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 06/30/2017 606,134,689 144,466,484 461,668,205 2,743,482,697 2,415,201,957 328,280,740 162,649,236 143,936,885 115,681,697 28,255,188 11,568,170 0 0 0 0 0

2 ADM INVESTOR SERVICES INC FCM CBOT 06/30/2017 319,885,683 180,843,208 139,042,475 4,598,236,350 4,372,472,116 225,764,234 120,000,000 398,863,877 341,562,406 57,301,471 20,000,000 13,493,328 3,275,660 10,217,668 8,000,000 0

3 ADVANTAGE FUTURES LLC FCM CME 06/30/2017 26,626,079 9,724,063 16,902,016 497,220,925 481,034,916 16,186,009 9,500,000 34,293,015 32,561,067 1,731,948 1,000,000 0 0 0 0 0

4 AMP GLOBAL CLEARING LLC FCM NFA 06/30/2017 2,855,740 1,500,000 1,355,740 53,134,636 50,006,241 3,128,395 900,000 2,032,787 1,720,500 312,287 150,000 0 0 0 0 0

5 APERTURE LLC FCM BD NFA 06/30/2017 37,105,397 1,471,674 35,633,723 35,040,462 31,561,480 3,478,982 1,600,000 0 0 0 0 0 0 0 0 0

6 APEX CLEARING CORPORATION FCM BD NFA 06/30/2017 132,359,707 25,219,851 107,139,856 549,795 2,623 547,172 500,000 0 0 0 0 0 0 0 0 0

7 BARCLAYS CAPITAL INC FCM BD NYME 06/30/2017 6,910,343,359 1,175,900,532 5,734,442,827 5,630,003,382 5,024,922,393 605,080,989 276,365,060 3,840,290,676 3,433,750,828 406,539,848 172,374,292 6,488,374,603 5,622,444,629 865,929,974 223,211,052 0

8 BGC FINANCIAL LP FCM BD NFA 06/30/2017 36,078,842 2,396,266 33,682,576 0 0 0 0 0 0 0 0 0 0 0 0 0

9 BNP PARIBAS PRIME BROKERAGE INC FCM BD NYME 06/30/2017 1,540,321,011 166,257,351 1,374,063,660 1,930,607,276 1,741,941,218 188,666,058 150,000,000 39,695,052 30,547,683 9,147,369 7,500,000 18,738,285 9,072,428 9,665,857 7,500,000 0

10 BNP PARIBAS SECURITIES CORP FCM BD CBOT 06/30/2017 1,594,202,236 213,025,054 1,381,177,182 1,090,263,130 970,084,389 120,178,741 82,500,000 90,007,782 61,064,958 28,942,824 22,500,000 907,649,239 756,987,942 150,661,297 120,000,000 0

11 BOCI COMMODITIES & FUTURES USA LLC FCM CME 06/30/2017 8,357,243 3,548,132 4,809,111 97,166,403 93,489,298 3,677,105 1,000,000 6 0 6 1 6 0 6 1 0

12 CANTOR FITZGERALD & CO FCM BD CBOT 06/30/2017 267,213,258 7,081,027 260,132,231 4,969,921 0 4,969,921 3,000,000 0 0 0 0 0 0 0 0 0

13 CHS HEDGING LLC FCM CBOT 06/30/2017 39,571,622 9,738,430 29,833,192 181,602,598 120,914,301 60,688,297 13,600,000 1,671,013 146,830 1,524,183 200,000 503,912 0 503,912 120,000 0

14 CITIGROUP GLOBAL MARKETS INC FCM BD SD CBOT/NFA 06/30/2017 10,701,191,335 1,890,293,028 8,810,898,307 7,552,693,307 7,147,037,112 405,656,195 288,400,000 1,936,773,244 1,631,529,442 305,243,802 150,000,000 18,380,400,591 17,941,935,645 438,464,946 317,375,000 0

15 CREDIT SUISSE SECURITIES (USA) LLC FCM BD CBOT 06/30/2017 9,720,729,299 1,522,362,179 8,198,367,120 6,769,803,980 6,369,765,013 400,038,967 318,488,251 3,296,202,731 3,103,925,326 192,277,405 155,196,266 13,558,111,729 12,605,080,440 953,031,289 630,254,022 0

16 CUNNINGHAM COMMODITIES LLC FCM CBOT 06/30/2017 5,136,026 1,317,029 3,818,997 75,198,754 71,591,024 3,607,730 3,050,000 792,535 350,490 442,045 50,000 0 0 0 0 0

17 DAIWA CAPITAL MARKETS AMERICA INC FCM BD CME 06/30/2017 641,563,723 7,539,357 634,024,366 2,166,676 0 2,166,676 1 563,311 0 563,311 1 0 0 0 0 0

18 DEUTSCHE BANK SECURITIES INC FCM BD CBOT 06/30/2017 12,643,051,115 658,769,415 11,984,281,700 3,182,035,487 2,981,185,032 200,850,455 125,000,000 820,062,160 634,562,499 185,499,661 75,000,000 25,724,751 1,050,715 24,674,036 20,000,000 0

19 DORMAN TRADING LLC FCM CME 06/30/2017 11,375,769 2,098,170 9,277,599 180,988,163 176,810,425 4,177,738 2,000,000 3,903,769 3,219,769 684,000 200,000 0 0 0 0 0

20 E D & F MAN CAPITAL MARKETS INC FCM BD CME 06/30/2017 141,451,075 51,073,255 90,377,820 1,547,099,184 1,463,573,878 83,525,306 35,000,000 39,739,849 31,619,717 8,120,132 5,000,000 2,842,389 1,696,713 1,145,676 500,000 0

21 E TRADE SECURITIES LLC FCM BD NFA 06/30/2017 1,062,299,207 181,072,354 881,226,853 70,687,221 52,033,405 18,653,816 10,000,000 1,000,000 0 1,000,000 1,000,000 0 0 0 0 0

22 EFL FUTURES LIMITED FCM CME 06/30/2017 40,985,787 15,823,652 25,162,135 226,795,133 212,893,650 13,901,483 5,000,000 0 0 0 0 0 0 0 0 0

23 GAIN CAPITAL GROUP LLC FCMRFD NFA 06/30/2017 44,322,319 33,986,458 10,335,861 224,038,239 211,489,528 12,548,711 10,000,000 4,624,779 2,905,509 1,719,270 1,000,000 0 0 0 0 260,492,683

24 GH FINANCIALS LLC FCM CME 06/30/2017 21,838,415 7,263,938 14,574,477 131,618,864 118,411,666 13,207,198 6,000,000 3,071,589 1,981,919 1,089,670 550,000 0 0 0 0 0

25 GOLDMAN SACHS & CO LLC FCM BD SD CBOT/NFA 06/30/2017 17,696,098,548 2,405,102,603 15,290,995,945 23,192,214,895 22,316,199,978 876,014,917 675,000,000 11,858,649,649 11,240,129,819 618,519,830 475,000,000 4,631,093,326 4,136,236,152 494,857,174 350,000,000 0

26 HSBC SECURITIES USA INC FCM BD CME 06/30/2017 966,456,106 243,351,192 723,104,914 1,385,656,403 1,305,459,506 80,196,897 70,000,000 236,173,101 202,717,360 33,455,741 25,000,000 1,442,749,769 1,308,231,656 134,518,113 120,000,000 0

27 INTERACTIVE BROKERS LLC FCM BD CME 06/30/2017 3,727,403,779 345,170,403 3,382,233,376 4,323,643,778 4,115,619,176 208,024,602 155,000,000 481,417,204 359,537,076 121,880,128 80,000,000 0 0 0 0 38,914,467

28 INTL FCSTONE FINANCIAL INC FCM BD CME 06/30/2017 148,284,161 77,685,283 70,598,878 2,075,039,381 2,024,913,831 50,125,550 35,000,000 137,820,989 121,864,899 15,956,090 8,000,000 0 0 0 0 0

29 IRONBEAM INC FCM NFA 06/30/2017 3,598,290 1,000,000 2,598,290 76,937,453 75,474,205 1,463,248 800,000 485,685 272,288 213,397 50,000 0 0 0 0 0

30 JEFFERIES LLC FCM BD NFA 06/30/2017 1,360,004,150 85,017,616 1,274,986,534 0 0 0 0 0 0 0 0 0 0 0 0 0

31 JP MORGAN SECURITIES LLC FCM BD SD CEI/NFA 06/30/2017 13,875,114,650 2,766,397,013 11,108,717,637 17,906,828,489 16,438,041,354 1,468,787,135 904,092,275 4,522,724,749 4,107,348,013 415,376,736 349,124,581 12,781,121,346 11,777,634,109 1,003,487,237 736,102,132 0

32 MACQUARIE FUTURES USA LLC FCM CBOT 06/30/2017 279,732,766 128,597,872 151,134,894 1,943,544,056 1,729,436,234 214,107,822 100,000,000 57,882,923 38,401,049 19,481,874 7,000,000 22,550,571 3,848,128 18,702,443 1,000,000 0

33 MAREX NORTH AMERICA LLC FCM CME 06/30/2017 23,138,311 13,417,470 9,720,841 166,624,339 162,941,371 3,682,968 2,800,000 61,937,238 60,773,236 1,164,002 500,000 0 0 0 0 0

34 MCVEAN TRADING & INVESTMENTS LLC FCM NFA 06/30/2017 14,125,071 2,611,457 11,513,614 760,178,501 738,904,217 21,274,284 18,000,000 2,567,861 0 2,567,861 1,000,000 0 0 0 0 0

35 MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED FCM BD CBOT 06/30/2017 12,261,431,302 1,711,462,222 10,549,969,080 13,666,642,667 13,376,047,340 290,595,327 200,000,000 4,077,929,701 3,821,087,020 256,842,681 150,000,000 6,110,564,474 5,763,823,106 346,741,368 150,000,000 0

36 MERRILL LYNCH PROFESSIONAL CLEARING CORP FCM BD NFA 06/30/2017 3,501,086,476 639,668,309 2,861,418,167 1,701,662,763 1,325,254,319 376,408,444 300,000,000 0 0 0 0 0 0 0 0 0

37 MID CO COMMODITIES INC FCM NFA 06/30/2017 8,159,201 2,290,540 5,868,661 21,453,557 12,328,842 9,124,715 5,138,000 0 0 0 0 0 0 0 0 0

38 MINT BROKERS FCM BD NFA 06/30/2017 4,970,960 1,000,000 3,970,960 0 0 0 0 0 0 0 0 0 0 0 0 0

39 MIZUHO SECURITIES USA LLC FCM BD SD CME/NFA 06/30/2017 704,514,943 217,717,757 486,797,186 2,530,132,697 2,329,184,046 200,948,651 125,000,000 700,786,472 574,284,475 126,501,997 70,000,000 35,196,508 4,219,678 30,976,830 15,000,000 0

40 MORGAN STANLEY & CO LLC FCM BD SD CME/NFA 06/30/2017 10,062,168,588 2,076,119,776 7,986,048,812 14,822,905,951 14,552,261,212 270,644,739 210,000,000 4,543,439,693 4,337,449,329 205,990,364 160,000,000 13,709,491,307 13,575,677,763 133,813,544 92,000,000 0

41 NANHUA USA LLC FCM CME 06/30/2017 18,269,801 3,323,415 14,946,386 81,268,125 68,599,472 12,668,653 3,500,000 0 0 0 0 0 0 0 0 0

42 NOMURA SECURITIES INTERNATIONAL INC FCM BD CBOT 06/30/2017 2,184,160,426 148,247,967 2,035,912,459 266,703,675 163,197,469 103,506,206 15,000,000 17,525,610 23,621 17,501,989 1,000,000 0 0 0 0 0

43 OANDA CORPORATION FCMRFD NFA 06/30/2017 77,562,048 52,622,065 24,939,983 0 0 0 0 0 0 0 0 0 0 0 0 171,815,977

44 OPTIONSXPRESS INC FCM BD NFA 06/30/2017 289,809,955 7,249,112 282,560,843 124,866,777 81,661,978 43,204,799 12,249,297 2,300,987 811,898 1,489,089 121,785 0 0 0 0 0

45 PHILLIP CAPITAL INC FCM BD CME 06/30/2017 32,479,874 15,524,028 16,955,846 273,758,840 259,049,800 14,709,040 5,000,000 33,329,957 29,871,219 3,458,738 2,000,000 0 0 0 0 0

46 PICTET OVERSEAS INC FCM BD NFA 06/30/2017 18,765,606 1,000,000 17,765,606 1,500,000 0 1,500,000 1,500,000 500,000 0 500,000 500,000 0 0 0 0 0

47 RAND FINANCIAL SERVICES INC FCM CME 06/30/2017 85,132,687 12,780,521 72,352,166 196,467,500 153,870,000 42,597,500 4,616,100 48,443,400 24,762,800 23,680,600 742,900 0 0 0 0 0

48 RBC CAPITAL MARKETS LLC FCM BD CME 06/30/2017 1,854,006,426 230,984,515 1,623,021,911 2,987,076,013 2,717,726,342 269,349,671 200,000,000 297,154,890 255,172,516 41,982,374 20,000,000 707,022,562 448,363,349 258,659,213 40,000,000 0

49 RBS SECURITIES INC FCM BD CBOT 06/30/2017 613,211,828 38,168,936 575,042,892 779,796,079 576,292,734 203,503,345 125,000,000 154,660,331 27,700,593 126,959,738 100,000,000 0 0 0 0 0

50 RJ OBRIEN ASSOCIATES LLC FCM SD CME/NFA 06/30/2017 207,238,673 149,241,167 57,997,506 3,985,768,176 3,894,390,947 91,377,229 50,000,000 251,509,584 225,537,972 25,971,612 20,000,000 0 0 0 0 0

51 ROSENTHAL COLLINS GROUP LLC FCM CME 06/30/2017 75,281,057 51,127,717 24,153,340 1,204,296,889 1,180,495,215 23,801,674 18,000,000 42,466,655 31,560,961 10,905,694 8,000,000 0 0 0 0 0

52 SANTANDER INVESTMENT SECURITIES INC FCM BD NYME 06/30/2017 695,584,400 19,595,357 675,989,043 674,785,430 665,100,170 9,685,260 8,000,000 0 0 0 0 0 0 0 0 0

53 SCOTIA CAPITAL USA INC FCM BD CME 06/30/2017 685,691,759 48,046,687 637,645,072 0 0 0 0 0 0 0 0 0 0 0 0 0

54 SG AMERICAS SECURITIES LLC FCM BD CME 06/30/2017 4,183,385,909 1,169,542,680 3,013,843,229 13,190,154,307 12,334,078,060 856,076,247 500,000,000 4,876,972,192 4,256,905,629 620,066,563 255,000,000 617,286,494 368,793,882 248,492,612 75,000,000 0

55 STRAITS FINANCIAL LLC FCM CME 06/30/2017 21,534,409 7,566,085 13,968,324 219,461,554 204,427,873 15,033,681 2,000,000 35,708,106 29,930,703 5,777,403 300,000 0 0 0 0 0

56 TD AMERITRADE FUTURES & FOREX LLC FCM NFA 06/30/2017 70,860,542 22,488,535 48,372,007 314,300,978 219,988,176 94,312,802 25,000,000 0 0 0 0 0 0 0 0 59,770,708

57 TRADESTATION SECURITIES INC FCM BD CME 06/30/2017 78,285,900 3,540,704 74,745,196 536,220,736 524,559,870 11,660,866 9,000,000 27,988,858 24,710,280 3,278,578 800,000 0 0 0 0 0

58 UBS FINANCIAL SERVICES INC FCM BD NFA 06/30/2017 1,351,169,445 123,616,508 1,227,552,937 122,347,118 88,665,727 33,681,391 22,000,000 53,733,956 10,661,133 43,072,823 15,000,000 0 0 0 0 0

59 UBS SECURITIES LLC FCM BD CBOT 06/30/2017 5,747,943,825 817,278,085 4,930,665,740 7,793,941,928 7,293,369,228 500,572,700 425,000,000 3,998,704,729 3,621,538,255 377,166,474 300,000,000 945,715,201 673,227,878 272,487,323 200,000,000 0

60 UOBBF CLEARING LIMITED FCM CME 06/30/2017 26,153,766 4,975,480 21,178,286 133,212,668 109,286,693 23,925,975 2,000,000 0 0 0 0 0 0 0 0 0

61 WEDBUSH SECURITIES INC FCM BD CBOT 06/30/2017 171,061,137 23,032,170 148,028,967 1,453,821,968 1,436,315,415 17,506,553 13,000,000 20,123,150 17,245,648 2,877,502 1,000,000 0 0 0 0 0

62 WELLS FARGO SECURITIES LLC FCM BD CME 06/30/2017 8,428,574,791 836,864,742 7,591,710,049 3,906,736,794 3,611,641,099 295,095,695 225,000,000 379,931,008 315,570,469 64,360,539 25,000,000 7,513,838,372 6,883,012,680 630,825,692 500,000,000 0

63 YORK BUSINESS ASSOCIATES LLC FCM NFA 06/30/2017 4,903,882 1,000,000 3,903,882 43,395,368 39,042,216 4,353,152 2,000,000 1,959,204 1,459,266 499,938 200,000 0 0 0 0 0

Totals 159,688,748,436 150,230,245,780 9,458,502,656 6,093,248,220 47,582,352,942 43,164,458,167 4,417,894,775 2,698,627,996 87,912,468,763 81,884,612,553 6,027,856,210 3,606,062,207 530,993,835

May Web Page Update 64

Additions 0

None

Deletions 1

MUFG SECURITIES AMERICAS INC

Name Changes

None

June Web Page Update 63
 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.

•  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

(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: 

(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.

•  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.

(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.

(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. 

(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.