choose report type:
Futures Commission Merchant: the name under which the company is registered with the CFTC as an FCM.
B/D: This column shows whether the FCM is also registered with the Securities and Exchange Commission as a securities broker or dealer (B/D). A "Y" in this column means the FCM is also registered as a B/D with the SEC.
DSRO: This column identifies the FCM's Designated Self-Regulatory Organization (DSRO). A DSRO is the organization that is primarily responsible for conducting audits of and ongoing financial surveillance over the FCM. A DSRO can be a designated contract market (DCM) or the National Futures Association.
A/O Date: This is the 'as of' date of the financial report from which the summary financial data is taken.
Adjusted Net Capital: This is the amount of regulatory capital available to meet the FCM's minimum net capital requirement. The classification of assets and liabilities used in arriving at net capital, and the additional capital haircuts that a FCM may be required to take, are set forth in CFTC Regulation 1.17.
Excess Net Capital: This is the amount by which the adjusted net capital exceeds the net capital requirement.
Customers' 4d(a)(2) Seg Required: This represents the total amount of funds that a FCM is required to segregate on behalf of customers who are trading on designated contracts markets (DCMs) and derivatives transaction execution facilities (DTEFs). This is the sum of all accounts that contain a net liquidating equity.
Customer Part 30 Secured Amount: This represents the amount of funds a FCM is required to set aside for customers who trade on commodity exchanges located outside of the United States.