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fcmdata0810.pdf

Here are the key points summarized:

FCM Financial Data as of August 31, 2010

Reports filed by September 30, 2010
Futures Commission Merchants (FCMs) listed
Key information includes:
- Adjusted net capital
- Net capital requirement
- Excess net capital
- Customer segregated requirements
- Point of financial responsibility

Notes:

Allianz Global Investors Distributors LLC files financial statements quarterly.
A firm's net capital requirement is the greater of:
1. $1,000,000
2. Risk-based capital requirement
3. Amount required by a registered futures association (currently NFA)
4. For securities brokers and dealers, amount required by Rule 15c3-1(a) of the Securities and Exchange Commission.
Excess net capital is adjusted net capital minus the firm's net capital requirement.
Customer segregated requirements represent 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.

Published: 2010-09-30 · Source: CFTC

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