Spreadsheet: 0c75ef82-c83c-4cd2-b94c-e62150c1e36e
Sheet: FCM Data September 2013

 |  | [NAME] As | DSRO | A/O | Adjusted | Net Capital | Excess | Customers' | Customers' | Excess/Deficient | Funds in Separate | Customer | Excess/Deficient | Total Amount
 | Futures Commission Merchant / Retail Foreign Exchange Dealer |  |  | 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 | 2013-09-30 00:00:00 | 474254371 | 119383756 | 354870615 | 2453290599 | 2215109300 | 238181299 | 136792668 | 100303442 | 36489226 | 0
2 | ADM INVESTOR SERVICES INC | FCM | CBOT | 2013-09-30 00:00:00 | 274214706 | 161983809 | 112230897 | 3130428924 | 2904912537 | 225516387 | 223959847 | 157033076 | 66926771 | 0
3 | ADVANTAGE FUTURES LLC | FCM | CME | 2013-09-30 00:00:00 | 21707480 | 11983302 | 9724178 | 490219339 | 476337543 | 13881796 | 35212711 | 32755606 | 2457105 | 0
4 | [NAME] (US) LLC | FCMRFD | NFA | 2013-09-30 00:00:00 | 20598941 | 20000000 | 598941 | 3366786 | 906768 | 2460018 | 3222849 | 1383954 | 1838895 | 764141
5 | AMERIPRISE FINANCIAL SERVICES INC | FCM BD | NFA | 2013-09-30 00:00:00 | 94914432 | 1000000 | 93914432 | 0 | 0 | 0 | 0 | 0 | 0 | 0
6 | AMP GLOBAL CLEARING LLC | FCM | NFA | 2013-09-30 00:00:00 | 2455937 | 1500000 | 955937 | 43950581 | 42649124 | 1301457 | 610881 | 433904 | 176977 | 0
7 | BARCLAYS CAPITAL INC | FCM BD | NYME | 2013-09-30 00:00:00 | 6377014854 | 1325297956 | 5051716898 | 6433689354 | 6195369101 | 238320253 | 4077109356 | 3838190653 | 238918703 | 0
8 | BGC FINANCIAL LP | FCM BD | NFA | 2013-09-30 00:00:00 | 50769696 | 3066649 | 47703047 | 0 | 0 | 0 | 0 | 0 | 0 | 0
9 | BNP PARIBAS PRIME BROKERAGE INC | FCM BD | NYME | 2013-09-30 00:00:00 | 3449699726 | 228574927 | 3221124799 | 2570099873 | 2314675427 | 255424446 | 18344434 | 1537676 | 16806758 | 0
10 | BNP PARIBAS SECURITIES CORP | FCM BD | CBOT | 2013-09-30 00:00:00 | 1504168886 | 209625054 | 1294543832 | 1217124083 | 989239987 | 227884096 | 6000000 | 0 | 6000000 | 0
11 | BNY MELLON CLEARING LLC | FCM | CME | 2013-09-30 00:00:00 | 285888490 | 20000000 | 265888490 | 243691889 | 116557582 | 127134307 | 35531290 | 15993869 | 19537421 | 0
12 | BOCI COMMODITIES & FUTURES USA LLC | FCM | NFA | 2013-09-30 00:00:00 | 4632267 | 1000000 | 3632267 | 0 | 0 | 0 | 0 | 0 | 0 | 0
13 | CANTOR FITZGERALD & CO | FCM BD | CBOT | 2013-09-30 00:00:00 | 201084080 | 11673471 | 189410609 | 6277097 | 1308107 | 4968990 | 0 | 0 | 0 | 0
14 | CAPITAL MARKET SERVICES LLC | FCM | NFA | 2013-09-30 00:00:00 | 1918277 | 1000000 | 918277 | 0 | 0 | 0 | 0 | 0 | 0 | 0
15 | CHS HEDGING INC | FCM | CBOT | 2013-09-30 00:00:00 | 26201682 | 10382993 | 15818689 | 176454849 | 150316262 | 26138587 | 977862 | 254673 | 723189 | 0
16 | CITADEL SECURITIES LLC | FCM BD | CME | 2013-09-30 00:00:00 | 351478749 | 1000000 | 350478749 | 0 | 0 | 0 | 0 | 0 | 0 | 0
17 | CITIGROUP GLOBAL MARKETS INC | FCM BD | CBOT | 2013-09-30 00:00:00 | 6343805740 | 751365911 | 5592439829 | 5816677700 | 5526563754 | 290113946 | 1115237751 | 929128137 | 186109614 | 0
18 | CREDIT SUISSE SECURITIES (USA) LLC | FCM BD | CBOT | 2013-09-30 00:00:00 | 8392250211 | 2137469190 | 6254781021 | 8551219227 | 7068897049 | 1482322178 | 3617923824 | 3077406564 | 540517260 | 0
19 | CROSSLAND LLC | FCM | CBOT | 2013-09-30 00:00:00 | 9203296 | 1840381 | 7362915 | 80057740 | 78420216 | 1637524 | 7491707 | 6866811 | 624896 | 0
20 | CUNNINGHAM COMMODITIES LLC | FCM | CBOT | 2013-09-30 00:00:00 | 2922977 | 1196195 | 1726782 | 65937838 | 64810005 | 1127833 | 571198 | 397722 | 173476 | 0
21 | DAIWA CAPITAL MARKETS AMERICA INC | FCM BD | CME | 2013-09-30 00:00:00 | 391941567 | 8617965 | 383323602 | 9210599 | 3972061 | 5238538 | 632094 | 0 | 632094 | 0
22 | DEUTSCHE BANK SECURITIES INC | FCM BD | CBOT | 2013-09-30 00:00:00 | 7271025770 | 633691782 | 6637333988 | 14520446103 | 13997233518 | 523212585 | 1156722073 | 925109595 | 231612478 | 0
23 | DORMAN TRADING LLC | FCM | CME | 2013-09-30 00:00:00 | 11120865 | 1647110 | 9473755 | 137451364 | 134454758 | 2996606 | 2401488 | 1949153 | 452335 | 0
24 | E D & F MAN CAPITAL MARKETS INC | FCM BD | CME | 2013-09-30 00:00:00 | 27918978 | 5990052 | 21928926 | 192427543 | 181785646 | 10641897 | 2470887 | 1843678 | 627209 | 0
25 | E TRADE CLEARING LLC | FCM BD | NFA | 2013-09-30 00:00:00 | 703751617 | 137060644 | 566690973 | 48201095 | 37439197 | 10761898 | 1465032 | 463370 | 1001662 | 0
26 | EFL FUTURES LIMITED | FCM | CME | 2013-09-30 00:00:00 | 41069250 | 14838632 | 26230618 | 210939226 | 198008042 | 12931184 | 0 | 0 | 0 | 0
27 | FCSTONE LLC | FCM | CME | 2013-09-30 00:00:00 | 106289858 | 66327380 | 39962478 | 1693519561 | 1669643105 | 23876456 | 82510713 | 59844591 | 22666122 | 0
28 | FIXI AMERICAS LLC | FCM | NFA | 2013-09-30 00:00:00 | 1581433 | 1000000 | 581433 | 0 | 0 | 0 | 0 | 0 | 0 | 0
29 | FOREX CAPITAL MARKETS LLC | FCMRFD | NFA | 2013-09-30 00:00:00 | 83804377 | 27229571 | 56574806 | 0 | 0 | 0 | 0 | 0 | 0 | 154591423
30 | FRIEDBERG MERCANTILE GROUP INC | FCM | NFA | 2013-09-30 00:00:00 | 6638263 | 1000000 | 5638263 | 4111825 | 3549129 | 562696 | 1215512 | 1155538 | 59974 | 0
31 | FRONTIER FUTURES INC | FCM | NFA | 2013-09-30 00:00:00 | 1988606 | 1000000 | 988606 | 28893892 | 27899037 | 994855 | 0 | 0 | 0 | 0
32 | FXDIRECTDEALER LLC | FCMRFD | NFA | 2013-09-30 00:00:00 | 21706794 | 20934416 | 772378 | 0 | 0 | 0 | 0 | 0 | 0 | 28688321
33 | GAIN CAPITAL GROUP LLC | FCMRFD | NFA | 2013-09-30 00:00:00 | 44047092 | 24780104 | 19266988 | 142133744 | 136196564 | 5937180 | 4087678 | 3264250 | 823428 | 105602082
34 | GFI SECURITIES LLC | FCM BD | NFA | 2013-09-30 00:00:00 | 15270509 | 1000000 | 14270509 | 0 | 0 | 0 | 0 | 0 | 0 | 0
35 | GH FINANCIALS LLC | FCM | CME | 2013-09-30 00:00:00 | 9906177 | 1000000 | 8906177 | 3296834 | 2520949 | 775885 | 330388 | 230169 | 100219 | 0
36 | GLOBAL FUTURES & FOREX LTD | FCMRFD | NFA | 2013-09-30 00:00:00 | 1588300 | 1000000 | 588300 | 0 | 0 | 0 | 0 | 0 | 0 | 0
37 | GOLDMAN SACHS & CO | FCM BD | CBOT | 2013-09-30 00:00:00 | 14578316287 | 2073238212 | 12505078075 | 18521256729 | 17982469556 | 538787173 | 8738267973 | 8191754422 | 546513551 | 0
38 | GOLDMAN SACHS EXECUTION & CLEARING LP | FCM BD | CME | 2013-09-30 00:00:00 | 2088412190 | 129358268 | 1959053922 | 1383422832 | 804280610 | 579142222 | 72273447 | 25950466 | 46322981 | 0
39 | GUGGENHEIM SECURITIES LLC | FCM BD | NFA | 2013-09-30 00:00:00 | 57121104 | 1285139 | 55835965 | 0 | 0 | 0 | 0 | 0 | 0 | 0
40 | HSBC SECURITIES USA INC | FCM BD | CME | 2013-09-30 00:00:00 | 1004444812 | 127450583 | 876994229 | 1001644426 | 924068131 | 77576295 | 92048444 | 73925828 | 18122616 | 0
41 | IBFX INC | RFED | NFA | 2013-09-30 00:00:00 | 27725135 | 23047529 | 4677606 | 0 | 0 | 0 | 0 | 0 | 0 | 70950587
42 | INSTINET LLC | FCM BD | NFA | 2013-09-30 00:00:00 | 99917004 | 3075456 | 96841548 | 0 | 0 | 0 | 0 | 0 | 0 | 0
43 | INSTITUTIONAL LIQUIDITY LLC | FCMRFD | NFA | 2013-09-30 00:00:00 | 32622402 | 20158148 | 12464254 | 0 | 0 | 0 | 0 | 0 | 0 | 13162966
44 | INTERACTIVE BROKERS LLC | FCM BD | NFA | 2013-09-30 00:00:00 | 1922038217 | 283041718 | 1638996499 | 2253793734 | 2001369163 | 252424571 | 413962752 | 291463952 | 122498800 | 40061697
45 | IRONBEAM INC | FCM | NFA | 2013-09-30 00:00:00 | 2277556 | 1000000 | 1277556 | 39247783 | 37837192 | 1410591 | 111215 | 4358 | 106857 | 0
46 | ITG DERIVATIVES LLC | FCM BD | NFA | 2013-09-30 00:00:00 | 4703769 | 1000000 | 3703769 | 0 | 0 | 0 | 0 | 0 | 0 | 0
47 | JEFFERIES BACHE LLC | FCM | CBOT | 2013-09-30 00:00:00 | 204361000 | 120562160 | 83798840 | 2015781000 | 1916257000 | 99524000 | 191752000 | 124064000 | 67688000 | 0
48 | JP MORGAN CLEARING CORP | FCM BD | NFA | 2013-09-30 00:00:00 | 6838218091 | 1784735435 | 5053482656 | 889326014 | 619964701 | 269361313 | 681283018 | 453203445 | 228079573 | 0
49 | JP MORGAN SECURITIES LLC | FCM BD | CEI | 2013-09-30 00:00:00 | 14580355431 | 1912324267 | 12668031164 | 18591583837 | 16703123340 | 1888460497 | 3577161800 | 3165953634 | 411208166 | 0
50 | KNIGHT CAPITAL AMERICAS LLC | FCM BD | CME | 2013-09-30 00:00:00 | 356697379 | 21443189 | 335254190 | 494063375 | 477583598 | 16479777 | 11238261 | 7858663 | 3379598 | 38863784
51 | LEK SECURITIES CORPORATION | FCM BD | NFA | 2013-09-30 00:00:00 | 10007080 | 1500000 | 8507080 | 7324954 | 6169266 | 1155688 | 0 | 0 | 0 | 0
52 | LINN GROUP THE | FCM | NFA | 2013-09-30 00:00:00 | 3533253 | 1883968 | 1649285 | 79246711 | 75541923 | 3704788 | 348081 | 81628 | 266453 | 0
53 | LPL FINANCIAL LLC | FCM BD | NFA | 2013-09-30 00:00:00 | 183142190 | 6311599 | 176830591 | 0 | 0 | 0 | 0 | 0 | 0 | 0
54 | MACQUARIE FUTURES USA LLC | FCM | CBOT | 2013-09-30 00:00:00 | 144550421 | 103463827 | 41086594 | 1452571717 | 1277857778 | 174713939 | 30030412 | 23492956 | 6537456 | 0
55 | MAREX NORTH AMERICA LLC | FCM | CME | 2013-09-30 00:00:00 | 11639112 | 7390680 | 4248432 | 93218840 | 88004646 | 5214194 | 7673089 | 6832345 | 840744 | 0
56 | MB TRADING FUTURES INC | FCMRFD | NFA | 2013-09-30 00:00:00 | 25097774 | 21315851 | 3781923 | 0 | 0 | 0 | 0 | 0 | 0 | 36317025
57 | MCVEAN TRADING & INVESTMENTS LLC | FCM | NFA | 2013-09-30 00:00:00 | 12904920 | 3849807 | 9055113 | 807758402 | 786665185 | 21093217 | 2350556 | 0 | 2350556 | 0
58 | MERRILL LYNCH PIERCE FENNER & SMITH | FCM BD | CBOT | 2013-09-30 00:00:00 | 12031925657 | 901130259 | 11130795398 | 9168970027 | 8816496192 | 352473835 | 2648350715 | 2395530176 | 252820539 | 0
59 | MERRILL LYNCH PROFESSIONAL CLEARING CORP | FCM BD | NFA | 2013-09-30 00:00:00 | 1966412638 | 328349409 | 1638063229 | 1705561453 | 879549075 | 826012378 | 29322962 | 1324030 | 27998932 | 0
60 | MID CO COMMODITIES INC | FCM | NFA | 2013-09-30 00:00:00 | 10425473 | 3360797 | 7064676 | 46304631 | 34941808 | 11362823 | 0 | 0 | 0 | 0
61 | MITSUBISHI UFJ SECURITIES USA INC | FCM BD | NFA | 2013-09-30 00:00:00 | 225767277 | 2019819 | 223747458 | 0 | 0 | 0 | 0 | 0 | 0 | 0
62 | MITSUI BUSSAN COMMODITIES USA INC | FCM | NFA | 2013-09-30 00:00:00 | 3385192 | 1000000 | 2385192 | 0 | 0 | 0 | 0 | 0 | 0 | 0
63 | MIZUHO SECURITIES USA INC | FCM BD | CME | 2013-09-30 00:00:00 | 426526733 | 202507188 | 224019545 | 2466934914 | 2284501906 | 182433008 | 481916990 | 388335323 | 93581667 | 0
64 | MORGAN STANLEY & CO LLC | FCM BD | CME | 2013-09-30 00:00:00 | 7221900056 | 1530726086 | 5691173970 | 9102487543 | 8894601313 | 207886230 | 2576633448 | 2322718313 | 253915135 | 0
65 | MORGAN STANLEY SMITH BARNEY LLC | FCM BD | NFA | 2013-09-30 00:00:00 | 3888222103 | 167121021 | 3721101082 | 726165259 | 637877862 | 88287397 | 88523036 | 63761977 | 24761059 | 0
66 | NATIXIS SECURITIES AMERICAS LLC | FCM BD | NFA | 2013-09-30 00:00:00 | 313253934 | 2586493 | 310667441 | 0 | 0 | 0 | 0 | 0 | 0 | 0
67 | NEUBERGER BERMAN LLC | FCM BD | NFA | 2013-09-30 00:00:00 | 84623125 | 1500000 | 83123125 | 0 | 0 | 0 | 0 | 0 | 0 | 0
68 | NEWEDGE USA LLC | FCM BD | NYME | 2013-09-30 00:00:00 | 1807006609 | 1015076541 | 791930068 | 14376172385 | 13725670092 | 650502293 | 3359334923 | 3016527869 | 342807054 | 0
69 | NOMURA SECURITIES INTERNATIONAL INC | FCM BD | CBOT | 2013-09-30 00:00:00 | 1567449163 | 33159331 | 1534289832 | 66417755 | 55453647 | 10964108 | 4395321 | 809629 | 3585692 | 0
70 | OANDA CORPORATION | FCMRFD | NFA | 2013-09-30 00:00:00 | 133648644 | 26132177 | 107516467 | 0 | 0 | 0 | 0 | 0 | 0 | 132643538
71 | OPPENHEIMER & CO INC | FCM BD | NFA | 2013-09-30 00:00:00 | 158953792 | 26153289 | 132800503 | 32320894 | 16244043 | 16076851 | 0 | 0 | 0 | 0
72 | OPTIONSXPRESS INC | FCM BD | NFA | 2013-09-30 00:00:00 | 99733200 | 6778031 | 92955169 | 111031924 | 81586567 | 29445357 | 3646839 | 1072201 | 2574638 | 0
73 | PHILLIP FUTURES INC | FCM | CME | 2013-09-30 00:00:00 | 28122631 | 20000000 | 8122631 | 126717760 | 105911581 | 20806179 | 6030230 | 2953808 | 3076422 | 0
74 | PIONEER FUTURES INC | FCM | NFA | 2013-09-30 00:00:00 | 2369743 | 1000000 | 1369743 | 0 | 0 | 0 | 0 | 0 | 0 | 0
75 | RAND FINANCIAL SERVICES INC | FCM | CME | 2013-09-30 00:00:00 | 79306918 | 19697489 | 59609429 | 340778500 | 300822100 | 39956400 | 31717300 | 9014300 | 22703000 | 0
76 | RAYMOND JAMES & ASSOCIATES INC | FCM BD | NFA | 2013-09-30 00:00:00 | 431501807 | 37625076 | 393876731 | 0 | 0 | 0 | 0 | 0 | 0 | 0
77 | RBC CAPITAL MARKETS LLC | FCM BD | CME | 2013-09-30 00:00:00 | 1099504171 | 109536323 | 989967848 | 960946934 | 895779481 | 65167453 | 191386753 | 121815547 | 69571206 | 0
78 | RBS SECURITIES INC | FCM BD | CBOT | 2013-09-30 00:00:00 | 4352648017 | 132375111 | 4220272906 | 1553250738 | 1401009177 | 152241561 | 212604127 | 94293330 | 118310797 | 0
79 | RJ OBRIEN ASSOCIATES LLC | FCM | CME | 2013-09-30 00:00:00 | 192625623 | 129543641 | 63081982 | 3777320592 | 3662943335 | 114377257 | 173100563 | 147749177 | 25351386 | 1337790
80 | ROSENTHAL COLLINS GROUP LLC | FCM | CME | 2013-09-30 00:00:00 | 75492702 | 56018927 | 19473775 | 1454490898 | 1432776143 | 21714755 | 37320923 | 27295826 | 10025097 | 0
81 | SANFORD C BERNSTEIN & CO LLC | FCM BD | NFA | 2013-09-30 00:00:00 | 170096129 | 19024334 | 151071795 | 0 | 0 | 0 | 0 | 0 | 0 | 0
82 | SANTANDER INVESTMENT SECURITIES INC | FCM BD | NYME | 2013-09-30 00:00:00 | 217357033 | 8452810 | 208904223 | 674444681 | 672033184 | 2411497 | 0 | 0 | 0 | 0
83 | STATE STREET GLOBAL MARKETS LLC | FCM BD | CME | 2013-09-30 00:00:00 | 531668383 | 19346629 | 512321754 | 305952414 | 217922891 | 88029523 | 64316745 | 23049108 | 41267637 | 0
84 | STRAITS FINANCIAL LLC | FCM | CME | 2013-09-30 00:00:00 | 9508426 | 3987448 | 5520978 | 138113377 | 131056593 | 7056784 | 23585064 | 21956185 | 1628879 | 0
85 | TD AMERITRADE INC | FCM BD | NFA | 2013-09-30 00:00:00 | 305075239 | 10515870 | 294559369 | 141534398 | 117283048 | 24251350 | 0 | 0 | 0 | 0
86 | TIMBER HILL LLC | FCM BD | CME | 2013-09-30 00:00:00 | 469950158 | 50425353 | 419524805 | 693978082 | 691441153 | 2536929 | 0 | 0 | 0 | 0
87 | TRADELINK LLC | FCM BD | CBOT | 2013-09-30 00:00:00 | 14362999 | 1000000 | 13362999 | 0 | 0 | 0 | 0 | 0 | 0 | 0
88 | TRADESTATION SECURITIES INC | FCM BD | NFA | 2013-09-30 00:00:00 | 58714386 | 3404646 | 55309740 | 409320140 | 398587364 | 10732776 | 16905204 | 15813960 | 1091244 | 0
89 | TULLETT PREBON FINANCIAL SERVICES LLC | FCM BD | NFA | 2013-09-30 00:00:00 | 29919538 | 1000000 | 28919538 | 0 | 0 | 0 | 0 | 0 | 0 | 0
90 | UBS FINANCIAL SERVICES INC | FCM BD | NFA | 2013-09-30 00:00:00 | 1447982620 | 96356500 | 1351626120 | 122988090 | 101088260 | 21899830 | 24370457 | 2683340 | 21687117 | 0
91 | UBS SECURITIES LLC | FCM BD | CBOT | 2013-09-30 00:00:00 | 9294132544 | 912647484 | 8381485060 | 8725882618 | 8078466011 | 647416607 | 4800087745 | 4379811074 | 420276671 | 0
92 | VELOCITY FUTURES LLC | FCM | NFA | 2013-09-30 00:00:00 | 1264470 | 1000000 | 264470 | 60858099 | 59832975 | 1025124 | 1223126 | 799896 | 423230 | 0
93 | VISION FINANCIAL MARKETS LLC | FCM BD | CME | 2013-09-30 00:00:00 | 34258099 | 10083116 | 24174983 | 481036327 | 470618903 | 10417424 | 16318432 | 14288639 | 2029793 | 0
94 | WELLS FARGO ADVISORS FINANCIAL NETWORK LLC | FCM BD | NFA | 2013-09-30 00:00:00 | 57467253 | 1000000 | 56467253 | 0 | 0 | 0 | 0 | 0 | 0 | 0
95 | WELLS FARGO ADVISORS LLC | FCM BD | NFA | 2013-09-30 00:00:00 | 1536774762 | 1500000 | 1535274762 | 0 | 0 | 0 | 0 | 0 | 0 | 0
96 | WELLS FARGO SECURITIES LLC | FCM BD | CME | 2013-09-30 00:00:00 | 3153455580 | 58379073 | 3095076507 | 16776503 | 6666932 | 10109571 | 5032981 | 0 | 5032981 | 0
97 | WHITE COMMERCIAL CORPORATION | FCM | NFA | 2013-09-30 00:00:00 | 2709540 | 1000000 | 1709540 | 0 | 0 | 0 | 0 | 0 | 0 | 0
98 | WHOTRADES FX LLC | FCM | NFA | 2013-09-30 00:00:00 | 1782650 | 1000000 | 782650 | 0 | 0 | 0 | 0 | 0 | 0 | 0
99 | XCHANGE FINANCIAL ACCESS LLC | FCM BD | NFA | 2013-09-30 00:00:00 | 5804876 | 1000000 | 4804876 | 34257944 | 32184450 | 2073494 | 0 | 0 | 0 | 0
100 | YORK BUSINESS ASSOCIATES LLC | FCM | NFA | 2013-09-30 00:00:00 | 4961615 | 1000000 | 3961615 | 52833887 | 50514508 | 2319379 | 2231204 | 1918524 | 312680 | 0
 | Totals
 | August Web Page Update | 100
 | Additions | 0
 | None
 | Deletions | 0
 | None
 | Name Changes
 | None
 | September Web Page Update | 100
 | (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.
 | (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.
 | (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.