SELECTED FCM FINANCIAL DATA AS OF 

August 31, 2012

FROM REPORTS FILED BY 

September 30, 2012

1 of 4

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2

3

4

5

6

7

8

9

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12

13

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15

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18

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24

25

26

27

28

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30

31

32

33

34

35

36

37

38

39

40

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45

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53

54

55

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58

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62

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 8/31/2012 301,918,734 165,555,241 136,363,493 2,636,785,603 2,497,489,324 139,296,279 486,360,467 453,921,529 32,438,938 0 

2 ADM INVESTOR SERVICES INC FCM CBOT 8/31/2012 282,918,608 177,682,721 105,235,887 3,509,714,777 3,287,340,076 222,374,701 213,300,641 147,426,237 65,874,404 0 

3 ADVANCED MARKETS LLC FCMRFD NFA 8/31/2012 20,198,291 20,000,000 198,291 0 0 0 0 0 0 530,177 

4 ADVANTAGE FUTURES LLC FCM CME 8/31/2012 20,552,750 12,194,280 8,358,470 473,612,018 464,211,146 9,400,872 57,046,115 55,154,401 1,891,714 0 

5 ALPARI (US) LLC FCMRFD NFA 8/31/2012 30,142,390 20,352,020 9,790,370 2,831,693 627,626 2,204,067 265,198 0 265,198 17,040,400 

6 AMERIPRISE FINANCIAL SERVICES INC FCM BD NFA 8/31/2012 111,144,337 1,000,000 110,144,337 0 0 0 0 0 0 0 

7 AMP GLOBAL CLEARING LLC FCM NFA 8/31/2012 2,355,469 1,500,000 855,469 36,849,026 35,622,000 1,227,026 370,918 7,816 363,102 0 

8 BARCLAYS CAPITAL INC FCM BD NYME 8/31/2012 6,033,985,324 973,415,104 5,060,570,220 6,475,813,297 6,284,803,786 191,009,511 3,235,915,659 3,068,991,060 166,924,599 0 

9 BGC FINANCIAL LP FCM BD NFA 8/31/2012 42,591,331 1,207,891 41,383,440 0 0 0 0 0 0 0 

10 BNP PARIBAS PRIME BROKERAGE INC FCM BD NYME 8/31/2012 2,198,458,633 274,742,708 1,923,715,925 1,506,734,173 1,291,866,754 214,867,419 558,061,337 494,013,520 64,047,817 0 

11 BNP PARIBAS SECURITIES CORP FCM BD CBOT 8/31/2012 1,981,059,082 92,936,543 1,888,122,539 506,223,532 426,221,077 80,002,455 0 0 0 0 

12 BNY MELLON CLEARING LLC FCM CME 8/31/2012 267,875,360 10,670,508 257,204,852 336,852,598 176,945,165 159,907,433 28,772,058 15,047,349 13,724,709 0 

13 BOCI COMMODITIES & FUTURES USA LLC FCM NFA 8/31/2012 4,981,362 1,000,000 3,981,362 0 0 0 0 0 0 0 

14 CANTOR FITZGERALD & CO FCM BD CBOT 8/31/2012 258,709,389 7,548,786 251,160,603 6,333,119 1,378,710 4,954,409 0 0 0 0 

15 CAPITAL MARKET SERVICES LLC FCM NFA 8/31/2012 2,807,804 1,000,000 1,807,804 0 0 0 0 0 0 0 

16 CIBC WORLD MARKETS CORP FCM BD CME 8/31/2012 509,605,365 1,500,000 508,105,365 0 0 0 0 0 0 0 

17 CITADEL SECURITIES LLC FCM BD CME 8/31/2012 408,563,303 1,000,000 407,563,303 0 0 0 0 0 0 0 

18 CITIGROUP GLOBAL MARKETS INC FCM BD CBOT 8/31/2012 6,892,531,891 724,597,558 6,167,934,333 8,596,253,769 8,254,789,105 341,464,664 1,834,959,768 1,381,057,131 453,902,637 0 

19 COMMONWEALTH FOREIGN EXCHANGE INC FCM NFA 8/31/2012 1,784,040 1,000,000 784,040 0 0 0 0 0 0 0 

20 COUNTRY HEDGING INC FCM NFA 8/31/2012 25,480,171 20,237,825 5,242,346 301,542,082 279,745,588 21,796,494 1,748,445 862,193 886,252 0 

21 CREDIT SUISSE SECURITIES (USA) LLC FCM BD CBOT 8/31/2012 6,696,626,428 1,312,601,685 5,384,024,743 6,618,577,329 5,852,407,272 766,170,057 2,552,916,406 2,074,316,837 478,599,569 0 

22 CROSSLAND LLC FCM CBOT 8/31/2012 7,688,436 2,002,612 5,685,824 67,502,705 64,879,409 2,623,296 11,301,410 10,028,802 1,272,608 0 

23 CUNNINGHAM COMMODITIES LLC FCM CBOT 8/31/2012 3,109,634 1,684,074 1,425,560 84,031,518 82,898,176 1,133,342 383,709 315,252 68,457 0 

24 CX CAPITAL MARKETS LLC FCM BD NFA 8/31/2012 3,343,653 1,000,000 2,343,653 34,094,828 32,026,732 2,068,096 0 0 0 0 

25 DAIWA CAPITAL MARKETS AMERICA INC FCM BD CME 8/31/2012 289,532,088 3,231,058 286,301,030 10,066,906 5,387,752 4,679,154 1,037,218 0 1,037,218 0 

26 DEUTSCHE BANK SECURITIES INC FCM BD CBOT 8/31/2012 8,506,140,131 544,373,429 7,961,766,702 14,973,740,010 14,418,140,306 555,599,704 1,516,545,558 1,277,980,066 238,565,492 0 

27 DORMAN TRADING LLC FCM CME 8/31/2012 9,664,337 1,770,856 7,893,481 139,394,335 137,478,904 1,915,431 2,737,322 1,713,702 1,023,620 0 

28 EAGLE MARKET MAKERS INC FCM CBOT 8/31/2012 6,205,616 1,000,000 5,205,616 1,036,221 370,723 665,498 0 0 0 0 

29 EASY FOREX US LTD FCM NFA 8/31/2012 1,480,564 1,000,000 480,564 0 0 0 0 0 0 0 

30 ENSKILDA FUTURES LTD FCM CME 8/31/2012 35,765,851 18,765,171 17,000,680 290,869,787 283,796,054 7,073,733 0 0 0 0 

31 FCSTONE LLC FCM CME 8/31/2012 122,606,771 86,659,365 35,947,406 1,757,300,698 1,732,998,364 24,302,334 77,913,986 65,840,141 12,073,845 0 

32 FOREX CAPITAL MARKETS LLC FCMRFD NFA 8/31/2012 53,514,906 37,544,696 15,970,210 0 0 0 0 0 0 360,893,916 

33 FOREX CLUB LLC FCMRFD NFA 8/31/2012 22,214,537 22,000,000 214,537 0 0 0 0 0 0 3,321,718 

34 FRIEDBERG MERCANTILE GROUP INC FCM NFA 8/31/2012 2,853,943 1,000,000 1,853,943 9,968,869 9,408,278 560,591 896,469 845,632 50,837 0 

35 FRONTIER FUTURES INC FCM NFA 8/31/2012 1,994,283 1,069,144 925,139 35,734,420 34,811,184 923,236 0 0 0 0 

36 FX SOLUTIONS LLC FCMRFD NFA 8/31/2012 28,027,637 20,344,852 7,682,785 0 0 0 0 0 0 16,897,037 

37 FXDIRECTDEALER LLC FCMRFD NFA 8/31/2012 24,415,572 21,198,494 3,217,078 0 0 0 0 0 0 33,969,881 

38 GAIN CAPITAL GROUP LLC FCMRFD NFA 8/31/2012 47,820,014 24,508,695 23,311,319 0 0 0 0 0 0 100,173,898 

39 GH FINANCIALS LLC FCM CME 8/31/2012 8,728,364 1,000,000 7,728,364 968,877 807,706 161,171 0 0 0 0 

40 GLOBAL FUTURES & FOREX LTD FCMRFD NFA 8/31/2012 59,125,892 24,448,881 34,677,011 548 548 0 0 0 0 98,977,615 

41 GOLDMAN SACHS & CO FCM BD CBOT 8/31/2012 14,289,569,423 1,791,364,128 12,498,205,295 20,552,361,507 20,058,156,609 494,204,898 9,369,063,847 8,879,295,834 489,768,013 0 

42 GOLDMAN SACHS EXECUTION & CLEARING LP FCM BD CME 8/31/2012 2,154,842,146 130,755,625 2,024,086,521 1,363,134,232 774,666,893 588,467,339 89,035,468 40,606,416 48,429,052 0 

43 GUGGENHEIM SECURITIES LLC FCM BD NFA 8/31/2012 66,897,990 1,665,473 65,232,517 0 0 0 0 0 0 0 

44 HSBC SECURITIES USA INC FCM BD CME 8/31/2012 1,158,847,283 114,346,405 1,044,500,878 898,747,000 851,158,516 47,588,484 121,397,320 94,140,550 27,256,770 0 

45 IBFX INC RFED NFA 8/31/2012 26,477,538 23,192,545 3,284,993 0 0 0 0 0 0 73,850,907 

46 ICAP CORPORATES LLC FCM BD NFA 8/31/2012 45,355,672 1,372,242 43,983,430 0 0 0 0 0 0 0 

47 IKON GLOBAL MARKETS INC FCM NFA 8/31/2012 15,997,501 1,000,000 14,997,501 5,341,629 4,220,834 1,120,795 0 0 0 0 

48 INSTINET LLC FCM BD NFA 8/31/2012 108,215,067 1,105,124 107,109,943 0 0 0 0 0 0 0 

49 INSTITUTIONAL LIQUIDITY LLC FCMRFD NFA 8/31/2012 20,865,942 20,482,958 382,984 0 0 0 0 0 0 19,659,159 

50 INTEGRATED BROKERAGE SERVICES LLC FCM NFA 8/31/2012 100,279 1,000,000 (899,721) 2,217 971 1,246 0 0 0 0 

51 INTERACTIVE BROKERS LLC FCM BD NFA 8/31/2012 1,576,904,569 199,978,814 1,376,925,755 1,884,469,790 1,642,060,823 242,408,967 521,703,796 389,163,010 132,540,786 35,966,698 

52 IRONBEAM INC FCM NFA 8/31/2012 2,586,958 1,033,918 1,553,040 50,429,956 48,966,031 1,463,925 109,039 5,885 103,154 0 

53 ITG DERIVATIVES LLC FCM BD NFA 8/31/2012 4,210,390 1,000,000 3,210,390 0 0 0 0 0 0 0 

54 JEFFERIES & COMPANY INC FCM BD NFA 8/31/2012 802,206,883 45,995,456 756,211,427 0 0 0 0 0 0 0 

55 JEFFERIES BACHE LLC FCM CBOT 8/31/2012 229,431,000 169,640,720 59,790,280 2,600,904,000 2,494,179,000 106,725,000 572,232,000 492,504,000 79,728,000 0 

56 JP MORGAN CLEARING CORP FCM BD NFA 8/31/2012 7,125,726,316 1,822,777,170 5,302,949,146 958,755,956 715,373,659 243,382,297 636,067,385 418,485,166 217,582,219 0 

Futures Commission Merchant / Retail Foreign Exchange 

Dealer
SELECTED FCM FINANCIAL DATA AS OF 

August 31, 2012

FROM REPORTS FILED BY 

September 30, 2012

2 of 4

1

2

3

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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

63

64

65

66

67

68

69

70

71

72

73

74

75

76

77

78

79

80

81

82

83

84

85

86

87

88

89

90

91

92

93

94

95

96

97

98

99

100

101

102

103

104

105

106

107

108

109

110

111

112

113

114

115

116

117

118

57 JP MORGAN SECURITIES LLC FCM BD CEI 8/31/2012 12,480,762,017 1,548,832,211 10,931,929,806 19,370,811,720 17,522,287,175 1,848,524,545 3,927,120,985 3,548,520,381 378,600,604 0 

58 KNIGHT CAPITAL AMERICAS LLC FCM BD CME 8/31/2012 275,324,911 20,000,000 255,324,911 443,656,861 427,853,991 15,802,870 13,281,785 6,951,253 6,330,532 23,070,880 

59 LEK SECURITIES CORPORATION FCM BD NFA 8/31/2012 11,860,070 1,500,000 10,360,070 6,659,931 4,503,277 2,156,654 0 0 0 0 

60 LINN GROUP THE FCM NFA 8/31/2012 3,695,406 2,037,758 1,657,648 80,475,922 76,805,513 3,670,409 252,860 40,586 212,274 0 

61 LIQUID FUTURES LLC FCM NFA 8/31/2012 1,614,132 1,036,000 578,132 0 0 0 0 0 0 0 

62 LPL FINANCIAL LLC FCM BD NFA 8/31/2012 120,138,678 6,287,628 113,851,050 0 0 0 0 0 0 0 

63 MACQUARIE FUTURES USA LLC FCM CBOT 8/31/2012 93,512,262 66,423,139 27,089,123 770,157,308 681,598,097 88,559,211 110,558,611 90,905,142 19,653,469 0 

64 MAREX NORTH AMERICA LLC FCM CME 8/31/2012 12,355,123 7,195,850 5,159,273 97,201,150 92,047,010 5,154,140 4,904,328 4,394,838 509,490 0 

65 MAREX USA LIMITED FCM NFA 8/31/2012 2,758,868 1,000,000 1,758,868 0 0 0 0 0 0 0 

66 MB TRADING FUTURES INC FCMRFD NFA 8/31/2012 23,803,804 21,145,186 2,658,618 0 0 0 0 0 0 32,903,721 

67 MBF CLEARING CORP FCM NFA 8/31/2012 2,099,107 1,000,000 1,099,107 0 0 0 0 0 0 0 

68 MCVEAN TRADING & INVESTMENTS LLC FCM NFA 8/31/2012 13,342,579 4,450,370 8,892,209 975,702,988 955,087,250 20,615,738 4,014,730 3,532,790 481,940 0 

69 MERRILL LYNCH PIERCE FENNER & SMITH FCM BD CBOT 8/31/2012 11,008,349,620 713,535,088 10,294,814,532 8,158,478,629 7,648,608,193 509,870,436 2,525,450,790 2,294,420,346 231,030,444 0 

70 MERRILL LYNCH PROFESSIONAL CLEARING CORP FCM BD NFA 8/31/2012 2,011,401,591 248,960,763 1,762,440,828 1,521,235,990 928,762,271 592,473,719 162,194,834 60,546,956 101,647,878 0 

71 MID CO COMMODITIES INC FCM NFA 8/31/2012 9,552,067 6,870,420 2,681,647 70,537,127 60,182,174 10,354,953 880,616 308,245 572,371 0 

72 MITSUBISHI UFJ SECURITIES USA INC FCM BD NFA 8/31/2012 216,003,510 1,832,686 214,170,824 0 0 0 0 0 0 0 

73 MITSUI BUSSAN COMMODITIES USA INC FCM NFA 8/31/2012 2,885,269 1,000,000 1,885,269 0 0 0 0 0 0 0 

74 MIZUHO SECURITIES USA INC FCM BD CME 8/31/2012 437,490,046 186,876,738 250,613,308 1,136,434,964 1,008,949,680 127,485,284 1,337,635,176 1,198,824,877 138,810,299 0 

75 MORGAN KEEGAN & COMPANY INC FCM BD NFA 8/31/2012 277,328,013 7,634,585 269,693,428 0 0 0 0 0 0 0 

76 MORGAN STANLEY & CO LLC FCM BD CME 8/31/2012 7,045,693,387 1,286,715,059 5,758,978,328 7,841,481,996 7,732,823,629 108,658,367 1,765,121,312 1,657,163,382 107,957,930 0 

77 MORGAN STANLEY SMITH BARNEY LLC FCM BD NFA 8/31/2012 2,395,476,726 141,259,053 2,254,217,673 776,529,224 737,732,054 38,797,170 136,448,834 109,826,687 26,622,147 0 

78 NATIXIS SECURITIES AMERICAS LLC FCM BD NFA 8/31/2012 356,116,147 1,574,271 354,541,876 0 0 0 0 0 0 0 

79 NEUBERGER BERMAN LLC FCM BD NFA 8/31/2012 27,431,666 1,500,000 25,931,666 0 0 0 0 0 0 0 

80 NEWEDGE USA LLC FCM BD NYME 8/31/2012 1,920,783,169 1,250,519,619 670,263,550 17,343,834,743 16,820,095,133 523,739,610 6,150,470,263 5,601,467,807 549,002,456 0 

81 NOMURA SECURITIES INTERNATIONAL INC FCM BD CBOT 8/31/2012 1,945,294,031 30,363,150 1,914,930,881 79,960,339 58,198,269 21,762,070 1,367,097 179,988 1,187,109 0 

82 OANDA CORPORATION FCMRFD NFA 8/31/2012 145,769,574 27,621,157 118,148,417 0 0 0 0 0 0 162,423,138 

83 OPEN E CRY LLC FCM NFA 8/31/2012 2,520,598 1,170,429 1,350,169 109,677,814 105,673,040 4,004,774 3,605,668 2,974,383 631,285 0 

84 OPPENHEIMER & CO INC FCM BD NFA 8/31/2012 146,490,556 23,219,283 123,271,273 32,783,638 25,990,635 6,793,003 0 0 0 0 

85 OPTIONSXPRESS INC FCM BD NFA 8/31/2012 76,128,950 4,682,750 71,446,200 108,473,465 94,054,672 14,418,793 5,547,654 3,230,299 2,317,355 0 

86 PHILLIP FUTURES INC FCM CME 8/31/2012 27,562,595 20,000,000 7,562,595 201,113,532 173,025,101 28,088,431 301,374 0 301,374 0 

87 PIONEER FUTURES INC FCM NFA 8/31/2012 1,765,567 1,000,000 765,567 0 0 0 0 0 0 0 

88 RAND FINANCIAL SERVICES INC FCM CME 8/31/2012 75,474,388 24,568,995 50,905,393 473,017,000 430,166,600 42,850,400 38,930,900 18,105,400 20,825,500 0 

89 RAYMOND JAMES & ASSOCIATES INC FCM BD NFA 8/31/2012 320,649,399 31,396,794 289,252,605 0 0 0 0 0 0 0 

90 RBC CAPITAL MARKETS LLC FCM BD CME 8/31/2012 1,411,766,308 93,685,389 1,318,080,919 691,226,790 642,731,461 48,495,329 108,304,942 77,458,522 30,846,420 0 

91 RBS SECURITIES INC FCM BD CBOT 8/31/2012 4,330,720,274 220,827,897 4,109,892,377 1,969,558,935 1,831,769,520 137,789,415 154,947,835 37,815,340 117,132,495 0 

92 RJ OBRIEN ASSOCIATES LLC FCM CME 8/31/2012 207,812,362 157,839,370 49,972,992 4,291,818,048 4,191,354,857 100,463,191 222,533,235 189,208,326 33,324,909 1,754,017 

93 ROSENTHAL COLLINS GROUP LLC FCM CME 8/31/2012 98,781,884 74,490,580 24,291,304 1,893,882,560 1,871,771,598 22,110,962 123,817,200 113,718,671 10,098,529 0 

94 SANFORD C BERNSTEIN & CO LLC FCM BD NFA 8/31/2012 150,047,733 17,323,204 132,724,529 0 0 0 0 0 0 0 

95 SANTANDER INVESTMENT SECURITIES INC FCM BD NYME 8/31/2012 180,063,602 9,212,388 170,851,214 508,443,332 506,129,603 2,313,729 0 0 0 0 

96 STATE STREET GLOBAL MARKETS LLC FCM BD CME 8/31/2012 464,075,710 6,002,919 458,072,791 226,613,923 74,320,165 152,293,758 53,329,700 13,555,683 39,774,017 0 

97 STEPHENS INC FCM BD NFA 8/31/2012 88,437,316 18,306,413 70,130,903 0 0 0 0 0 0 0 

98 STRAITS FINANCIAL LLC FCM CME 8/31/2012 9,756,468 2,274,255 7,482,213 77,431,140 71,505,523 5,925,617 10,537,197 10,076,851 460,346 0 

99 TD AMERITRADE INC FCM BD NFA 8/31/2012 250,016,836 7,795,139 242,221,697 130,516,521 105,133,656 25,382,865 0 0 0 0 

100 TIMBER HILL LLC FCM BD CME 8/31/2012 709,997,568 41,388,610 668,608,958 556,800,795 554,275,476 2,525,319 0 0 0 0 

101 TRADELINK LLC FCM BD CBOT 8/31/2012 15,496,198 1,000,000 14,496,198 0 0 0 0 0 0 0 

102 TRADESTATION SECURITIES INC FCM BD NFA 8/31/2012 51,178,351 3,312,493 47,865,858 430,867,740 421,008,125 9,859,615 16,253,561 15,191,844 1,061,717 0 

103 TRADITION SECURITIES AND FUTURES INC FCM NFA 8/31/2012 1,515,063 1,000,000 515,063 0 0 0 0 0 0 0 

104 UBS FINANCIAL SERVICES INC FCM BD NFA 8/31/2012 1,210,918,705 110,062,886 1,100,855,819 139,279,049 112,913,346 26,365,703 25,388,920 2,912,228 22,476,692 0 

105 UBS SECURITIES LLC FCM BD CBOT 8/31/2012 12,825,296,146 920,027,896 11,905,268,250 9,560,318,303 8,963,810,302 596,508,001 4,474,515,261 4,071,680,940 402,834,321 0 

106 VELOCITY FUTURES LLC FCM NFA 8/31/2012 1,505,642 1,000,000 505,642 60,898,378 59,976,030 922,348 15,698,719 15,010,804 687,915 0 

107 VISION FINANCIAL MARKETS LLC FCM BD CME 8/31/2012 23,708,494 13,596,849 10,111,645 539,662,655 522,394,474 17,268,181 11,021,298 8,666,454 2,354,844 0 

108 WELLS FARGO ADVISORS FINANCIAL NETWORK LLC FCM BD NFA 8/31/2012 34,435,947 1,000,000 33,435,947 0 0 0 0 0 0 0 

109 WELLS FARGO ADVISORS LLC FCM BD NFA 8/31/2012 1,172,204,841 1,500,000 1,170,704,841 0 0 0 0 0 0 0 

110 WELLS FARGO SECURITIES LLC FCM BD CME 8/31/2012 2,550,662,718 17,437,141 2,533,225,577 0 0 0 0 0 0 0 

111 WHITE COMMERCIAL CORPORATION FCM NFA 8/31/2012 2,569,165 1,000,000 1,569,165 0 0 0 0 0 0 0 

112 XPRESSTRADE LLC RFED NFA 8/31/2012 22,876,129 20,000,000 2,876,129 0 0 0 0 0 0 821,332 
SELECTED FCM FINANCIAL DATA AS OF 

August 31, 2012

FROM REPORTS FILED BY 

September 30, 2012

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

119

120

121

122

123

124

125

126

127

128

129

130

131

132

133

134

135

136

113 YORK BUSINESS ASSOCIATES LLC FCM NFA 8/31/2012 3,335,188 1,000,000 2,335,188 67,031,604 64,505,060 2,526,544 2,453,680 1,556,231 897,449 0 

Totals 157,469,553,139 147,823,278,061 9,646,275,078 43,297,030,904 38,519,967,783 4,777,063,121 982,254,494

July Web Page Update 113

Additions 0

None

Deletions 0

None

Name Changes

None

August Web Page Update 113
SELECTED FCM FINANCIAL DATA AS OF 

August 31, 2012

FROM REPORTS FILED BY 

September 30, 2012

4 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

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

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167

(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.