SELECTED FCM FINANCIAL DATA AS OF 

January 31, 2014

FROM REPORTS FILED BY 

March 06, 2014

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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

(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 1/31/2014 476,822,434 146,225,899 330,596,535 2,693,289,504 2,455,837,724 237,451,780 118,759,392 167,420,797 125,036,174 42,384,623 18,755,426 0 0 0 0 0

2 ADM INVESTOR SERVICES INC FCM CBOT 1/31/2014 275,831,889 162,875,487 112,956,402 3,208,390,803 2,969,910,209 238,480,594 120,000,000 236,470,732 173,054,136 63,416,596 20,000,000 16,021,821 6,862,983 9,158,838 8,000,000 0

3 ADVANTAGE FUTURES LLC FCM CME 1/31/2014 22,432,385 13,957,217 8,475,168 455,836,171 441,284,525 14,551,646 3,500,000 39,778,044 37,416,149 2,361,895 1,000,000 0 0 0 0 0

4 ALPARI (US) LLC FCMRFD NFA 1/31/2014 4,025,726 1,000,000 3,025,726 2,766,866 300,365 2,466,501 375,456 2,125,230 286,201 1,839,029 357,751 0 0 0 0 33,978

5 AMERIPRISE FINANCIAL SERVICES INC FCM BD NFA 1/31/2014 127,192,093 1,000,000 126,192,093 0 0 0 0 0 0 0 0 0 0 0 0 0

6 AMP GLOBAL CLEARING LLC FCM NFA 1/31/2014 2,524,134 1,500,000 1,024,134 52,031,267 50,512,502 1,518,765 900,000 605,892 380,528 225,364 150,000 0 0 0 0 0

7 BARCLAYS CAPITAL INC FCM BD NYME 1/31/2014 5,950,283,579 1,374,653,986 4,575,629,593 6,637,848,810 6,316,079,645 321,769,165 126,321,593 4,044,994,997 3,865,856,386 179,138,611 115,975,693 5,600,821,377 4,658,649,416 942,171,961 512,451,436 0

8 BGC FINANCIAL LP FCM BD NFA 1/31/2014 59,694,359 1,980,870 57,713,489 0 0 0 0 0 0 0 0 0 0 0 0 0

9 BNP PARIBAS PRIME BROKERAGE INC FCM BD NYME 1/31/2014 3,309,040,859 224,139,899 3,084,900,960 2,829,557,731 2,518,168,696 311,389,035 251,816,870 19,041,029 2,056,633 16,984,396 10,000,000 5,100,000 0 5,100,000 5,000,000 0

10 BNP PARIBAS SECURITIES CORP FCM BD CBOT 1/31/2014 1,698,564,044 210,297,942 1,488,266,102 1,206,858,949 989,778,371 217,080,578 197,955,674 33,068,740 12,235,573 20,833,167 1,223,557 224,908,379 164,545,657 60,362,722 16,454,566 0

11 BNY MELLON CLEARING LLC FCM CME 1/31/2014 283,101,473 20,000,000 263,101,473 212,748,180 116,832,549 95,915,631 50,000,000 24,261,578 4,663,374 19,598,204 5,000,000 142,042,865 53,569,970 88,472,895 5,000,000 0

12 BOCI COMMODITIES & FUTURES USA LLC FCM NFA 1/31/2014 4,179,949 1,000,000 3,179,949 0 0 0 0 0 0 0 0 0 0 0 0 0

13 CANTOR FITZGERALD & CO FCM BD CBOT 1/31/2014 181,454,514 8,637,754 172,816,760 4,969,921 0 4,969,921 3,000,000 0 0 0 0 0 0 0 0 0

14 CAPITAL MARKET SERVICES LLC FCM NFA 1/31/2014 1,403,730 1,000,000 403,730 0 0 0 0 0 0 0 0 0 0 0 0 0

15 CHS HEDGING INC FCM CBOT 1/31/2014 23,458,343 12,392,070 11,066,273 150,855,153 127,268,302 23,586,851 13,100,000 964,027 243,654 720,373 235,000 1,401,715 811,570 590,145 310,000 0

16 CITIGROUP GLOBAL MARKETS INC FCM BD SD CBOT/NFA 1/31/2014 5,635,349,692 894,739,493 4,740,610,199 5,335,258,721 5,011,879,696 323,379,025 254,000,000 1,045,492,056 818,955,313 226,536,743 180,000,000 4,602,878,403 4,225,800,358 377,078,045 270,690,000 0

17 CREDIT SUISSE SECURITIES (USA) LLC FCM BD CBOT 1/31/2014 7,169,226,226 2,137,494,858 5,031,731,368 8,691,859,784 6,961,323,157 1,730,536,627 348,066,158 3,512,969,097 2,700,966,471 812,002,626 135,048,324 4,912,339,153 3,590,374,774 1,321,964,379 179,518,739 0

18 CROSSLAND LLC FCM CBOT 1/31/2014 9,995,347 1,393,892 8,601,455 77,057,852 75,036,678 2,021,174 1,000,000 6,752,874 5,893,408 859,466 500,000 0 0 0 0 0

19 CUNNINGHAM COMMODITIES LLC FCM CBOT 1/31/2014 3,661,353 1,657,333 2,004,020 71,434,072 70,310,884 1,123,188 600,000 538,892 348,752 190,140 100,000 0 0 0 0 0

20 DAIWA CAPITAL MARKETS AMERICA INC FCM BD CME 1/31/2014 485,303,655 9,133,306 476,170,349 9,500,491 4,019,049 5,481,442 4,019,049 623,911 0 623,911 1 0 0 0 0 0

21 DEUTSCHE BANK SECURITIES INC FCM BD CBOT 1/31/2014 8,400,686,241 682,691,120 7,717,995,121 13,159,725,124 12,584,237,069 575,488,055 500,000,000 1,165,319,603 874,400,228 290,919,375 200,000,000 1,588,508,719 1,234,712,249 353,796,470 250,000,000 0

22 DORMAN TRADING LLC FCM CME 1/31/2014 11,415,906 1,756,209 9,659,697 142,756,918 140,026,778 2,730,140 2,000,000 3,540,915 3,087,188 453,727 200,000 0 0 0 0 0

23 E D & F MAN CAPITAL MARKETS INC FCM BD CME 1/31/2014 32,232,662 9,915,245 22,317,417 274,548,750 260,982,203 13,566,547 2,000,000 14,762,818 13,301,950 1,460,868 665,098 0 0 0 0 0

24 E TRADE CLEARING LLC FCM BD NFA 1/31/2014 714,712,754 158,306,506 556,406,248 47,663,235 36,345,637 11,317,598 10,000,000 1,747,540 742,605 1,004,935 1,000,000 0 0 0 0 0

25 EFL FUTURES LIMITED FCM CME 1/31/2014 37,736,368 17,695,252 20,041,116 239,666,543 226,734,772 12,931,771 5,000,000 0 0 0 0 0 0 0 0 0

26 FCSTONE LLC FCM CME 1/31/2014 102,323,777 71,192,716 31,131,061 1,667,364,337 1,644,469,839 22,894,498 20,000,000 61,963,501 45,176,953 16,786,548 14,000,000 0 0 0 0 0

27 FIXI AMERICAS LLC FCM NFA 1/31/2014 1,512,046 1,000,000 512,046 0 0 0 0 0 0 0 0 0 0 0 0 0

28 FOREX CAPITAL MARKETS LLC FCMRFD SD NFA 1/31/2014 63,225,214 27,616,705 35,608,509 0 0 0 0 0 0 0 0 0 0 0 0 162,334,107

29 FRIEDBERG MERCANTILE GROUP INC FCM NFA 1/31/2014 3,180,525 1,000,000 2,180,525 4,934,841 3,879,914 1,054,927 1,000,000 1,210,096 190,663 1,019,433 1,000,000 0 0 0 0 0

30 FRONTIER FUTURES INC FCM NFA 1/31/2014 1,851,640 1,000,000 851,640 25,122,728 24,170,818 951,910 262,777 0 0 0 0 0 0 0 0 0

31 FXDIRECTDEALER LLC FCMRFD SD NFA 1/31/2014 23,008,909 20,909,342 2,099,567 0 0 0 0 0 0 0 0 0 0 0 0 28,186,833

32 GAIN CAPITAL GROUP LLC FCMRFD NFA 1/31/2014 36,882,661 24,686,748 12,195,913 149,494,365 142,780,511 6,713,854 2,500,000 5,064,978 3,888,616 1,176,362 312,500 0 0 0 0 103,734,955

33 GH FINANCIALS LLC FCM CME 1/31/2014 9,822,642 1,000,000 8,822,642 8,097,852 6,776,213 1,321,639 250,000 749,241 498,886 250,355 75,000 0 0 0 0 0

34 GLOBAL FUTURES & FOREX LTD FCMRFD SD NFA 1/31/2014 9,421,424 1,000,000 8,421,424 0 0 0 0 0 0 0 0 0 0 0 0 0

35 GOLDMAN SACHS & CO FCM BD SD CBOT/NFA 1/31/2014 16,819,306,945 2,099,575,879 14,719,731,066 20,795,730,282 20,239,753,880 555,976,402 475,000,000 8,536,551,150 7,701,792,500 834,758,650 475,000,000 2,757,334,660 2,439,108,966 318,225,694 125,000,000 0

36 GOLDMAN SACHS EXECUTION & CLEARING LP FCM BD CME 1/31/2014 1,586,260,594 152,284,240 1,433,976,354 1,406,016,987 829,641,487 576,375,500 540,000,000 70,317,273 24,232,095 46,085,178 40,000,000 0 0 0 0 0

37 GUGGENHEIM SECURITIES LLC FCM BD NFA 1/31/2014 91,794,917 1,340,707 90,454,210 0 0 0 0 0 0 0 0 0 0 0 0 0

38 HSBC SECURITIES USA INC FCM BD CME 1/31/2014 1,048,002,955 133,733,277 914,269,678 1,036,486,351 948,878,264 87,608,087 47,443,913 132,722,875 87,359,066 45,363,809 17,471,813 191,601,400 135,409,445 56,191,955 25,000,000 0

39 IBFX INC RFED SD NFA 1/31/2014 29,978,808 23,008,483 6,970,325 0 0 0 0 0 0 0 0 0 0 0 0 67,159,507

40 INSTINET LLC FCM BD NFA 1/31/2014 105,557,440 3,022,464 102,534,976 0 0 0 0 0 0 0 0 0 0 0 0 0

41 INSTITUTIONAL LIQUIDITY LLC FCMRFD NFA 1/31/2014 33,354,167 20,119,349 13,234,818 57,405,154 56,147,436 1,257,718 500,000 707,880 255,824 452,056 250,000 0 0 0 0 0

42 INTERACTIVE BROKERS LLC FCM BD NFA 1/31/2014 2,129,199,113 311,763,509 1,817,435,604 2,199,406,050 1,978,406,671 220,999,379 200,000,000 382,672,882 275,865,044 106,807,838 100,000,000 0 0 0 0 37,088,359

43 IRONBEAM INC FCM NFA 1/31/2014 2,347,685 1,000,000 1,347,685 37,016,807 35,660,624 1,356,183 800,000 111,539 4,037 107,502 50,000 0 0 0 0 0

44 ITG DERIVATIVES LLC FCM BD NFA 1/31/2014 5,566,862 1,000,000 4,566,862 0 0 0 0 0 0 0 0 0 0 0 0 0

45 JEFFERIES BACHE LLC FCM CBOT 1/31/2014 183,507,000 117,830,000 65,677,000 2,166,586,000 2,065,352,000 101,234,000 90,000,000 222,237,000 127,070,000 95,167,000 50,000,000 62,577,000 40,986,000 21,591,000 5,000,000 0

46 JP MORGAN CLEARING CORP FCM BD NFA 1/31/2014 6,903,337,905 1,915,131,437 4,988,206,468 1,045,015,603 747,688,848 297,326,755 67,291,996 651,245,330 443,504,534 207,740,796 39,915,408 250,000 0 250,000 1 0

47 JP MORGAN SECURITIES LLC FCM BD SD CEI/NFA 1/31/2014 12,349,857,446 2,240,429,315 10,109,428,131 20,072,791,822 18,263,161,208 1,809,630,614 1,643,684,509 3,847,965,423 3,191,016,721 656,948,702 287,191,505 3,424,291,442 2,809,704,775 614,586,667 252,873,430 0

48 KCG AMERICAS LLC FCM BD CME 1/31/2014 339,037,393 23,650,770 315,386,623 520,007,031 502,573,650 17,433,381 15,000,000 11,760,756 8,236,170 3,524,586 2,500,000 0 0 0 0 36,226,893

49 LEK SECURITIES CORPORATION FCM BD NFA 1/31/2014 9,712,198 1,569,166 8,143,032 1,776,682 630,697 1,145,985 500,000 0 0 0 0 0 0 0 0 0

50 LINN GROUP THE FCM NFA 1/31/2014 3,629,702 2,207,269 1,422,433 82,011,397 78,185,230 3,826,167 2,000,000 351,793 4,143 347,650 1,036 0 0 0 0 0

51 LPL FINANCIAL LLC FCM BD NFA 1/31/2014 137,668,205 6,625,628 131,042,577 0 0 0 0 0 0 0 0 0 0 0 0 0

52 MACQUARIE FUTURES USA LLC FCM CBOT 1/31/2014 140,229,802 123,156,760 17,073,042 1,597,691,145 1,424,565,659 173,125,486 90,000,000 18,839,330 12,169,253 6,670,077 851,848 16,574,016 5,367,518 11,206,498 375,726 0

53 MAREX NORTH AMERICA LLC FCM CME 1/31/2014 11,789,530 9,832,863 1,956,667 124,031,906 117,359,904 6,672,002 5,866,745 10,514,252 9,333,919 1,180,333 933,392 0 0 0 0 0

54 MB TRADING FUTURES INC RFED NFA 1/31/2014 24,116,620 21,060,635 3,055,985 0 0 0 0 0 0 0 0 0 0 0 0 31,212,705

55 MCVEAN TRADING & INVESTMENTS LLC FCM NFA 1/31/2014 13,851,497 3,225,293 10,626,204 831,671,861 810,940,456 20,731,405 18,000,000 2,417,861 0 2,417,861 400,000 0 0 0 0 0

56 MERRILL LYNCH PIERCE FENNER & SMITH FCM BD CBOT 1/31/2014 11,109,355,304 1,063,514,024 10,045,841,280 10,675,103,662 10,336,060,779 339,042,883 270,000,000 3,119,630,195 2,824,652,683 294,977,512 225,000,000 1,209,642,142 1,055,316,804 154,325,338 135,000,000 0

57 MERRILL LYNCH PROFESSIONAL CLEARING CORP FCM BD NFA 1/31/2014 2,184,761,229 344,536,756 1,840,224,473 1,739,720,644 1,010,582,766 729,137,878 612,910,989 4,186,716 765,925 3,420,791 3,000,000 0 0 0 0 0

58 MID CO COMMODITIES INC FCM NFA 1/31/2014 9,136,842 4,893,829 4,243,013 43,806,858 34,260,317 9,546,541 5,000,000 0 0 0 0 0 0 0 0 0

59 MITSUBISHI UFJ SECURITIES USA INC FCM BD NFA 1/31/2014 193,978,440 1,467,417 192,511,023 0 0 0 0 0 0 0 0 0 0 0 0 0

60 MITSUI BUSSAN COMMODITIES USA INC FCM NFA 1/31/2014 3,473,519 1,000,000 2,473,519 0 0 0 0 0 0 0 0 0 0 0 0 0

61 MIZUHO SECURITIES USA INC FCM BD SD CME/NFA 1/31/2014 430,674,610 238,121,263 192,553,347 2,515,213,982 2,294,440,699 220,773,283 150,000,000 624,433,978 532,874,734 91,559,244 80,000,000 94,754,275 69,707,398 25,046,877 15,000,000 0

62 MORGAN STANLEY & CO LLC FCM BD SD CME/NFA 1/31/2014 8,255,158,338 1,523,695,975 6,731,462,363 10,438,026,050 10,228,241,258 209,784,792 105,000,000 2,623,535,766 2,410,981,255 212,554,511 105,000,000 3,200,817,140 3,083,609,821 117,207,319 92,000,000 0

63 MORGAN STANLEY SMITH BARNEY LLC FCM BD NFA 1/31/2014 3,915,246,326 163,676,239 3,751,570,087 638,635,424 563,588,923 75,046,501 45,087,114 79,162,250 57,758,482 21,403,768 17,327,545 0 0 0 0 0

64 NEUBERGER BERMAN LLC FCM BD NFA 1/31/2014 48,093,746 1,500,000 46,593,746 0 0 0 0 0 0 0 0 0 0 0 0 0

65 NEWEDGE USA LLC FCM BD SD NYME/NFA 1/31/2014 1,825,138,565 1,035,331,572 789,806,993 14,544,114,596 13,941,597,117 602,517,479 500,000,000 3,017,387,290 2,677,054,798 340,332,492 300,000,000 311,063,143 235,700,156 75,362,987 30,000,000 0

66 NOMURA SECURITIES INTERNATIONAL INC FCM BD CBOT 1/31/2014 1,872,330,727 44,050,275 1,828,280,452 70,875,855 56,406,854 14,469,001 10,000,000 10,231,420 822,330 9,409,090 1,000,000 40,991,975 20,814,930 20,177,045 15,000,000 0

67 OANDA CORPORATION FCMRFD NFA 1/31/2014 128,312,545 25,907,047 102,405,498 0 0 0 0 0 0 0 0 0 0 0 0 128,140,930

68 OPPENHEIMER & CO INC FCM BD NFA 1/31/2014 168,924,946 26,522,566 142,402,380 28,541,378 9,984,182 18,557,196 1,987,249 0 0 0 0 0 0 0 0 0

69 OPTIONSXPRESS INC FCM BD NFA 1/31/2014 107,761,946 7,227,125 100,534,821 116,611,866 91,814,087 24,797,779 9,181,409 1,791,472 796,720 994,752 79,672 0 0 0 0 0

70 PHILLIP FUTURES INC FCM CME 1/31/2014 27,880,029 20,000,000 7,880,029 152,168,791 132,296,148 19,872,643 6,614,807 8,589,729 3,181,533 5,408,196 159,077 0 0 0 0 0

71 RAND FINANCIAL SERVICES INC FCM CME 1/31/2014 79,208,800 22,887,842 56,320,958 315,985,800 273,444,900 42,540,900 8,203,300 32,283,000 11,092,400 21,190,600 332,800 0 0 0 0 0

72 RAYMOND JAMES & ASSOCIATES INC FCM BD NFA 1/31/2014 507,872,644 36,301,967 471,570,677 0 0 0 0 0 0 0 0 0 0 0 0 0

73 RBC CAPITAL MARKETS LLC FCM BD CME 1/31/2014 1,200,637,582 115,630,766 1,085,006,816 1,225,136,026 1,130,306,269 94,829,757 80,000,000 96,200,596 66,818,846 29,381,750 20,000,000 0 0 0 0 0

74 RBS SECURITIES INC FCM BD CBOT 1/31/2014 3,690,406,948 141,637,822 3,548,769,126 1,616,764,230 1,460,286,093 156,478,137 125,000,000 217,383,938 48,501,210 168,882,728 100,000,000 277,404,574 193,818,727 83,585,847 55,000,000 0

75 RJ OBRIEN ASSOCIATES LLC FCM SD CME/NFA 1/31/2014 199,224,546 144,761,535 54,463,011 3,777,210,743 3,660,798,244 116,412,499 40,000,000 159,964,959 135,049,092 24,915,867 20,000,000 0 0 0 0 11,020,207

76 ROSENTHAL COLLINS GROUP LLC FCM CME 1/31/2014 78,779,383 60,758,689 18,020,694 1,481,476,074 1,457,085,631 24,390,443 18,000,000 35,462,988 25,499,139 9,963,849 9,000,000 0 0 0 0 0

77 SANFORD C BERNSTEIN & CO LLC FCM BD NFA 1/31/2014 174,022,429 17,783,709 156,238,720 0 0 0 0 0 0 0 0 0 0 0 0 0

78 SANTANDER INVESTMENT SECURITIES INC FCM BD NYME 1/31/2014 162,498,028 11,504,089 150,993,939 717,376,937 715,047,915 2,329,022 2,000,000 0 0 0 0 0 0 0 0 0

79 STATE STREET GLOBAL MARKETS LLC FCM BD CME 1/31/2014 531,364,053 40,455,809 490,908,244 475,299,281 368,710,986 106,588,295 18,435,550 68,227,771 28,088,918 40,138,853 15,000,000 200,450,494 100,291,783 100,158,711 50,000,000 0

80 STRAITS FINANCIAL LLC FCM CME 1/31/2014 9,069,963 4,644,397 4,425,566 117,651,016 111,198,849 6,452,167 2,000,000 38,640,963 36,660,982 1,979,981 300,000 0 0 0 0 0

81 TD AMERITRADE INC FCM BD NFA 1/31/2014 294,735,659 12,491,301 282,244,358 187,777,088 143,872,188 43,904,900 5,000,000 0 0 0 0 0 0 0 0 0

82 TIMBER HILL LLC FCM BD CME 1/31/2014 525,019,124 53,201,735 471,817,389 764,671,779 759,605,018 5,066,761 1,000,000 0 0 0 0 0 0 0 0 0

83 TRADESTATION SECURITIES INC FCM BD NFA 1/31/2014 51,424,884 3,249,068 48,175,816 422,409,602 412,056,320 10,353,282 9,000,000 19,412,773 18,205,342 1,207,431 800,000 0 0 0 0 0

84 UBS FINANCIAL SERVICES INC FCM BD NFA 1/31/2014 1,292,804,051 90,634,901 1,202,169,150 144,334,362 113,008,466 31,325,896 22,601,693 24,505,100 4,674,722 19,830,378 15,000,000 0 0 0 0 0

85 UBS SECURITIES LLC FCM BD CBOT 1/31/2014 9,552,488,777 923,896,514 8,628,592,263 8,350,126,308 7,726,675,540 623,450,768 540,867,288 4,182,121,435 3,775,553,464 406,567,971 400,000,000 828,729,226 609,757,382 218,971,844 200,000,000 0

86 VISION FINANCIAL MARKETS LLC FCM BD CME 1/31/2014 33,166,773 15,916,806 17,249,967 525,173,219 511,296,330 13,876,889 8,000,000 12,542,623 10,315,223 2,227,400 1,500,000 0 0 0 0 0

87 WELLS FARGO ADVISORS FINANCIAL NETWORK LLC FCM BD NFA 1/31/2014 50,579,987 1,000,000 49,579,987 0 0 0 0 0 0 0 0 0 0 0 0 0

88 WELLS FARGO ADVISORS LLC FCM BD NFA 1/31/2014 1,859,476,546 1,500,000 1,857,976,546 0 0 0 0 0 0 0 0 0 0 0 0 0

89 WELLS FARGO SECURITIES LLC FCM BD CME 1/31/2014 3,083,686,637 167,525,452 2,916,161,185 68,180,408 32,808,787 35,371,621 7,000,000 9,979,963 0 9,979,963 3,000,000 982,977,049 804,355,948 178,621,101 100,000,000 0

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 

Section 30.7 

Accounts

Customer Amount 

Pt. 30 Required

Excess/Deficient Funds in 

Separate Section 30.7 

Accounts

Target Residual 

Interest in Seg

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

Registered 

As DSRO As ofDate

Futures Commission Merchant /

Retail Foreign Exchange Dealer

Adjusted Net 

Capital
SELECTED FCM FINANCIAL DATA AS OF 

January 31, 2014

FROM REPORTS FILED BY 

March 06, 2014

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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

(a) (b) (c) (d) (e) (f) (g) (h) (i) (j) (k) (l) (m) (n) (o) (p) (q)

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 

Section 30.7 

Accounts

Customer Amount 

Pt. 30 Required

Excess/Deficient Funds in 

Separate Section 30.7 

Accounts

Target Residual 

Interest in Seg

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

Registered 

As DSRO As ofDate

Futures Commission Merchant /

Retail Foreign Exchange Dealer

Adjusted Net 

Capital

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90 WHITE COMMERCIAL CORPORATION FCM NFA 1/31/2014 2,305,820 1,000,000 1,305,820 0 0 0 0 0 0 0 0 0 0 0 0 0

91 WHOTRADES FX LLC FCM NFA 1/31/2014 2,249,478 1,000,000 1,249,478 0 0 0 0 0 0 0 0 0 0 0 0 0

92 XCHANGE FINANCIAL ACCESS LLC FCM BD NFA 1/31/2014 6,139,394 1,000,000 5,139,394 26,424,774 24,335,241 2,089,533 1,000,000 0 0 0 0 0 0 0 0 0

93 YORK BUSINESS ASSOCIATES LLC FCM NFA 1/31/2014 4,887,387 1,000,000 3,887,387 51,013,760 48,062,695 2,951,065 700,000 2,150,369 1,816,032 334,337 200,000 0 0 0 0 0

Totals 160,563,114,559 148,925,764,722 11,637,349,837 7,837,103,531 38,665,707,226 33,240,686,977 5,425,020,249 3,036,862,446 30,693,480,968 25,539,276,630 5,154,204,338 2,347,673,898 605,138,474

December Web Page Update 94

Additions 0

None

Deletions 1

GFI SECURITIES LLC

Name Changes

None

January Web Page Update 93

(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.

(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.

(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.

(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.

(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.

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

(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. 

(d): Excess net capital is adjusted net capital, less the firm's net capital requirement.

(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.

(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.

 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.

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

(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.

(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.

(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.