SELECTED FCM FINANCIAL DATA AS OF

May 31, 2013

FROM REPORTS FILED BY
July 1, 2013
A
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
26
27
28
29
30
31
32
33
34
35
36
37
38
39
40
41
42
43
44
45
46
47
48
49
50
51
52
53
54
55
56
57
58
59
60

Reg As

DSRO

A/O
Date

Adjusted
Net Capital

Net Capital
Requirement

Excess
Net Capital

Customers'
Assets
in Seg

Customers'
Seg Required
4d(a)(2)

Excess/Deficient
Funds in Seg

Funds in Separate
Section 30.7
Accounts

Customer
Amount Pt. 30
Required

Total Amount
of Retail Forex
Obligation

(a)

(b)

(c)

(d)

(e)

(f)

(g)

(h)

(i)

Excess/Deficient
Funds in Separate
Section 30.7
Accounts
(j)

FCM BD
FCM
FCM
FCMRF
D
FCM BD
FCM
FCM BD
FCM BD
FCM BD
FCM BD
FCM
FCM
FCM BD
FCM
FCM
FCM BD
FCM BD
FCM BD
FCM
FCM
FCM BD
FCM BD
FCM BD
FCM
FCM BD
FCM BD
FCM
FCM
FCMRF
D
FCM
FCM
FCMRF
D
FCMRF
D
FCMRF
D
FCM
FCMRF
D
FCM BD
FCM BD
FCM BD
FCM BD
RFED
FCM BD
FCMRF
D
FCM BD
FCM
FCM BD
FCM
FCM BD
FCM BD
FCM BD
FCM BD
FCM
FCM BD
FCM

CBOT
CBOT
CME
NFA
NFA
NFA
NYME
NFA
NYME
CBOT
CME
NFA
CBOT
NFA
CBOT
CME
CBOT
CBOT
CBOT
CBOT
NFA
CME
CBOT
CME
CME
NFA
CME
CME
NFA
NFA
NFA
NFA
NFA
NFA
CME
NFA
CBOT
CME
NFA
CME
NFA
NFA
NFA
NFA
NFA
NFA
CBOT
NFA
CEI
CME
NFA
NFA
NFA
CBOT

Futures Commission Merchant / Retail Foreign Exchange

Dealer

1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
26
27
28
29
30
31
32
33
34
35
36
37
38
39
40
41
42
43
44
45
46
47
48
49
50
51
52
53
54

ABN AMRO CLEARING CHICAGO LLC

ADM INVESTOR SERVICES INC
ADVANTAGE FUTURES LLC
ALPARI (US) LLC
AMERIPRISE FINANCIAL SERVICES INC
AMP GLOBAL CLEARING LLC
BARCLAYS CAPITAL INC
BGC FINANCIAL LP
BNP PARIBAS PRIME BROKERAGE INC
BNP PARIBAS SECURITIES CORP
BNY MELLON CLEARING LLC
BOCI COMMODITIES & FUTURES USA LLC
CANTOR FITZGERALD & CO
CAPITAL MARKET SERVICES LLC
CHS HEDGING INC
CITADEL SECURITIES LLC
CITIGROUP GLOBAL MARKETS INC
CREDIT SUISSE SECURITIES (USA) LLC
CROSSLAND LLC
CUNNINGHAM COMMODITIES LLC
CX CAPITAL MARKETS LLC
DAIWA CAPITAL MARKETS AMERICA INC
DEUTSCHE BANK SECURITIES INC
DORMAN TRADING LLC
E D & F MAN CAPITAL MARKETS INC
E TRADE CLEARING LLC
ENSKILDA FUTURES LTD
FCSTONE LLC
FOREX CAPITAL MARKETS LLC
FRIEDBERG MERCANTILE GROUP INC
FRONTIER FUTURES INC
FX SOLUTIONS LLC
FXDIRECTDEALER LLC
GAIN CAPITAL GROUP LLC
GH FINANCIALS LLC
GLOBAL FUTURES & FOREX LTD
GOLDMAN SACHS & CO
GOLDMAN SACHS EXECUTION & CLEARING LP
GUGGENHEIM SECURITIES LLC
HSBC SECURITIES USA INC
IBFX INC
INSTINET LLC
INSTITUTIONAL LIQUIDITY LLC
INTERACTIVE BROKERS LLC
IRONBEAM INC
ITG DERIVATIVES LLC
JEFFERIES BACHE LLC
JP MORGAN CLEARING CORP
JP MORGAN SECURITIES LLC
KNIGHT CAPITAL AMERICAS LLC
LEK SECURITIES CORPORATION
LINN GROUP THE
LPL FINANCIAL LLC
MACQUARIE FUTURES USA LLC

1 of 4

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5/31/2013
5/31/2013
5/31/2013
5/31/2013
5/31/2013
5/31/2013
5/31/2013
5/31/2013
5/31/2013
5/31/2013
5/31/2013
5/31/2013
5/31/2013
5/31/2013
5/31/2013
5/31/2013
5/31/2013
5/31/2013
5/31/2013
5/31/2013
5/31/2013
5/31/2013
5/31/2013
5/31/2013
5/31/2013
5/31/2013
5/31/2013
5/31/2013
5/31/2013
5/31/2013
5/31/2013
5/31/2013
5/31/2013
5/31/2013
5/31/2013
5/31/2013
5/31/2013
5/31/2013
5/31/2013
5/31/2013
5/31/2013
5/31/2013
5/31/2013
5/31/2013
5/31/2013
5/31/2013

445,935,363
276,382,152
21,040,967
22,703,491
151,964,288
2,514,715
5,972,094,342
53,444,210
2,493,089,126
1,394,395,376
288,736,966
4,789,636
203,777,711
2,198,554
26,938,567
408,727,947
5,802,718,657
7,340,596,684
8,450,271
2,701,675
1,014,321
271,487,772
6,553,192,746
10,590,249
16,350,243
683,041,908
33,313,192
107,907,670
47,979,680
4,619,330
2,013,889
3,153,204
24,334,562
42,067,376
9,105,732
1,459,615
14,489,519,633
1,928,361,226
66,692,796
1,027,844,833
28,228,743
101,299,140
35,840,082
1,754,446,950
2,488,348
4,262,411
245,377,000
6,492,674,313
12,767,004,494
299,679,918
10,115,296
3,270,650
213,712,224
144,717,347

145,238,655
144,135,404
10,518,115
20,103,186
1,000,000
1,500,000
1,104,728,486
2,004,323
241,546,079
133,594,263
7,580,891
1,000,000
11,003,417
1,000,000
11,079,670
1,000,000
776,332,109
1,891,055,598
2,457,966
1,595,342
1,000,000
7,244,858
710,551,122
1,582,367
5,534,151
129,381,823
15,468,100
69,205,773
26,949,665
1,000,000
1,003,916
1,000,000
20,855,343
25,041,760
1,000,000
20,000,000
1,937,590,442
121,145,107
1,392,849
111,033,170
23,150,207
2,236,008
20,154,098
250,794,573
1,000,000
1,000,000
136,662,080
1,710,777,963
1,730,079,326
23,248,078
1,500,000
2,110,061
6,212,153
97,700,796

300,696,708
132,246,748
10,522,852
2,600,305
150,964,288
1,014,715
4,867,365,856
51,439,887
2,251,543,047
1,260,801,113
281,156,075
3,789,636
192,774,294
1,198,554
15,858,897
407,727,947
5,026,386,548
5,449,541,086
5,992,305
1,106,333
14,321
264,242,914
5,842,641,624
9,007,882
10,816,092
553,660,085
17,845,092
38,701,897
21,030,015
3,619,330
1,009,973
2,153,204
3,479,219
17,025,616
8,105,732
-18,540,385
12,551,929,191
1,807,216,119
65,299,947
916,811,663
5,078,536
99,063,132
15,685,984
1,503,652,377
1,488,348
3,262,411
108,714,920
4,781,896,350
11,036,925,168
276,431,840
8,615,296
1,160,589
207,500,071
47,016,551

2,711,492,785
3,090,002,670
441,383,340
5,543,046
0
42,693,474
6,551,564,309
0
2,279,436,401
838,475,178
247,315,302
0
6,180,922
0
162,100,592
0
7,707,442,280
7,649,790,368
78,206,090
52,189,434
0
8,305,487
14,801,500,815
135,763,305
148,411,821
48,543,345
209,103,975
1,527,227,331
0
5,536,882
26,278,814
0
0
142,100,220
2,241,170
0
18,037,051,445
1,472,568,023
0
1,046,782,094
0
0
0
2,210,334,290
42,080,568
0
2,215,468,000
971,555,419
18,667,320,540
514,217,633
9,990,814
72,192,535
0
1,473,580,640

2,416,362,513
2,862,146,688
427,321,190
2,047,617
0
41,282,740
6,313,568,699
0
2,041,428,708
656,360,046
78,544,786
0
1,218,744
0
136,381,817
0
7,285,226,547
6,884,053,723
75,914,922
51,165,110
0
3,672,159
14,160,036,092
132,782,675
140,752,913
38,291,097
198,471,576
1,503,156,109
0
4,983,408
25,528,448
0
0
131,112,023
1,702,120
0
17,548,655,496
898,441,673
0
980,121,516
0
0
0
1,982,470,523
40,765,966
0
2,107,748,000
741,788,040
16,547,931,178
497,667,868
8,564,295
68,585,635
0
1,312,129,143

295,130,272
227,855,982
14,062,150
3,495,429
0
1,410,734
237,995,610
0
238,007,693
182,115,132
168,770,516
0
4,962,178
0
25,718,775
0
422,215,733
765,736,645
2,291,168
1,024,324
0
4,633,328
641,464,723
2,980,630
7,658,908
10,252,248
10,632,399
24,071,222
0
553,474
750,366
0
0
10,988,197
539,050
0
488,395,949
574,126,350
0
66,660,578
0
0
0
227,863,767
1,314,602
0
107,720,000
229,767,379
2,119,389,362
16,549,765
1,426,519
3,606,900
0
161,451,497

140,585,072
215,833,376
30,469,341
2,213,721
0
524,049
3,597,477,632
0
19,679,098
1,000,000
36,025,468
0
0
0
1,269,006
0
1,371,451,444
3,046,871,595
14,781,525
829,770
0
1,005,667
1,376,908,621
2,055,242
1,896,826
1,505,451
0
68,341,558
0
1,309,054
0
0
0
3,924,930
0
0
8,953,298,493
63,520,256
0
94,386,406
0
0
0
592,975,152
109,013
0
186,863,000
692,629,400
3,602,874,205
12,390,564
0
347,789
0
34,315,098

104,349,792
149,088,314
28,533,671
1,440,301
0
336,283
3,412,731,035
0
3,246,077
0
16,644,813
0
0
0
280,393
0
1,089,158,490
2,586,268,771
14,342,896
692,822
0
0
1,129,165,180
1,615,709
1,289,115
504,791
0
58,230,137
0
1,254,256
0
0
0
2,702,012
0
0
8,457,526,701
15,611,142
0
76,122,833
0
0
0
487,558,685
2,094
0
116,158,000
436,494,611
3,183,402,789
8,238,627
0
0
0
27,720,674

36,235,280
66,745,062
1,935,670
773,420
0
187,766
184,746,597
0
16,433,021
1,000,000
19,380,655
0
0
0
988,613
0
282,292,954
460,602,824
438,629
136,948
0
1,005,667
247,743,441
439,533
607,711
1,000,660
0
10,111,421
0
54,798
0
0
0
1,222,918
0
0
495,771,792
47,909,114
0
18,263,573
0
0
0
105,416,467
106,919
0
70,705,000
256,134,789
419,471,416
4,151,937
0
347,789
0
6,594,424

(k)
0
0
0
12,063,711
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
148,993,304
0
0
0
27,106,855
110,835,202
0
0
0
0
0
0
73,004,134
0
13,081,956
38,358,327
0
0
0
0
0
38,824,049
0
0
0
0

SELECTED FCM FINANCIAL DATA AS OF

May 31, 2013
FROM REPORTS FILED BY
July 1, 2013
A
B
1
2
Futures Commission Merchant / Retail Foreign Exchange
3
Dealer
4
5
6
55 MAREX NORTH AMERICA LLC
61
56 MB TRADING FUTURES INC
62
57 MCVEAN TRADING & INVESTMENTS LLC
63
58 MERRILL LYNCH PIERCE FENNER & SMITH
64
59 MERRILL LYNCH PROFESSIONAL CLEARING CORP
65
60 MID CO COMMODITIES INC
66
61 MITSUBISHI UFJ SECURITIES USA INC
67
62 MITSUI BUSSAN COMMODITIES USA INC
68
63 MIZUHO SECURITIES USA INC
69
64 MORGAN STANLEY & CO LLC
70
65 MORGAN STANLEY SMITH BARNEY LLC
71
66 NATIXIS SECURITIES AMERICAS LLC
72
67 NEUBERGER BERMAN LLC
73
68 NEWEDGE USA LLC
74
69 NOMURA SECURITIES INTERNATIONAL INC
75
70 OANDA CORPORATION
76
71 OPPENHEIMER & CO INC
77
72 OPTIONSXPRESS INC
78
73 PHILLIP FUTURES INC
79
74 PIONEER FUTURES INC
80
75 RAND FINANCIAL SERVICES INC
81
76 RAYMOND JAMES & ASSOCIATES INC
82
77 RBC CAPITAL MARKETS LLC
83
78 RBS SECURITIES INC
84
79 RJ OBRIEN ASSOCIATES LLC
85
80 ROSENTHAL COLLINS GROUP LLC
86
81 SANFORD C BERNSTEIN & CO LLC
87
82 SANTANDER INVESTMENT SECURITIES INC
88
83 STATE STREET GLOBAL MARKETS LLC
89
84 STRAITS FINANCIAL LLC
90
85 TD AMERITRADE INC
91
86 TIMBER HILL LLC
92
87 TRADELINK LLC
93
88 TRADESTATION SECURITIES INC
94
89 TULLETT PREBON FINANCIAL SERVICES LLC
95
90 UBS FINANCIAL SERVICES INC
96
91 UBS SECURITIES LLC
97
92 VELOCITY FUTURES LLC
98
93 VISION FINANCIAL MARKETS LLC
99
100 94 WELLS FARGO ADVISORS FINANCIAL NETWORK LLC
101 95 WELLS FARGO ADVISORS LLC
102 96 WELLS FARGO SECURITIES LLC
103 97 WHITE COMMERCIAL CORPORATION
104 98 WHOTRADES FX LLC
105 99 XCHANGE FINANCIAL ACCESS LLC
106 100 XPRESSTRADE LLC
107 101 YORK BUSINESS ASSOCIATES LLC
108
109
110
Totals
111
April Web Page Update
112
113
Additions
114
WHOTRADES FX LLC
115

2 of 4

Reg As

DSRO

A/O
Date

Adjusted
Net Capital

Net Capital
Requirement

Excess
Net Capital

Customers'
Assets
in Seg

Customers'
Seg Required
4d(a)(2)

Excess/Deficient
Funds in Seg

Funds in Separate
Section 30.7
Accounts

Customer
Amount Pt. 30
Required

Total Amount
of Retail Forex
Obligation

(a)

(b)

(c)

(d)

(e)

(f)

(g)

(h)

(i)

Excess/Deficient
Funds in Separate
Section 30.7
Accounts
(j)

FCM
FCMRF
D
FCM
FCM BD
FCM BD
FCM
FCM BD
FCM
FCM BD
FCM BD
FCM BD
FCM BD
FCM BD
FCM BD
FCM BD
FCMRF
D
FCM BD
FCM BD
FCM
FCM
FCM
FCM BD
FCM BD
FCM BD
FCM
FCM
FCM BD
FCM BD
FCM BD
FCM
FCM BD
FCM BD
FCM BD
FCM BD
FCM BD
FCM BD
FCM BD
FCM
FCM BD
FCM BD
FCM BD
FCM BD
FCM
FCM
FCM BD
RFED
FCM

CME
NFA
NFA
CBOT
NFA
NFA
NFA
NFA
CME
CME
NFA
NFA
NFA
NYME
CBOT
NFA
NFA
NFA
CME
NFA
CME
NFA
CME
CBOT
CME
CME
NFA
NYME
CME
CME
NFA
CME
CBOT
NFA
NFA
NFA
CBOT
NFA
CME
NFA
NFA
CME
NFA
NFA
NFA
NFA
NFA

5/31/2013
5/31/2013
5/31/2013
5/31/2013
5/31/2013
5/31/2013
5/31/2013
5/31/2013
5/31/2013
5/31/2013
5/31/2013
5/31/2013
5/31/2013
5/31/2013
5/31/2013
5/31/2013
5/31/2013
5/31/2013
5/31/2013
5/31/2013
5/31/2013
5/31/2013
5/31/2013
5/31/2013
5/31/2013
5/31/2013
5/31/2013
5/31/2013
5/31/2013
5/31/2013
5/31/2013
5/31/2013
5/31/2013
5/31/2013
5/31/2013
5/31/2013
5/31/2013
5/31/2013
5/31/2013
5/31/2013
5/31/2013
5/31/2013
5/31/2013
5/31/2013
5/31/2013
5/31/2013
5/31/2013

11,219,361
24,692,786
13,500,638
11,216,396,487
1,384,458,643
9,789,501
220,277,825
3,334,600
433,201,459
6,210,074,058
2,147,509,206
365,697,726
76,760,447
1,960,179,275
1,970,878,615
151,432,714
146,182,030
91,334,722
27,680,988
1,777,957
77,851,227
356,631,649
1,251,934,661
3,508,377,646
207,891,138
82,512,748
163,422,650
509,938,825
513,488,767
9,855,089
235,483,565
457,309,911
10,881,048
49,064,401
28,586,527
1,393,813,464
11,433,924,549
1,073,462
34,223,335
46,504,036
1,030,211,032
2,157,105,921
2,303,745
2,033,137
5,626,519
22,860,013
4,275,303

6,909,657
21,520,897
3,406,696
823,984,803
196,087,499
4,017,070
1,027,796
1,000,000
175,500,440
1,505,361,359
164,736,987
2,293,553
1,500,000
1,009,691,881
27,359,603
26,487,729
25,140,193
6,362,684
20,000,000
1,000,000
23,315,351
37,460,605
107,865,239
152,469,241
138,846,334
61,213,782
19,362,409
8,551,009
17,529,067
3,145,464
10,394,431
46,195,497
1,000,000
3,044,472
1,000,000
100,852,245
984,668,219
1,000,000
11,457,027
1,000,000
1,500,000
14,708,045
1,000,000
1,000,000
1,000,000
20,000,000
1,000,000

4,309,704
3,171,889
10,093,942
10,392,411,684
1,188,371,144
5,772,431
219,250,029
2,334,600
257,701,019
4,704,712,699
1,982,772,219
363,404,173
75,260,447
950,487,394
1,943,519,012
124,944,985
121,041,837
84,972,038
7,680,988
777,957
54,535,876
319,171,044
1,144,069,422
3,355,908,405
69,044,804
21,298,966
144,060,241
501,387,816
495,959,700
6,709,625
225,089,134
411,114,414
9,881,048
46,019,929
27,586,527
1,292,961,219
10,449,256,330
73,462
22,766,308
45,504,036
1,028,711,032
2,142,397,876
1,303,745
1,033,137
4,626,519
2,860,013
3,275,303

90,596,424
0
861,044,998
8,739,439,726
2,219,339,181
36,302,233
0
0
2,459,571,055
7,468,415,068
763,620,301
0
0
14,969,054,385
66,454,876
0
39,798,757
119,781,532
190,971,330
124,753
394,516,200
0
984,642,621
2,008,319,895
3,850,010,470
1,436,605,317
0
649,007,566
331,534,261
105,188,749
185,143,361
652,194,680
0
399,132,677
0
132,090,371
9,088,513,975
63,098,137
497,930,590
0
0
9,999,916
0
0
40,721,833
0
56,108,915

154,561,245,510
104
1

84,952,576
0
839,609,035
8,286,416,790
1,439,978,829
27,299,649
0
0
2,256,471,787
7,261,918,590
647,882,942
0
0
14,354,973,349
50,219,083
0
21,212,356
94,508,042
168,403,373
0
354,783,500
0
902,959,259
1,861,151,208
3,733,477,536
1,416,241,845
0
646,591,808
185,269,148
98,468,869
128,921,736
649,668,319
0
389,150,199
0
103,655,706
8,431,183,578
62,312,727
484,337,381
0
0
0
0
0
38,520,644
0
54,283,847

143,423,205,514

5,643,848
0
21,435,963
453,022,936
779,360,352
9,002,584
0
0
203,099,268
206,496,478
115,737,359
0
0
614,081,036
16,235,793
0
18,586,401
25,273,490
22,567,957
124,753
39,732,700
0
81,683,362
147,168,687
116,532,934
20,363,472
0
2,415,758
146,265,113
6,719,880
56,221,625
2,526,361
0
9,982,478
0
28,434,665
657,330,397
785,410
13,593,209
0
0
9,999,916
0
0
2,201,189
0
1,825,068

11,138,039,996

6,372,508
0
2,650,556
2,774,717,823
28,923,275
572,574
0
0
374,354,010
2,283,193,154
97,903,330
0
0
3,701,214,007
3,267,402
0
0
4,035,825
3,628,859
50,000
31,268,900
0
112,938,565
157,990,753
179,796,560
40,424,198
0
0
72,590,118
23,152,264
0
0
0
14,920,159
0
24,614,954
4,136,930,454
1,625,802
12,246,321
0
0
4,948,236
0
0
0
0
2,366,814

38,266,365,243

5,667,538
0
0
2,423,100,704
953,854
0
0
0
273,793,031
2,076,752,908
63,674,351
0
0
3,315,745,938
183,021
0
0
1,519,066
1,088,623
0
9,319,700
0
70,758,126
39,452,166
155,692,292
30,576,496
0
0
32,835,476
20,873,451
0
0
0
13,946,066
0
1,515,912
3,716,645,158
1,184,402
10,233,378
0
0
0
0
0
0
0
1,869,473

33,678,092,144

704,970
0
2,650,556
351,617,119
27,969,421
572,574
0
0
100,560,979
206,440,246
34,228,979
0
0
385,468,069
3,084,381
0
0
2,516,759
2,540,236
50,000
21,949,200
0
42,180,439
118,538,587
24,104,268
9,847,702
0
0
39,754,642
2,278,813
0
0
0
974,093
0
23,099,042
420,285,296
441,400
2,012,943
0
0
4,948,236
0
0
0
0
497,341

4,588,273,099

(k)
0
40,417,949
0
0
0
0
0
0
0
0
0
0
0
0
0
139,754,570
0
0
0
0
0
0
0
0
1,730,219
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
422,888
0

644,593,164

SELECTED FCM FINANCIAL DATA AS OF

May 31, 2013
FROM REPORTS FILED BY
July 1, 2013
A
1
2
3
4
5
6
116
117
118
119
120
121
122
123
124
125
126
127

Reg As

DSRO

A/O
Date

Adjusted
Net Capital

Net Capital
Requirement

Excess
Net Capital

Customers'
Assets
in Seg

Customers'
Seg Required
4d(a)(2)

Excess/Deficient
Funds in Seg

Funds in Separate
Section 30.7
Accounts

Customer
Amount Pt. 30
Required

Total Amount
of Retail Forex
Obligation

(a)

(b)

(c)

(d)

(e)

(f)

(g)

(h)

(i)

Excess/Deficient
Funds in Separate
Section 30.7
Accounts
(j)

Futures Commission Merchant / Retail Foreign Exchange

Dealer

Deletions
ADVANCED MARKETS LLC
COMMONWEALTH FOREIGN EXCHANGE INC
MAREX USA LIMITED
STEPHENS INC

Name Changes
None
May Web Page Update

3 of 4

101

(k)

SELECTED FCM FINANCIAL DATA AS OF

May 31, 2013
FROM REPORTS FILED BY
July 1, 2013
A
1
2
3
4
5
6
128
129
130
131
132
133
134
135
136
137
138
139
140
141
142
143
144
145
146
147
148
149
150
151
152
153
154
155
156
157
158

4 of 4

Reg As

DSRO

A/O
Date

Adjusted
Net Capital

Net Capital
Requirement

Excess
Net Capital

Customers'
Assets
in Seg

Customers'
Seg Required
4d(a)(2)

Excess/Deficient
Funds in Seg

Funds in Separate
Section 30.7
Accounts

Customer
Amount Pt. 30
Required

Total Amount
of Retail Forex
Obligation

(a)

(b)

(c)

(d)

(e)

(f)

(g)

(h)

(i)

Excess/Deficient
Funds in Separate
Section 30.7
Accounts
(j)

Futures Commission Merchant / Retail Foreign Exchange

Dealer

(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:
FCMminimumdollaramount($1,000,000);or
riskbasedcapitalrequirement,thesumof8%oftotalcustomerriskmaintenancemarginand8%oftotalnon-customerriskmaintenancemargin;or
theamountofcapitalrequiredbyaregisteredfuturesassociation(currentlyNFAistheonlysuchassociation);or
forsecuritiesbrokersanddealers,theamountofnetcapitalrequiredbyRule15c3-1(a)oftheSecuritiesandExchangeCommission;or
minimumdollaramountforFCMsofferingorengagedinretailforextransactionsandRFEDs($20,000,000);or
minimumdollaramountforFCMsofferingorengagedinretailforextransactionsandRFEDs($20,000,000)plusfivepercentoftheFCMsorRFEDstotalretailforexobligationinexcessof$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.

(k)