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 09/30/17 614,830,833 154,046,044 460,784,789 2,812,331,788 2,493,904,732 318,427,056 158,806,782 142,155,726 113,261,825 28,893,901 11,326,183 0 0 0 0 0

2 ADM INVESTOR SERVICES INC FCM CBOT 09/30/17 310,282,825 188,926,860 121,355,965 4,601,925,051 4,389,923,617 212,001,434 120,000,000 410,207,457 352,688,297 57,519,160 20,000,000 15,654,985 5,180,873 10,474,112 8,000,000 0

3 ADVANTAGE FUTURES LLC FCM CME 09/30/17 24,330,635 10,194,495 14,136,140 563,714,352 547,880,293 15,834,059 7,000,000 49,304,687 47,600,698 1,703,989 1,000,000 0 0 0 0 0

4 AMP GLOBAL CLEARING LLC FCM NFA 09/30/17 2,895,875 1,000,000 1,895,875 52,844,621 49,739,605 3,105,016 900,000 2,558,221 2,250,389 307,832 150,000 0 0 0 0 0

5 APEX CLEARING CORPORATION FCM BD NFA 09/29/17 135,271,617 16,006,570 119,265,047 1,617,950 764,610 853,340 500,000 0 0 0 0 0 0 0 0 0

6 BARCLAYS CAPITAL INC FCM BD NYME 09/30/17 7,193,675,300 1,084,982,849 6,108,692,451 5,347,359,349 4,746,032,623 601,326,726 285,236,561 3,885,645,404 3,460,299,626 425,345,778 168,170,562 5,645,763,559 4,759,849,770 885,913,789 188,966,036 0

7 BGC FINANCIAL LP FCM BD NFA 09/30/17 35,120,777 3,313,155 31,807,622 0 0 0 0 0 0 0 0 0 0 0 0 0

8 BNP PARIBAS PRIME BROKERAGE INC FCM BD NYME 09/30/17 1,329,781,978 171,498,427 1,158,283,551 1,903,254,000 1,712,939,320 190,314,680 150,000,000 66,061,832 43,047,806 23,014,026 7,500,000 19,716,335 10,011,459 9,704,876 7,500,000 0

9 BNP PARIBAS SECURITIES CORP FCM BD CBOT 09/30/17 1,518,617,915 211,970,847 1,306,647,068 1,134,251,364 1,030,749,170 103,502,194 82,500,000 167,906,701 139,091,348 28,815,353 22,500,000 1,068,603,667 918,182,986 150,420,681 120,000,000 0

10 BOCI COMMODITIES & FUTURES USA LLC FCM CME 09/30/17 8,065,380 1,214,409 6,850,971 40,642,067 35,212,063 5,430,004 1,000,000 6 0 6 1 6 0 6 1 0

11 CANTOR FITZGERALD & CO FCM BD CBOT 09/30/17 277,827,694 9,172,281 268,655,413 4,969,921 0 4,969,921 3,000,000 0 0 0 0 0 0 0 0 0

12 CHS HEDGING LLC FCM CBOT 09/30/17 42,402,142 8,729,169 33,672,973 178,690,356 129,813,726 48,876,630 13,600,000 1,520,988 0 1,520,988 200,000 503,912 0 503,912 120,000 0

13 CITIGROUP GLOBAL MARKETS INC FCM BD SD CBOT/NFA 09/30/17 10,458,451,884 1,973,792,247 8,484,659,637 7,193,283,691 6,738,538,074 454,745,617 321,800,000 1,878,697,338 1,553,115,808 325,581,530 150,000,000 20,286,702,217 19,804,873,523 481,828,694 380,200,000 0

14 CREDIT SUISSE SECURITIES (USA) LLC FCM BD CBOT 09/30/17 9,838,798,198 1,374,573,628 8,464,224,570 6,051,687,202 5,762,475,501 289,211,701 288,123,775 3,727,266,960 3,519,795,391 207,471,569 175,989,770 12,114,045,296 11,497,452,236 616,593,060 574,872,612 0

15 CUNNINGHAM COMMODITIES LLC FCM CBOT 09/30/17 5,112,324 1,414,249 3,698,075 92,200,959 88,580,955 3,620,004 3,050,000 867,390 419,142 448,248 100,000 0 0 0 0 0

16 DAIWA CAPITAL MARKETS AMERICA INC FCM BD CME 09/30/17 640,354,201 8,893,627 631,460,574 2,166,778 0 2,166,778 1 571,644 0 571,644 1 0 0 0 0 0

17 DEUTSCHE BANK SECURITIES INC FCM BD CBOT 09/30/17 12,715,388,752 262,237,665 12,453,151,087 2,510,365,390 2,309,170,581 201,194,809 125,000,000 1,048,146,566 923,054,312 125,092,254 75,000,000 0 0 0 0 0

18 DORMAN TRADING LLC FCM CME 09/30/17 12,743,285 2,332,120 10,411,165 194,101,965 190,062,661 4,039,304 2,000,000 4,630,079 3,853,618 776,461 200,000 0 0 0 0 0

19 E D & F MAN CAPITAL MARKETS INC FCM BD CME 09/30/17 139,557,863 47,017,783 92,540,080 1,433,934,644 1,354,608,081 79,326,563 35,000,000 52,544,826 43,967,762 8,577,064 5,000,000 3,165,162 2,011,366 1,153,796 500,000 0

20 E TRADE SECURITIES LLC FCM BD NFA 09/29/17 1,179,017,258 198,569,053 980,448,205 0 0 0 0 0 0 0 0 0 0 0 0 0

21 E*TRADE FUTURES LLC FCM BD NFA 09/30/17 17,762,810 3,535,083 14,227,727 77,953,941 66,478,298 11,475,643 5,000,000 0 0 0 0 0 0 0 0 0

22 EFL FUTURES LIMITED FCM CME 09/30/17 44,583,282 20,082,234 24,501,048 256,382,845 241,910,993 14,471,852 5,000,000 0 0 0 0 0 0 0 0 0

23 GAIN CAPITAL GROUP LLC FCMRFD NFA 09/30/17 45,641,032 34,398,256 11,242,776 231,209,196 217,861,202 13,347,994 10,000,000 4,595,050 3,173,360 1,421,690 1,000,000 0 0 0 0 261,117,152

24 GH FINANCIALS LLC FCM CME 09/30/17 21,544,807 4,620,084 16,924,723 99,368,091 85,872,329 13,495,762 4,000,000 3,102,135 2,000,710 1,101,425 550,000 0 0 0 0 0

25 GOLDMAN SACHS & CO LLC FCM BD SD CBOT/NFA 09/30/17 17,870,838,064 2,544,766,621 15,326,071,443 21,389,647,229 20,517,617,231 872,029,998 675,000,000 12,214,398,720 11,634,541,430 579,857,290 475,000,000 4,911,445,457 4,470,010,334 441,435,123 350,000,000 0

26 HSBC SECURITIES USA INC FCM BD CME 09/30/17 938,094,305 262,864,914 675,229,391 1,608,517,724 1,530,522,721 77,995,003 67,000,000 170,764,858 130,854,555 39,910,303 25,000,000 1,123,931,435 973,101,796 150,829,639 138,000,000 0

27 HUATAI FINANCIAL USA INC FCM NFA 09/30/17 2,393,719 1,000,000 1,393,719 0 0 0 0 0 0 0 0 0 0 0 0 0

28 INTERACTIVE BROKERS LLC FCM BD CME 09/30/17 3,868,989,442 418,269,964 3,450,719,478 4,609,070,511 4,409,735,938 199,334,573 155,000,000 531,553,595 400,652,777 130,900,818 80,000,000 0 0 0 0 38,790,256

29 INTL FCSTONE FINANCIAL INC FCM BD CME 09/30/17 157,131,718 73,949,678 83,182,040 2,287,435,639 2,235,299,334 52,136,305 35,000,000 165,096,137 148,743,261 16,352,876 8,000,000 0 0 0 0 0

30 IRONBEAM INC FCM NFA 09/30/17 3,890,195 1,381,889 2,508,306 74,334,960 72,811,938 1,523,022 800,000 463,298 216,180 247,118 50,000 0 0 0 0 0

31 JEFFERIES LLC FCM BD NFA 09/30/17 1,374,182,627 88,008,481 1,286,174,146 0 0 0 0 0 0 0 0 0 0 0 0 0

32 JP MORGAN SECURITIES LLC FCM BD SD CEI/NFA 09/30/17 15,584,886,197 2,815,274,951 12,769,611,246 17,480,861,624 16,101,892,879 1,378,968,745 885,604,108 5,341,763,470 4,828,082,639 513,680,831 410,387,024 12,731,123,714 11,692,017,166 1,039,106,548 730,751,073 0

33 MACQUARIE FUTURES USA LLC FCM CBOT 09/30/17 279,594,125 144,034,529 135,559,596 1,988,660,199 1,774,969,011 213,691,188 100,000,000 49,205,208 32,009,244 17,195,964 7,000,000 24,303,146 5,508,761 18,794,385 1,000,000 0

34 MAREX NORTH AMERICA LLC FCM CME 09/30/17 22,016,258 14,713,315 7,302,943 191,014,547 187,562,755 3,451,792 2,800,000 71,556,135 70,526,748 1,029,387 500,000 0 0 0 0 0

35 MCVEAN TRADING & INVESTMENTS LLC FCM NFA 09/30/17 14,916,222 1,084,182 13,832,040 783,936,326 762,953,098 20,983,228 18,000,000 2,567,861 0 2,567,861 1,000,000 0 0 0 0 0

36 MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED FCM BD CBOT 09/30/17 12,862,563,537 1,712,997,035 11,149,566,502 13,177,842,819 12,888,985,379 288,857,440 200,000,000 4,474,137,062 4,220,531,740 253,605,322 150,000,000 6,248,543,906 5,924,106,732 324,437,174 150,000,000 0

37 MERRILL LYNCH PROFESSIONAL CLEARING CORP FCM BD NFA 09/30/17 3,423,473,046 598,572,546 2,824,900,500 1,253,024,289 823,594,325 429,429,964 300,000,000 0 0 0 0 0 0 0 0 0

38 MID CO COMMODITIES INC FCM NFA 09/30/17 8,553,607 2,515,637 6,037,970 29,882,868 20,287,715 9,595,153 5,138,000 0 0 0 0 0 0 0 0 0

39 MINT BROKERS FCM BD NFA 09/30/17 4,900,819 1,000,000 3,900,819 0 0 0 0 0 0 0 0 0 0 0 0 0

40 MIZUHO SECURITIES USA LLC FCM BD SD CME/NFA 09/30/17 664,869,384 232,156,698 432,712,686 3,113,853,058 2,892,789,220 221,063,838 125,000,000 798,330,866 673,982,539 124,348,327 70,000,000 34,316,482 4,250,414 30,066,068 15,000,000 0

41 MORGAN STANLEY & CO LLC FCM BD SD CME/NFA 09/30/17 10,612,719,858 2,054,754,882 8,557,964,976 14,283,320,169 13,939,574,027 343,746,142 285,000,000 4,919,150,244 4,725,953,251 193,196,993 140,000,000 13,634,160,636 13,445,648,030 188,512,606 92,000,000 0

42 NANHUA USA LLC FCM CME 09/30/17 18,295,699 1,944,603 16,351,096 57,464,973 45,192,966 12,272,007 3,500,000 0 0 0 0 0 0 0 0 0

43 NOMURA SECURITIES INTERNATIONAL INC FCM BD CBOT 09/30/17 2,070,155,672 202,939,700 1,867,215,972 251,603,514 147,162,659 104,440,855 15,000,000 17,739,658 64,029 17,675,629 1,000,000 0 0 0 0 0

44 OANDA CORPORATION FCMRFD NFA 09/30/17 84,802,849 52,175,036 32,627,813 0 0 0 0 0 0 0 0 0 0 0 0 171,467,045

45 OPTIONSXPRESS INC FCM BD NFA 09/30/17 295,015,830 6,797,715 288,218,115 115,704,496 70,072,205 45,632,291 10,510,831 2,160,978 658,072 1,502,906 98,711 0 0 0 0 0

46 PHILLIP CAPITAL INC FCM BD CME 09/30/17 37,518,087 13,602,833 23,915,254 248,039,014 232,412,065 15,626,949 5,000,000 12,762,452 10,326,564 2,435,888 2,000,000 0 0 0 0 0

47 PICTET OVERSEAS INC FCM BD NFA 09/30/17 17,693,389 1,000,000 16,693,389 1,500,000 0 1,500,000 1,500,000 500,000 0 500,000 500,000 0 0 0 0 0

48 RAND FINANCIAL SERVICES INC FCM CME 09/30/17 85,939,031 13,113,093 72,825,938 217,926,800 176,015,900 41,910,900 5,280,500 46,089,200 22,197,200 23,892,000 665,900 0 0 0 0 0

49 RBC CAPITAL MARKETS LLC FCM BD CME 09/30/17 1,955,002,733 234,476,317 1,720,526,416 3,093,966,873 2,810,981,295 282,985,578 200,000,000 294,124,135 250,668,712 43,455,423 20,000,000 561,747,411 301,674,697 260,072,714 40,000,000 0

50 RBS SECURITIES INC FCM BD CBOT 09/30/17 558,695,432 29,693,505 529,001,927 598,802,101 449,263,254 149,538,847 125,000,000 64,799,120 32,528,044 32,271,076 25,000,000 0 0 0 0 0

51 RJ OBRIEN ASSOCIATES LLC FCM SD CME/NFA 09/30/17 209,116,418 143,524,161 65,592,257 4,032,262,168 3,941,084,256 91,177,912 50,000,000 254,426,865 229,334,965 25,091,900 20,000,000 0 0 0 0 0

52 ROSENTHAL COLLINS GROUP LLC FCM CME 09/30/17 73,365,391 44,571,722 28,793,669 1,247,042,238 1,223,074,083 23,968,155 18,000,000 33,960,251 22,937,364 11,022,887 8,000,000 0 0 0 0 0

53 SANTANDER INVESTMENT SECURITIES INC FCM BD NYME 09/30/17 167,775,796 25,161,043 142,614,753 624,124,759 612,365,520 11,759,239 9,000,000 0 0 0 0 0 0 0 0 0

54 SCOTIA CAPITAL USA INC FCM BD CME 09/30/17 588,578,934 41,316,482 547,262,452 0 0 0 0 0 0 0 0 0 0 0 0 0

55 SG AMERICAS SECURITIES LLC FCM BD CME 09/30/17 4,437,160,185 1,178,557,091 3,258,603,094 13,474,649,872 12,731,332,404 743,317,468 500,000,000 5,265,628,425 4,803,712,401 461,916,024 255,000,000 658,956,573 438,491,501 220,465,072 75,000,000 0

56 STRAITS FINANCIAL LLC FCM CME 09/30/17 21,882,929 6,631,437 15,251,492 220,412,549 206,321,609 14,090,940 2,000,000 32,745,701 26,875,409 5,870,292 300,000 0 0 0 0 0

57 TD AMERITRADE FUTURES & FOREX LLC FCM NFA 09/30/17 77,453,737 22,521,946 54,931,791 309,533,739 234,912,964 74,620,775 25,000,000 0 0 0 0 0 0 0 0 60,438,928

58 TRADESTATION SECURITIES INC FCM BD CME 09/30/17 83,858,929 3,957,796 79,901,133 577,063,054 563,484,836 13,578,218 9,000,000 24,470,945 21,906,877 2,564,068 800,000 0 0 0 0 0

59 UBS FINANCIAL SERVICES INC FCM BD NFA 09/30/17 1,402,962,910 130,390,971 1,272,571,939 111,113,238 79,789,767 31,323,471 22,000,000 32,185,275 5,097,591 27,087,684 15,000,000 0 0 0 0 0

60 UBS SECURITIES LLC FCM BD CBOT 09/30/17 5,813,435,507 800,083,652 5,013,351,855 7,742,355,886 7,238,055,022 504,300,864 425,000,000 4,051,698,295 3,675,667,606 376,030,689 300,000,000 938,646,005 672,884,540 265,761,465 200,000,000 0

61 UOBBF CLEARING LIMITED FCM CME 09/30/17 26,092,247 3,025,748 23,066,499 85,914,290 61,878,595 24,035,695 2,000,000 0 0 0 0 0 0 0 0 0

62 WEDBUSH SECURITIES INC FCM BD CBOT 09/30/17 174,201,742 30,339,918 143,861,824 1,612,388,124 1,596,321,976 16,066,148 13,000,000 16,725,982 12,377,809 4,348,173 1,000,000 0 0 0 0 0

63 WELLS FARGO SECURITIES LLC FCM BD CME 09/30/17 8,443,142,483 816,064,372 7,627,078,111 4,268,480,768 3,968,723,948 299,756,820 225,000,000 417,198,558 364,649,620 52,548,938 25,000,000 7,171,801,915 6,575,618,537 596,183,378 500,000,000 0

64 YORK BUSINESS ASSOCIATES LLC FCM NFA 09/30/17 4,892,324 1,000,000 3,892,324 43,826,334 39,509,800 4,316,534 2,000,000 1,749,371 1,185,793 563,578 200,000 0 0 0 0 0

Totals 155,989,832,273 146,779,069,129 9,210,763,144 6,143,650,558 50,753,735,675 46,553,902,512 4,199,833,163 2,680,188,152 87,193,131,819 81,500,874,721 5,692,257,098 3,571,909,722 531,813,381

August Web Page Update 64

Additions 0

None

Deletions 0

None

Name Changes

None

September Web Page Update 64
 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.