Spreadsheet: 37dc8f7d-bdd3-4f1e-9d40-cc9b09c9bca3
Sheet: FCM Data November 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 | 2013-11-30 00:00:00 | 469759082 | 124221045 | 345538037 | 2295997186 | 2066800455 | 229196731 | 158658987 | 118005289 | 40653698 | 0
2 | ADM INVESTOR SERVICES INC | FCM | CBOT | 2013-11-30 00:00:00 | 283796114 | 161296396 | 122499718 | 3147429961 | 2908896516 | 238533445 | 238535312 | 173238506 | 65296806 | 0
3 | ADVANTAGE FUTURES LLC | FCM | CME | 2013-11-30 00:00:00 | 21393034 | 11819528 | 9573506 | 487747037 | 475103978 | 12643059 | 39084487 | 36828994 | 2255493 | 0
4 | [NAME] (US) LLC | FCMRFD | NFA | 2013-11-30 00:00:00 | 4864347 | 1000000 | 3864347 | 2909573 | 445403 | 2464170 | 1969235 | 130245 | 1838990 | 0
5 | AMERIPRISE FINANCIAL SERVICES INC | FCM BD | NFA | 2013-11-30 00:00:00 | 87564690 | 1000000 | 86564690 | 0 | 0 | 0 | 0 | 0 | 0 | 0
6 | AMP GLOBAL CLEARING LLC | FCM | NFA | 2013-11-30 00:00:00 | 2504399 | 1500000 | 1004399 | 44372234 | 42888271 | 1483963 | 738202 | 467372 | 270830 | 0
7 | BARCLAYS CAPITAL INC | FCM BD | NYME | 2013-11-30 00:00:00 | 5904654061 | 1366349940 | 4538304121 | 6895688854 | 6620481608 | 275207246 | 4221452126 | 4003075360 | 218376766 | 0
8 | BGC FINANCIAL LP | FCM BD | NFA | 2013-11-30 00:00:00 | 56174806 | 1000000 | 55174806 | 0 | 0 | 0 | 0 | 0 | 0 | 0
9 | BNP PARIBAS PRIME BROKERAGE INC | FCM BD | NYME | 2013-11-30 00:00:00 | 3389732739 | 222481699 | 3167251040 | 2479564897 | 2232135505 | 247429392 | 18072290 | 1419579 | 16652711 | 0
10 | BNP PARIBAS SECURITIES CORP | FCM BD | CBOT | 2013-11-30 00:00:00 | 1369334533 | 191039625 | 1178294908 | 1216079526 | 998969085 | 217110441 | 6000000 | 0 | 6000000 | 0
11 | BNY MELLON CLEARING LLC | FCM | CME | 2013-11-30 00:00:00 | 285299947 | 20000000 | 265299947 | 224580273 | 128771477 | 95808796 | 25264268 | 5706018 | 19558250 | 0
12 | BOCI COMMODITIES & FUTURES USA LLC | FCM | NFA | 2013-11-30 00:00:00 | 4409757 | 1000000 | 3409757 | 0 | 0 | 0 | 0 | 0 | 0 | 0
13 | CANTOR FITZGERALD & CO | FCM BD | CBOT | 2013-11-30 00:00:00 | 227006774 | 5158393 | 221848381 | 6280787 | 1311176 | 4969611 | 0 | 0 | 0 | 0
14 | CAPITAL MARKET SERVICES LLC | FCM | NFA | 2013-11-30 00:00:00 | 1524528 | 1000000 | 524528 | 0 | 0 | 0 | 0 | 0 | 0 | 0
15 | CHS HEDGING INC | FCM | CBOT | 2013-11-30 00:00:00 | 26696846 | 11736220 | 14960626 | 159050791 | 133440600 | 25610191 | 947540 | 237196 | 710344 | 0
16 | CITIGROUP GLOBAL MARKETS INC | FCM BD SD | CBOT | 2013-11-30 00:00:00 | 6235840014 | 851345123 | 5384494891 | 5354079213 | 5069674077 | 284405136 | 1080878965 | 862104846 | 218774119 | 0
17 | CREDIT SUISSE SECURITIES (USA) LLC | FCM BD | CBOT | 2013-11-30 00:00:00 | 8174251298 | 2161096284 | 6013155014 | 8803776304 | 7753724438 | 1050051866 | 3639855974 | 2950300940 | 689555034 | 0
18 | CROSSLAND LLC | FCM | CBOT | 2013-11-30 00:00:00 | 9710362 | 2377745 | 7332617 | 85705613 | 83777425 | 1928188 | 6406877 | 5557701 | 849176 | 0
19 | CUNNINGHAM COMMODITIES LLC | FCM | CBOT | 2013-11-30 00:00:00 | 2854435 | 1756030 | 1098405 | 74436213 | 73237518 | 1198695 | 531122 | 349130 | 181992 | 0
20 | DAIWA CAPITAL MARKETS AMERICA INC | FCM BD | CME | 2013-11-30 00:00:00 | 369336024 | 9173199 | 360162825 | 9605812 | 4124914 | 5480898 | 625677 | 0 | 625677 | 0
21 | DEUTSCHE BANK SECURITIES INC | FCM BD | CBOT | 2013-11-29 00:00:00 | 7466299718 | 693233652 | 6773066066 | 13830627787 | 13285455806 | 545171981 | 1382668740 | 1053196616 | 329472124 | 0
22 | DORMAN TRADING LLC | FCM | CME | 2013-11-30 00:00:00 | 11666394 | 1897736 | 9768658 | 141104312 | 138079863 | 3024449 | 2087066 | 1760540 | 326526 | 0
23 | E D & F MAN CAPITAL MARKETS INC | FCM BD | CME | 2013-11-30 00:00:00 | 23712133 | 7565691 | 16146442 | 238437406 | 226727827 | 11709579 | 2897726 | 2155101 | 742625 | 0
24 | E TRADE CLEARING LLC | FCM BD | NFA | 2013-11-30 00:00:00 | 716362979 | 141649031 | 574713948 | 50693774 | 39656504 | 11037270 | 1555342 | 553076 | 1002266 | 0
25 | EFL FUTURES LIMITED | FCM | CME | 2013-11-30 00:00:00 | 36412166 | 15322691 | 21089475 | 239497362 | 226565320 | 12932042 | 0 | 0 | 0 | 0
26 | FCSTONE LLC | FCM | CME | 2013-11-30 00:00:00 | 111382483 | 68931574 | 42450909 | 1629748967 | 1605900450 | 23848517 | 72262796 | 57475904 | 14786892 | 0
27 | FIXI AMERICAS LLC | FCM | NFA | 2013-11-30 00:00:00 | 1548052 | 1000000 | 548052 | 0 | 0 | 0 | 0 | 0 | 0 | 0
28 | FOREX CAPITAL MARKETS LLC | FCMRFD SD | NFA | 2013-11-30 00:00:00 | 56257002 | 27176296 | 29080706 | 0 | 0 | 0 | 0 | 0 | 0 | 153525920
29 | FRIEDBERG MERCANTILE GROUP INC | FCM | NFA | 2013-11-30 00:00:00 | 3129309 | 1000000 | 2129309 | 4681104 | 3630251 | 1050853 | 1485867 | 472282 | 1013585 | 0
30 | FRONTIER FUTURES INC | FCM | NFA | 2013-11-30 00:00:00 | 1895199 | 1000000 | 895199 | 26492238 | 25700930 | 791308 | 0 | 0 | 0 | 0
31 | FXDIRECTDEALER LLC | FCMRFD SD | NFA | 2013-11-30 00:00:00 | 21012898 | 20875416 | 137482 | 0 | 0 | 0 | 0 | 0 | 0 | 27508312
32 | GAIN CAPITAL GROUP LLC | FCMRFD | NFA | 2013-11-30 00:00:00 | 41523231 | 24661190 | 16862041 | 146411383 | 140164945 | 6246438 | 5318025 | 4358561 | 959464 | 103223805
33 | GFI SECURITIES LLC | FCM BD | NFA | 2013-11-30 00:00:00 | 14103028 | 1000000 | 13103028 | 0 | 0 | 0 | 0 | 0 | 0 | 0
34 | GH FINANCIALS LLC | FCM | CME | 2013-11-30 00:00:00 | 10102964 | 1000000 | 9102964 | 5341242 | 4258629 | 1082613 | 504194 | 254036 | 250158 | 0
35 | GLOBAL FUTURES & FOREX LTD | FCMRFD SD | NFA | 2013-11-30 00:00:00 | 3593008 | 1000000 | 2593008 | 0 | 0 | 0 | 0 | 0 | 0 | 0
36 | GOLDMAN SACHS & CO | FCM BD SD | CBOT | 2013-11-30 00:00:00 | 15375609515 | 2107083028 | 13268526487 | 20632521433 | 20066145788 | 566375645 | 9160591291 | 8586671525 | 573919766 | 0
37 | GOLDMAN SACHS EXECUTION & CLEARING LP | FCM BD | CME | 2013-11-30 00:00:00 | 1420586620 | 152444741 | 1268141879 | 1438779372 | 861893156 | 576886216 | 70032458 | 24481505 | 45550953 | 0
38 | GUGGENHEIM SECURITIES LLC | FCM BD | NFA | 2013-11-30 00:00:00 | 65487865 | 1252685 | 64235180 | 0 | 0 | 0 | 0 | 0 | 0 | 0
39 | HSBC SECURITIES USA INC | FCM BD | CME | 2013-11-30 00:00:00 | 1050651874 | 122240160 | 928411714 | 1029028076 | 947320494 | 81707582 | 108284194 | 89082468 | 19201726 | 0
40 | IBFX INC | RFED SD | NFA | 2013-11-30 00:00:00 | 27647352 | 23057262 | 4590090 | 0 | 0 | 0 | 0 | 0 | 0 | 71145240
41 | INSTINET LLC | FCM BD | NFA | 2013-11-30 00:00:00 | 109414662 | 3107603 | 106307059 | 0 | 0 | 0 | 0 | 0 | 0 | 0
42 | INSTITUTIONAL LIQUIDITY LLC | FCMRFD | NFA | 2013-11-30 00:00:00 | 32028906 | 20144527 | 11884379 | 56190347 | 55066943 | 1123404 | 727628 | 282731 | 444897 | 12890544
43 | INTERACTIVE BROKERS LLC | FCM BD | NFA | 2013-11-30 00:00:00 | 1902040420 | 287020159 | 1615020261 | 2265360978 | 2062886252 | 202474726 | 418584223 | 312125186 | 106459037 | 37779027
44 | IRONBEAM INC | FCM | NFA | 2013-11-30 00:00:00 | 2170303 | 1000000 | 1170303 | 38956993 | 37642842 | 1314151 | 111343 | 4231 | 107112 | 0
45 | ITG DERIVATIVES LLC | FCM BD | NFA | 2013-11-30 00:00:00 | 5194285 | 1000000 | 4194285 | 0 | 0 | 0 | 0 | 0 | 0 | 0
46 | JEFFERIES BACHE LLC | FCM | CBOT | 2013-11-30 00:00:00 | 197957000 | 111663760 | 86293240 | 1989453000 | 1885495000 | 103958000 | 181128000 | 109947000 | 71181000 | 0
47 | JP MORGAN CLEARING CORP | FCM BD | NFA | 2013-11-30 00:00:00 | 6787217054 | 1898370098 | 4888846956 | 958714670 | 670320125 | 288394545 | 606828461 | 399266420 | 207562041 | 0
48 | JP MORGAN SECURITIES LLC | FCM BD SD | CEI | 2013-11-29 00:00:00 | 11876000047 | 2088609991 | 9787390056 | 18698182950 | 16793794231 | 1904388719 | 3900953996 | 3482486910 | 418467086 | 0
49 | KNIGHT CAPITAL AMERICAS LLC | FCM BD | CME | 2013-11-30 00:00:00 | 320052127 | 24331971 | 295720156 | 519224466 | 502896959 | 16327507 | 11447581 | 8219577 | 3228004 | 37716873
50 | LEK SECURITIES CORPORATION | FCM BD | NFA | 2013-11-30 00:00:00 | 9996554 | 1500000 | 8496554 | 4107317 | 2955691 | 1151626 | 0 | 0 | 0 | 0
51 | LINN GROUP THE | FCM | NFA | 2013-11-30 00:00:00 | 3621648 | 1959115 | 1662533 | 82265144 | 78450482 | 3814662 | 350043 | 2393 | 347650 | 0
52 | LPL FINANCIAL LLC | FCM BD | NFA | 2013-11-30 00:00:00 | 132690429 | 6796021 | 125894408 | 0 | 0 | 0 | 0 | 0 | 0 | 0
53 | MACQUARIE FUTURES USA LLC | FCM | CBOT | 2013-11-30 00:00:00 | 141219176 | 105423706 | 35795470 | 1474349288 | 1300334678 | 174014610 | 20454128 | 13826258 | 6627870 | 0
54 | MAREX NORTH AMERICA LLC | FCM | CME | 2013-11-30 00:00:00 | 12117881 | 7817317 | 4300564 | 104157067 | 97428679 | 6728388 | 10365334 | 9306742 | 1058592 | 0
55 | MB TRADING FUTURES INC | RFED | NFA | 2013-11-30 00:00:00 | 26152031 | 21225330 | 4926701 | 0 | 0 | 0 | 0 | 0 | 0 | 34506590
56 | MCVEAN TRADING & INVESTMENTS LLC | FCM | NFA | 2013-11-30 00:00:00 | 13697481 | 3091643 | 10605838 | 801821921 | 780359126 | 21462795 | 2417861 | 0 | 2417861 | 0
57 | MERRILL LYNCH PIERCE FENNER & SMITH | FCM BD | CBOT | 2013-11-30 00:00:00 | 11479402264 | 1002184818 | 10477217446 | 10038798311 | 9744209088 | 294589223 | 2898274516 | 2583856938 | 314417578 | 0
58 | MERRILL LYNCH PROFESSIONAL CLEARING CORP | FCM BD | NFA | 2013-11-30 00:00:00 | 2054051078 | 364587795 | 1689463283 | 1664033925 | 857135663 | 806898262 | 28836454 | 837317 | 27999137 | 0
59 | MID CO COMMODITIES INC | FCM | NFA | 2013-11-30 00:00:00 | 8978796 | 4584319 | 4394477 | 45147489 | 35537443 | 9610046 | 0 | 0 | 0 | 0
60 | MITSUBISHI UFJ SECURITIES USA INC | FCM BD | NFA | 2013-11-29 00:00:00 | 223859936 | 1025783 | 222834153 | 0 | 0 | 0 | 0 | 0 | 0 | 0
61 | MITSUI BUSSAN COMMODITIES USA INC | FCM | NFA | 2013-11-30 00:00:00 | 3473568 | 1000000 | 2473568 | 0 | 0 | 0 | 0 | 0 | 0 | 0
62 | MIZUHO SECURITIES USA INC | FCM BD SD | CME | 2013-11-30 00:00:00 | 427015266 | 194100197 | 232915069 | 2160004032 | 1969518269 | 190485763 | 505608191 | 414089174 | 91519017 | 0
63 | MORGAN STANLEY & CO LLC | FCM BD SD | CME | 2013-11-30 00:00:00 | 7618094088 | 1588313063 | 6029781025 | 10406742136 | 10196972402 | 209769734 | 2597754215 | 2382604130 | 215150085 | 0
64 | MORGAN STANLEY SMITH BARNEY LLC | FCM BD | NFA | 2013-11-30 00:00:00 | 4148396424 | 164215812 | 3984180612 | 655978204 | 579182163 | 76796041 | 79536414 | 57597325 | 21939089 | 0
65 | NEUBERGER BERMAN LLC | FCM BD | NFA | 2013-11-30 00:00:00 | 105917375 | 1500000 | 104417375 | 0 | 0 | 0 | 0 | 0 | 0 | 0
66 | NEWEDGE USA LLC | FCM BD SD | NYME | 2013-11-30 00:00:00 | 1813220334 | 1016608544 | 796611790 | 14083043204 | 13516322621 | 566720583 | 3740521518 | 3369301755 | 371219763 | 0
67 | NOMURA SECURITIES INTERNATIONAL INC | FCM BD | CBOT | 2013-11-29 00:00:00 | 1663863011 | 50296128 | 1613566883 | 66082394 | 52044155 | 14038239 | 22785879 | 14492754 | 8293125 | 0
68 | OANDA CORPORATION | FCMRFD | NFA | 2013-11-30 00:00:00 | 134403292 | 25975032 | 108428260 | 0 | 0 | 0 | 0 | 0 | 0 | 129500632
69 | OPPENHEIMER & CO INC | FCM BD | NFA | 2013-11-30 00:00:00 | 155335846 | 26250670 | 129085176 | 31888706 | 16015849 | 15872857 | 0 | 0 | 0 | 0
70 | OPTIONSXPRESS INC | FCM BD | NFA | 2013-11-30 00:00:00 | 108882367 | 6420130 | 102462237 | 112434988 | 89702173 | 22732815 | 2071321 | 989724 | 1081597 | 0
71 | PHILLIP FUTURES INC | FCM | CME | 2013-11-30 00:00:00 | 27709108 | 20000000 | 7709108 | 169030105 | 148193849 | 20836256 | 9509139 | 5306824 | 4202315 | 0
72 | RAND FINANCIAL SERVICES INC | FCM | CME | 2013-11-30 00:00:00 | 78967235 | 21945361 | 57021874 | 347291200 | 307312100 | 39979100 | 39269000 | 18265000 | 21004000 | 0
73 | RAYMOND JAMES & ASSOCIATES INC | FCM BD | NFA | 2013-11-30 00:00:00 | 507671073 | 37283316 | 470387757 | 0 | 0 | 0 | 0 | 0 | 0 | 0
74 | RBC CAPITAL MARKETS LLC | FCM BD | CME | 2013-11-29 00:00:00 | 1296527377 | 108724246 | 1187803131 | 1041478658 | 950035433 | 91443225 | 120347964 | 90113338 | 30234626 | 0
75 | RBS SECURITIES INC | FCM BD | CBOT | 2013-11-30 00:00:00 | 4442654638 | 142010070 | 4300644568 | 1619217863 | 1466477624 | 152740239 | 195643612 | 77254428 | 118389184 | 0
76 | RJ OBRIEN ASSOCIATES LLC | FCM SD | CME | 2013-11-30 00:00:00 | 199747345 | 140287907 | 59459438 | 3767273045 | 3650525369 | 116747676 | 198273130 | 173851469 | 24421661 | 801410
77 | ROSENTHAL COLLINS GROUP LLC | FCM | CME | 2013-11-30 00:00:00 | 76292935 | 56718241 | 19574694 | 1441994482 | 1421412356 | 20582126 | 38107460 | 28080694 | 10026766 | 0
78 | SANFORD C BERNSTEIN & CO LLC | FCM BD | NFA | 2013-11-30 00:00:00 | 158498706 | 18542017 | 139956689 | 0 | 0 | 0 | 0 | 0 | 0 | 0
79 | SANTANDER INVESTMENT SECURITIES INC | FCM BD | NYME | 2013-11-30 00:00:00 | 117380476 | 10649569 | 106730907 | 727409237 | 725086239 | 2322998 | 0 | 0 | 0 | 0
80 | STATE STREET GLOBAL MARKETS LLC | FCM BD | CME | 2013-11-30 00:00:00 | 515258211 | 26947854 | 488310357 | 389711157 | 287791992 | 101919165 | 72915635 | 31450402 | 41465233 | 0
81 | STRAITS FINANCIAL LLC | FCM | CME | 2013-11-29 00:00:00 | 8617089 | 4674886 | 3942203 | 127590744 | 120964291 | 6626453 | 28732799 | 27451191 | 1281608 | 0
82 | TD AMERITRADE INC | FCM BD | NFA | 2013-11-29 00:00:00 | 350885423 | 12616078 | 338269345 | 181555451 | 153446634 | 28108817 | 0 | 0 | 0 | 0
83 | TIMBER HILL LLC | FCM BD | CME | 2013-11-30 00:00:00 | 397149003 | 52052797 | 345096206 | 728473192 | 723515729 | 4957463 | 0 | 0 | 0 | 0
84 | TRADESTATION SECURITIES INC | FCM BD | NFA | 2013-11-30 00:00:00 | 56180832 | 3102617 | 53078215 | 414110162 | 403622203 | 10487959 | 19010796 | 17852537 | 1158259 | 0
85 | TULLETT PREBON FINANCIAL SERVICES LLC | FCM BD | NFA | 2013-11-30 00:00:00 | 26325952 | 1000000 | 25325952 | 0 | 0 | 0 | 0 | 0 | 0 | 0
86 | UBS FINANCIAL SERVICES INC | FCM BD | NFA | 2013-11-30 00:00:00 | 1401954621 | 93623171 | 1308331450 | 139439598 | 114589899 | 24849699 | 24433926 | 4336090 | 20097836 | 0
87 | UBS SECURITIES LLC | FCM BD | CBOT | 2013-11-30 00:00:00 | 9574641020 | 906011624 | 8668629396 | 8904161560 | 8236175949 | 667985611 | 4395929840 | 3929998628 | 465931212 | 0
88 | VISION FINANCIAL MARKETS LLC | FCM BD | CME | 2013-11-30 00:00:00 | 34959671 | 13726450 | 21233221 | 509938711 | 498480541 | 11458170 | 14642854 | 12165151 | 2477703 | 0
89 | WELLS FARGO ADVISORS FINANCIAL NETWORK LLC | FCM BD | NFA | 2013-11-30 00:00:00 | 40017552 | 1000000 | 39017552 | 0 | 0 | 0 | 0 | 0 | 0 | 0
90 | WELLS FARGO ADVISORS LLC | FCM BD | NFA | 2013-11-30 00:00:00 | 1686634904 | 1500000 | 1685134904 | 0 | 0 | 0 | 0 | 0 | 0 | 0
91 | WELLS FARGO SECURITIES LLC | FCM BD | CME | 2013-11-30 00:00:00 | 3117124370 | 101861603 | 3015262767 | 44803417 | 9661283 | 35142134 | 10015253 | 0 | 10015253 | 0
92 | WHITE COMMERCIAL CORPORATION | FCM | NFA | 2013-11-30 00:00:00 | 2811659 | 1000000 | 1811659 | 0 | 0 | 0 | 0 | 0 | 0 | 0
93 | WHOTRADES FX LLC | FCM | NFA | 2013-11-30 00:00:00 | 1575055 | 1000000 | 575055 | 0 | 0 | 0 | 0 | 0 | 0 | 0
94 | XCHANGE FINANCIAL ACCESS LLC | FCM BD | NFA | 2013-11-29 00:00:00 | 5659647 | 1087969 | 4571678 | 30626934 | 28489641 | 2137293 | 0 | 0 | 0 | 0
95 | YORK BUSINESS ASSOCIATES LLC | FCM | NFA | 2013-11-30 00:00:00 | 5141608 | 1000000 | 4141608 | 52306566 | 50269561 | 2037005 | 1906339 | 1641189 | 265150 | 0
 | Totals
 | October Web Page Update | 98
 | Additions | 0
 | None
 | Deletions | 3
 | VELOCITY FUTURES LLC
 | CITADEL SECURITIES LLC
 | PIONEER FUTURES INC
 | Name Changes
 | None
 | November Web Page Update | 95
 | (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.