627,962 2,931,401,486 245,226,476 233,072,364 171,689,820 61,382,544 0

3 ADVANTAGE FUTURES LLC FCM CME 12/31/2013 24,117,609 10,964,536 13,153,073 484,089,134 472,691,258 11,397,876 40,941,025 38,643,635 2,297,390 0

4 ALPARI (US) LLC FCMRFD NFA 12/31/2013 4,529,713 1,000,000 3,529,713 2,786,717 322,439 2,464,278 1,981,931 142,931 1,839,000 0

5 AMERIPRISE FINANCIAL SERVICES INC FCM BD NFA 12/31/2013 77,746,661 1,000,000 76,746,661 0 0 0 0 0 0 0

6 AMP GLOBAL CLEARING LLC FCM NFA 12/31/2013 2,318,444 1,500,000 818,444 43,742,059 42,518,643 1,223,416 701,524 494,812 206,712 0

7 BARCLAYS CAPITAL INC FCM BD NYME 12/31/2013 5,869,253,742 1,350,462,203 4,518,791,539 6,659,168,906 6,377,915,171 281,253,735 4,453,446,060 4,234,867,399 218,578,661 0

8 BGC FINANCIAL LP FCM BD NFA 12/31/2013 52,918,480 1,000,000 51,918,480 0 0 0 0 0 0 0

9 BNP PARIBAS PRIME BROKERAGE INC FCM BD NYME 12/31/2013 3,127,792,943 221,693,817 2,906,099,126 2,268,104,725 2,019,918,460 248,186,265 18,952,501 1,598,003 17,354,498 0

10 BNP PARIBAS SECURITIES CORP FCM BD CBOT 12/31/2013 1,487,458,653 204,869,754 1,282,588,899 1,083,641,790 867,187,524 216,454,266 6,000,000 0 6,000,000 0

11 BNY MELLON CLEARING LLC FCM CME 12/31/2013 282,083,586 20,000,000 262,083,586 223,049,602 127,163,740 95,885,862 24,677,498 5,115,114 19,562,384 0

12 BOCI COMMODITIES & FUTURES USA LLC FCM NFA 12/31/2013 4,219,137 1,000,000 3,219,137 0 0 0 0 0 0 0

13 CANTOR FITZGERALD & CO FCM BD CBOT 12/31/2013 284,762,017 6,387,108 278,374,909 6,281,773 1,312,018 4,969,755 0 0 0 0

14 CAPITAL MARKET SERVICES LLC FCM NFA 12/31/2013 1,512,754 1,000,000 512,754 0 0 0 0 0 0 0

15 CHS HEDGING INC FCM CBOT 12/31/2013 23,602,712 12,324,572 11,278,140 162,147,391 138,600,871 23,546,520 949,843 230,803 719,040 0

16 CITIGROUP GLOBAL MARKETS INC FCM BD SD CBOT 12/31/2013 5,401,005,930 830,427,986 4,570,577,944 5,175,654,291 4,844,742,715 330,911,576 1,140,699,457 838,897,759 301,801,698 0

17 CREDIT SUISSE SECURITIES (USA) LLC FCM BD CBOT 12/31/2013 8,037,707,160 2,076,813,800 5,960,893,360 9,291,996,221 7,918,920,731 1,373,075,490 3,728,482,208 2,787,919,391 940,562,817 0

18 CROSSLAND LLC FCM CBOT 12/31/2013 9,540,140 2,052,169 7,487,971 77,837,010 76,240,649 1,596,361 6,632,808 5,867,281 765,527 0

19 CUNNINGHAM COMMODITIES LLC FCM CBOT 12/31/2013 3,755,216 1,622,933 2,132,283 79,660,577 78,442,862 1,217,715 555,788 360,940 194,848 0

20 DAIWA CAPITAL MARKETS AMERICA INC FCM BD CME 12/31/2013 492,294,628 9,538,619 482,756,009 9,816,938 4,340,614 5,476,324 624,364 0 624,364 0

21 DEUTSCHE BANK SECURITIES INC FCM BD CBOT 12/31/2013 7,780,803,397 602,225,653 7,178,577,744 13,041,042,133 12,402,354,155 638,687,978 1,248,092,289 926,206,407 321,885,882 0

22 DORMAN TRADING LLC FCM CME 12/31/2013 11,290,931 1,730,100 9,560,831 141,872,350 139,473,664 2,398,686 2,171,070 1,779,688 391,382 0

23 E D & F MAN CAPITAL MARKETS INC FCM BD CME 12/31/2013 33,043,230 7,573,756 25,469,474 236,202,742 224,076,887 12,125,855 5,001,246 4,174,525 826,721 0

24 E TRADE CLEARING LLC FCM BD NFA 12/31/2013 714,500,063 144,188,730 570,311,333 50,585,359 39,409,278 11,176,081 1,747,619 743,776 1,003,843 0

25 EFL FUTURES LIMITED FCM CME 12/31/2013 37,294,696 14,548,413 22,746,283 264,587,542 251,656,003 12,931,539 0 0 0 0

26 FCSTONE LLC FCM CME 12/31/2013 106,851,349 63,250,041 43,601,308 1,606,138,232 1,582,727,766 23,410,466 69,020,912 52,403,256 16,617,656 0

27 FIXI AMERICAS LLC FCM NFA 12/31/2013 1,511,915 1,000,000 511,915 0 0 0 0 0 0 0

28 FOREX CAPITAL MARKETS LLC FCMRFD SD NFA 12/31/2013 64,278,001 27,132,425 37,145,576 0 0 0 0 0 0 152,648,500

29 FRIEDBERG MERCANTILE GROUP INC FCM NFA 12/31/2013 3,193,839 1,000,000 2,193,839 5,058,853 3,996,235 1,062,618 1,153,871 135,164 1,018,707 0

30 FRONTIER FUTURES INC FCM NFA 12/31/2013 1,857,232 1,000,000 857,232 26,496,051 25,658,100 837,951 0 0 0 0

31 FXDIRECTDEALER LLC FCMRFD SD NFA 12/31/2013 22,299,882 20,888,319 1,411,563 0 0 0 0 0 0 27,766,386

32 GAIN CAPITAL GROUP LLC FCMRFD NFA 12/31/2013 39,069,024 24,610,179 14,458,845 148,570,584 141,613,581 6,957,003 5,751,044 4,746,914 1,004,130 102,203,588

33 GFI SECURITIES LLC FCM BD NFA 12/31/2013 20,582,754 1,000,000 19,582,754 0 0 0 0 0 0 0

34 GH FINANCIALS LLC FCM CME 12/31/2013 9,656,493 1,000,000 8,656,493 7,188,767 6,012,801 1,175,966 638,822 388,581 250,241 0

35 GLOBAL FUTURES & FOREX LTD FCMRFD SD NFA 12/31/2013 8,994,047 1,000,000 7,994,047 0 0 0 0 0 0 0

36 GOLDMAN SACHS & CO FCM BD SD CBOT 12/31/2013 15,807,595,568 2,049,581,655 13,758,013,913 20,056,596,717 19,505,062,033 551,534,684 8,333,412,635 7,780,125,119 553,287,516 0

37 GOLDMAN SACHS EXECUTION & CLEARING LP FCM BD CME 12/31/2013 1,382,172,000 174,048,427 1,208,123,573 1,435,160,375 847,350,112 587,810,263 79,037,913 32,876,819 46,161,094 0

38 GUGGENHEIM SECURITIES LLC FCM BD NFA 12/31/2013 76,421,829 1,220,744 75,201,085 0 0 0 0 0 0 0

39 HSBC SECURITIES USA INC FCM BD CME 12/31/2013 978,504,917 132,247,172 846,257,745 1,138,736,666 1,048,317,517 90,419,149 111,089,931 92,341,343 18,748,588 0

40 IBFX INC RFED SD NFA 12/31/2013 29,656,719 23,048,349 6,608,370 0 0 0 0 0 0 67,997,066

41 INSTINET LLC FCM BD NFA 12/31/2013 110,939,882 2,551,447 108,388,435 0 0 0 0 0 0 0

42 INSTITUTIONAL LIQUIDITY LLC FCMRFD NFA 12/31/2013 33,444,692 20,075,274 13,369,418 55,637,157 54,415,840 1,221,317 721,324 279,659 441,665 11,505,473

43 INTERACTIVE BROKERS LLC FCM BD NFA 12/31/2013 2,141,281,678 302,139,265 1,839,142,413 2,143,265,380 1,939,801,946 203,463,434 406,385,525 300,433,178 105,952,347 40,773,394

44 IRONBEAM INC FCM NFA 12/31/2013 2,375,114 1,000,000 1,375,114 37,569,956 36,264,716 1,305,240 111,346 4,228 107,118 0

45 ITG DERIVATIVES LLC FCM BD NFA 12/31/2013 5,510,859 1,000,000 4,510,859 0 0 0 0 0 0 0

46 JEFFERIES BACHE LLC FCM CBOT 12/31/2013 192,396,000 103,983,360 88,412,640 2,031,632,000 1,879,889,000 151,743,000 231,831,000 137,255,000 94,576,000 0

47 JP MORGAN CLEARING CORP FCM BD NFA 12/31/2013 7,139,043,036 1,876,111,659 5,262,931,377 990,902,339 700,772,180 290,130,159 613,119,652 404,285,444 208,834,208 0

Reg As DSRO A/O Date Futures Commission Merchant / Retail Foreign Exchange 

Dealer

Adjusted Net 

Capital

Net Capital 

Requirement

Excess Net 

Capital

Customers' Assets 

in Seg

Total Amount of 

Retail Forex 

Obligation

Customers' Seg 

Required 4d(a)(2)

Excess/Deficient 

Funds in Seg

Funds in Separate 

Pt. 30.7 Accounts

Customer Amount 

Pt. 30 Required

Excess/Deficient 

Funds in Separate 

Pt. 30.7 Accounts
SELECTED FCM FINANCIAL DATA AS OF 

December 31, 2013

FROM REPORTS FILED BY 

February 10, 2014

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

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

Reg As DSRO A/O Date Futures Commission Merchant / Retail Foreign Exchange 

Dealer

Adjusted Net 

Capital

Net Capital 

Requirement

Excess Net 

Capital

Customers' Assets 

in Seg

Total Amount of 

Retail Forex 

Obligation

Customers' Seg 

Required 4d(a)(2)

Excess/Deficient 

Funds in Seg

Funds in Separate 

Pt. 30.7 Accounts

Customer Amount 

Pt. 30 Required

Excess/Deficient 

Funds in Separate 

Pt. 30.7 Accounts

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48 JP MORGAN SECURITIES LLC FCM BD SD CEI 12/31/2013 12,881,915,385 2,045,641,071 10,836,274,314 18,009,365,580 16,068,072,825 1,941,292,755 3,551,291,147 3,209,016,688 342,274,459 0

49 KCG AMERICAS LLC FCM BD CME 12/31/2013 396,654,564 22,299,987 374,354,577 496,035,865 479,067,087 16,968,778 11,674,556 8,227,821 3,446,735 37,100,056

50 LEK SECURITIES CORPORATION FCM BD NFA 12/31/2013 10,147,787 1,500,000 8,647,787 3,463,671 2,309,600 1,154,071 0 0 0 0

51 LINN GROUP THE FCM NFA 12/31/2013 3,650,223 2,039,379 1,610,844 80,537,762 76,819,233 3,718,529 350,543 2,893 347,650 0

52 LPL FINANCIAL LLC FCM BD NFA 12/31/2013 130,421,416 6,889,997 123,531,419 0 0 0 0 0 0 0

53 MACQUARIE FUTURES USA LLC FCM CBOT 12/31/2013 143,560,497 102,496,294 41,064,203 1,413,355,293 1,228,662,410 184,692,883 19,200,543 12,509,537 6,691,006 0

54 MAREX NORTH AMERICA LLC FCM CME 12/31/2013 11,875,432 8,775,521 3,099,911 109,477,665 103,751,249 5,726,416 11,111,381 9,941,458 1,169,923 0

55 MB TRADING FUTURES INC RFED NFA 12/31/2013 25,161,107 21,188,652 3,972,455 0 0 0 0 0 0 33,773,032

56 MCVEAN TRADING & INVESTMENTS LLC FCM NFA 12/31/2013 13,738,805 3,559,225 10,179,580 801,701,936 780,942,381 20,759,555 2,417,861 0 2,417,861 0

57 MERRILL LYNCH PIERCE FENNER & SMITH FCM BD CBOT 12/31/2013 9,953,234,264 950,739,793 9,002,494,471 10,445,568,496 10,097,450,250 348,118,246 3,015,412,512 2,766,345,637 249,066,875 0

58 MERRILL LYNCH PROFESSIONAL CLEARING CORP FCM BD NFA 12/31/2013 2,164,214,899 365,805,927 1,798,408,972 1,711,696,895 768,875,721 942,821,174 29,444,944 1,468,137 27,976,807 0

59 MID CO COMMODITIES INC FCM NFA 12/31/2013 9,134,791 4,317,139 4,817,652 46,409,355 36,944,999 9,464,356 0 0 0 0

60 MITSUBISHI UFJ SECURITIES USA INC FCM BD NFA 12/31/2013 220,507,008 1,040,660 219,466,348 0 0 0 0 0 0 0

61 MITSUI BUSSAN COMMODITIES USA INC FCM NFA 12/31/2013 3,188,146 1,000,000 2,188,146 0 0 0 0 0 0 0

62 MIZUHO SECURITIES USA INC FCM BD SD CME 12/31/2013 465,402,469 195,852,517 269,549,952 2,229,262,225 2,054,124,905 175,137,320 624,592,503 534,647,125 89,945,378 0

63 MORGAN STANLEY & CO LLC FCM BD SD CME 12/31/2013 8,320,301,486 1,573,973,088 6,746,328,398 10,439,632,932 10,233,308,793 206,324,139 2,598,977,459 2,390,807,455 208,170,004 0

64 MORGAN STANLEY SMITH BARNEY LLC FCM BD NFA 12/31/2013 4,239,287,747 180,314,438 4,058,973,309 603,647,173 541,746,031 61,901,142 80,610,763 59,854,329 20,756,434 0

65 NEUBERGER BERMAN LLC FCM BD NFA 12/31/2013 99,065,335 1,500,000 97,565,335 0 0 0 0 0 0 0

66 NEWEDGE USA LLC FCM BD SD NYME 12/31/2013 1,820,670,338 930,014,458 890,655,880 13,717,621,131 13,164,428,650 553,192,481 3,336,824,946 2,977,946,433 358,878,513 0

67 NOMURA SECURITIES INTERNATIONAL INC FCM BD CBOT 12/31/2013 1,424,520,316 35,853,945 1,388,666,371 62,706,143 48,479,739 14,226,404 10,764,606 1,377,140 9,387,466 0

68 OANDA CORPORATION FCMRFD NFA 12/31/2013 133,575,877 25,822,431 107,753,446 0 0 0 0 0 0 126,448,623

69 OPPENHEIMER & CO INC FCM BD NFA 12/31/2013 166,298,673 26,419,921 139,878,752 32,045,385 13,893,625 18,151,760 0 0 0 0

70 OPTIONSXPRESS INC FCM BD NFA 12/31/2013 101,692,835 5,720,450 95,972,385 111,646,967 88,080,380 23,566,587 1,973,342 847,439 1,125,903 0

71 PHILLIP FUTURES INC FCM CME 12/31/2013 27,562,477 20,000,000 7,562,477 148,783,982 128,018,797 20,765,185 10,234,786 5,826,679 4,408,107 0

72 RAND FINANCIAL SERVICES INC FCM CME 12/31/2013 78,956,200 20,687,936 58,268,264 347,741,000 305,541,900 42,199,100 29,643,400 8,528,000 21,115,400 0

73 RAYMOND JAMES & ASSOCIATES INC FCM BD NFA 12/31/2013 488,863,777 36,517,456 452,346,321 0 0 0 0 0 0 0

74 RBC CAPITAL MARKETS LLC FCM BD CME 12/31/2013 1,252,014,965 119,942,469 1,132,072,496 1,011,620,344 913,109,618 98,510,726 103,589,323 78,715,643 24,873,680 0

75 RBS SECURITIES INC FCM BD CBOT 12/31/2013 3,450,441,879 131,176,656 3,319,265,223 1,614,684,194 1,449,331,490 165,352,704 168,713,036 60,699,859 108,013,177 0

76 RJ OBRIEN ASSOCIATES LLC FCM SD CME 12/31/2013 196,964,441 133,439,494 63,524,947 3,818,764,148 3,703,754,600 115,009,548 193,595,496 168,623,374 24,972,122 565,689

77 ROSENTHAL COLLINS GROUP LLC FCM CME 12/31/2013 74,801,456 54,756,371 20,045,085 1,433,186,037 1,412,661,189 20,524,848 37,098,993 27,123,427 9,975,566 0

78 SANFORD C BERNSTEIN & CO LLC FCM BD NFA 12/31/2013 160,068,087 18,373,028 141,695,059 0 0 0 0 0 0 0

79 SANTANDER INVESTMENT SECURITIES INC FCM BD NYME 12/31/2013 121,468,964 10,784,520 110,684,444 757,417,521 755,009,247 2,408,274 0 0 0 0

80 STATE STREET GLOBAL MARKETS LLC FCM BD CME 12/31/2013 513,882,444 34,910,239 478,972,205 409,135,240 313,855,544 95,279,696 71,574,048 29,813,617 41,760,431 0

81 STRAITS FINANCIAL LLC FCM CME 12/31/2013 9,284,477 4,579,738 4,704,739 111,893,111 105,553,578 6,339,533 37,353,632 35,478,409 1,875,223 0

82 TD AMERITRADE INC FCM BD NFA 12/31/2013 367,709,655 11,205,525 356,504,130 153,899,429 125,798,949 28,100,480 0 0 0 0

83 TIMBER HILL LLC FCM BD CME 12/31/2013 397,485,170 53,571,322 343,913,848 702,520,030 697,230,646 5,289,384 0 0 0 0

84 TRADESTATION SECURITIES INC FCM BD NFA 12/31/2013 51,573,848 3,191,512 48,382,336 414,996,298 405,195,906 9,800,392 18,846,884 17,699,162 1,147,722 0

85 UBS FINANCIAL SERVICES INC FCM BD NFA 12/31/2013 1,242,960,671 94,144,319 1,148,816,352 158,410,240 127,693,950 30,716,290 24,878,586 4,780,445 20,098,141 0

86 UBS SECURITIES LLC FCM BD CBOT 12/31/2013 9,560,779,424 863,114,460 8,697,664,964 8,786,858,185 8,191,731,999 595,126,186 4,236,223,124 3,818,659,551 417,563,573 0

87 VISION FINANCIAL MARKETS LLC FCM BD CME 12/31/2013 34,517,024 13,162,678 21,354,346 520,936,471 508,664,310 12,272,161 12,389,370 10,078,612 2,310,758 0

88 WELLS FARGO ADVISORS FINANCIAL NETWORK LLC FCM BD NFA 12/31/2013 41,763,806 1,000,000 40,763,806 0 0 0 0 0 0 0

89 WELLS FARGO ADVISORS LLC FCM BD NFA 12/31/2013 1,628,687,364 1,500,000 1,627,187,364 0 0 0 0 0 0 0

90 WELLS FARGO SECURITIES LLC FCM BD CME 12/31/2013 3,077,346,311 123,739,726 2,953,606,585 56,525,530 21,409,743 35,115,787 10,021,562 0 10,021,562 0

91 WHITE COMMERCIAL CORPORATION FCM NFA 12/31/2013 2,705,617 1,000,000 1,705,617 0 0 0 0 0 0 0

92 WHOTRADES FX LLC FCM NFA 12/31/2013 2,356,952 1,000,000 1,356,952 0 0 0 0 0 0 0

93 XCHANGE FINANCIAL ACCESS LLC FCM BD NFA 12/31/2013 5,931,718 1,000,000 4,931,718 29,745,486 27,685,254 2,060,232 0 0 0 0

94 YORK BUSINESS ASSOCIATES LLC FCM NFA 12/31/2013 4,899,145 1,000,000 3,899,145 52,481,415 50,049,543 2,431,872 1,913,248 1,605,806 307,442 0

Totals 155,542,164,104 143,741,158,888 11,801,005,216 39,221,206,997 34,219,663,358 5,001,543,639 600,781,807
SELECTED FCM FINANCIAL DATA AS OF 

December 31, 2013

FROM REPORTS FILED BY 

February 10, 2014

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

Reg As DSRO A/O Date Futures Commission Merchant / Retail Foreign Exchange 

Dealer

Adjusted Net 

Capital

Net Capital 

Requirement

Excess Net 

Capital

Customers' Assets 

in Seg

Total Amount of 

Retail Forex 

Obligation

Customers' Seg 

Required 4d(a)(2)

Excess/Deficient 

Funds in Seg

Funds in Separate 

Pt. 30.7 Accounts

Customer Amount 

Pt. 30 Required

Excess/Deficient 

Funds in Separate 

Pt. 30.7 Accounts

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November Web Page Update 95

Additions 0

None

Deletions 1

TULLETT PREBON FINANCIAL SERVICES LLC

Name Changes

KNIGHT CAPITAL AMERICAS LLC to 

KCG AMERICAS LLC

December Web Page Update 94

(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;

•  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

 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: 

 SD: The FCM or RFED is also registered with the Commodity Futures Trading Commission as a provisionally registered swap dealer.

•  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.

(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.

(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.