国外外盘期货(FCM)主要经纪商数据信息（截至2023.07.31）

编辑

Futures  Commission Merchant /     Retail Foreign Exchange Dealer	Registered As	DSRO	As of     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	Target Residual Interest in Seg	Funds in Separate Section 30.7  Accounts	Customer Amount Pt. 30 Required	Excess/Deficient Funds in  Separate Section 30.7 Accounts	Target Residual Interest in  Section 30.7	Funds in Separate Cleared Swap  Segregation	Customer Amount Cleared Swap Seg  Required	Excess/Deficient Funds in Cleared  Swap Seg Accounts	Target Residual Interest in  Cleared Swap Seg	Total Amount of Retail Forex  Obligation
	(a)	(b)			(c)	(d)	(e)	(f)	(g)	(h)	(i)	(j)	(k)	(l)	(m)	(n)	(o)	(p)	(q)
ABN AMRO CLEARING USA LLC	FCM BD	CBOT	07-31-2023	778,122,346	225,810,314	552,312,032	4,020,124,812	3,418,461,624	601,663,188	350,000,000	174,108,700	134,734,128	39,374,572	15,000,000	0	0	0	0	0
ADM INVESTOR  SERVICES INC	FCM	CBOT	07-31-2023	520,481,597	355,719,513	164,762,084	8,463,679,958	8,108,658,643	355,021,315	120,000,000	527,718,364	480,384,797	47,333,567	20,000,000	10,220,452	0	10,220,452	8,000,000	0
ADVANTAGE  FUTURES LLC	FCM	CME	07-31-2023	33,528,309	12,297,705	21,230,604	519,809,633	503,106,744	16,702,889	9,000,000	52,246,173	47,902,203	4,343,970	1,000,000	0	0	0	0	0
AMP GLOBAL  CLEARING LLC	FCM	NFA	07-31-2023	10,538,942	1,000,000	9,538,942	78,592,208	68,102,528	10,489,680	900,000	2,452,709	1,650,399	802,310	150,000	0	0	0	0	0
APEX CLEARING  CORPORATION	FCM BD	NFA	07-31-2023	417,093,251	30,988,889	386,104,362	179,082,225	151,598,319	27,483,906	10,000,000	0	0	0	0	0	0	0	0	0
BARCLAYS  CAPITAL INC	FCM BD	NYME	07-31-2023	6,792,868,248	2,449,256,911	4,343,611,337	15,566,685,619	15,016,621,944	550,063,675	187,000,000	4,149,487,133	3,895,620,666	253,866,467	81,000,000	14,887,826,298	14,348,429,739	539,396,559	26,000,000	0
BITNOMIAL  CLEARING LLC	FCM	NFA	07-31-2023	1,505,000	1,000,000	505,000	0	0	0	0	0	0	0	0	0	0	0	0	0
BNP PARIBAS  SECURITIES CORP	FCM BD	CBOT	07-31-2023	1,989,535,727	844,867,205	1,144,668,522	6,566,862,013	5,731,050,788	835,811,225	570,000,000	1,399,740,775	885,004,759	514,736,016	98,000,000	2,955,405,380	2,758,833,569	196,571,811	145,000,000	0
BOFA  SECURITIES INC	FCM BD	CBOT	07-31-2023	19,409,634,511	4,411,027,052	14,998,607,459	31,292,654,904	30,919,987,332	372,667,572	200,000,000	5,388,650,269	5,136,110,895	252,539,374	150,000,000	16,636,334,209	16,206,566,891	429,767,318	150,000,000	0
CANTOR  FITZGERALD & CO	FCM BD	CBOT	07-31-2023	397,483,242	2,353,019	395,130,223	5,071,113	0	5,071,113	3,000,000	0	0	0	0	0	0	0	0	0
CHARLES  SCHWAB FUTURES AND FOREX LLC	FCM	NFA	07-31-2023	248,439,969	52,083,525	196,356,444	847,380,613	683,917,590	163,463,023	100,000,000	0	0	0	0	0	0	0	0	63,383,008
CHS HEDGING  LLC	FCM	CBOT	07-31-2023	70,543,091	18,541,185	52,001,906	266,997,255	201,599,130	65,398,125	24,300,000	1,549,818	0	1,549,818	200,000	517,567	0	517,567	120,000	0
CITIGROUP  GLOBAL MARKETS INC	FCM BD SD	CBOT/NFA	07-31-2023	16,408,940,303	4,849,292,770	11,559,647,533	18,597,766,772	18,102,581,603	495,185,169	361,900,000	5,352,550,791	5,008,649,523	343,901,268	173,600,000	33,894,378,967	33,188,288,196	706,090,771	487,200,000	0
CREDIT SUISSE  SECURITIES (USA) LLC	FCM BD	CBOT	07-31-2023	11,124,018,531	65,839,966	11,058,178,565	262,633,779	225,006,011	37,627,768	11,250,301	15,524,741	1,326,343	14,198,398	66,317	4,290,056	0	4,290,056	1	0
CUNNINGHAM  COMMODITIES LLC	FCM	CBOT	07-31-2023	86,036,906	6,700,716	79,336,190	325,359,659	259,052,468	66,307,191	3,050,000	1,271,671	619,452	652,219	100,000	0	0	0	0	0
DAIWA CAPITAL  MARKETS AMERICA INC	FCM BD	CME	07-31-2023	1,337,364,677	1,548,208	1,335,816,469	2,129,710	0	2,129,710	1	443,703	0	443,703	1	0	0	0	0	0
DEUTSCHE BANK  SECURITIES INC	FCM BD	CBOT	07-31-2023	5,039,950,486	192,877,897	4,847,072,589	2,189,755,421	2,039,085,076	150,670,345	100,000,000	800,490,309	702,183,387	98,306,922	50,000,000	0	0	0	0	0
DIRECT ACCESS  USA LLC	FCM	CME	07-31-2023	22,608,515	8,211,294	14,397,221	172,775,011	165,730,038	7,044,973	2,500,000	2,446,051	730,830	1,715,221	1,000,000	0	0	0	0	0
DORMAN TRADING  LLC	FCM	CME	07-31-2023	18,249,858	3,034,669	15,215,189	325,456,801	320,260,467	5,196,334	2,000,000	2,592,550	1,527,113	1,065,437	200,000	0	0	0	0	0
ETRADE FUTURES  LLC	FCM	NFA	07-31-2023	55,248,683	5,613,901	49,634,782	162,875,174	105,059,053	57,816,121	11,000,000	0	0	0	0	0	0	0	0	0
FUTU FUTURES  INC	FCM	NFA	07-31-2023	1,944,927	1,000,000	944,927	0	0	0	0	0	0	0	0	0	0	0	0	0
GAIN CAPITAL  GROUP LLC	FCMRFD	NFA	07-31-2023	51,947,816	29,441,402	22,506,414	0	0	0	0	0	0	0	0	0	0	0	0	198,828,043
GH FINANCIALS  LLC	FCM	CME	07-31-2023	32,893,812	13,495,380	19,398,432	170,832,196	153,037,998	17,794,198	6,300,000	13,384,278	11,429,746	1,954,532	370,000	0	0	0	0	0
GOLDMAN SACHS  & CO LLC	FCM BD SD	CBOT/NFA	07-31-2023	23,061,294,094	4,985,947,552	18,075,346,542	36,745,870,510	35,721,061,396	1,024,809,114	775,000,000	11,789,645,507	11,197,104,631	592,540,876	475,000,000	21,747,357,884	21,128,539,833	618,818,051	350,000,000	0
HIDDEN ROAD  PARTNERS CIV US LLC	FCM	CME	07-31-2023	31,490,271	1,000,000	30,490,271	3,103,213	0	3,103,213	3,000,000	0	0	0	0	0	0	0	0	0
HSBC  SECURITIES USA INC	FCM BD	CME	07-31-2023	1,230,511,637	532,087,715	698,423,922	4,776,618,070	4,521,132,357	255,485,713	143,000,000	201,500,071	173,669,649	27,830,422	15,000,000	2,268,620,698	2,124,220,459	144,400,239	123,000,000	0
IG US LLC	RFED	NFA	07-31-2023	53,481,007	22,933,358	30,547,649	0	0	0	0	0	0	0	0	0	0	0	0	68,667,159
INTERACTIVE  BROKERS LLC	FCM BD	CME	07-31-2023	7,174,624,452	823,425,892	6,351,198,560	7,123,775,369	6,882,569,254	241,206,115	155,000,000	811,023,390	682,875,451	128,147,939	80,000,000	0	0	0	0	31,453,374
IRONBEAM INC	FCM	CME	07-31-2023	9,719,278	1,700,468	8,018,810	103,067,960	90,668,203	12,399,757	1,600,000	524,544	447,361	77,183	60,000	0	0	0	0	0
JEFFERIES LLC	FCM BD	NFA	07-31-2023	1,091,340,964	98,596,891	992,744,073	0	0	0	0	0	0	0	0	0	0	0	0	0
JP MORGAN  SECURITIES LLC	FCM BD SD	CEI/NFA	07-31-2023	27,440,540,029	5,517,721,224	21,922,818,805	40,557,268,769	39,483,162,514	1,074,106,255	750,180,088	7,757,004,190	7,192,595,398	564,408,792	251,740,839	24,394,108,304	23,273,884,654	1,120,223,650	488,751,578	0
LIME TRADING  CORP	FCM BD	NFA	07-31-2023	9,127,781	1,000,000	8,127,781	46,093	0	46,093	20,000	40,010	0	40,010	20,000	0	0	0	0	0
MACQUARIE  FUTURES USA LLC	FCM	CBOT	07-31-2023	603,293,510	393,996,412	209,297,098	4,318,072,782	4,078,272,253	239,800,529	100,000,000	154,276,690	109,904,833	44,371,857	7,000,000	5,179,443	0	5,179,443	1,000,000	0
MAREX CAPITAL  MARKETS INC	FCM BD SD	CME/NFA	07-31-2023	540,978,602	326,334,278	214,644,324	7,416,482,738	7,254,590,536	161,892,202	90,000,000	249,215,101	197,257,970	51,957,131	12,000,000	0	0	0	0	0
MAREX NORTH  AMERICA LLC	FCM	CME	07-31-2023	146,842,452	1,000,000	145,842,452	801,434	0	801,434	1	273,972	0	273,972	1	0	0	0	0	0
MCVEAN  TRADING & INVESTMENTS LLC	FCM	NFA	07-31-2023	13,057,123	1,911,012	11,146,111	454,538,423	431,263,676	23,274,747	18,000,000	2,674,588	0	2,674,588	1,000,000	0	0	0	0	0
MERRILL LYNCH  PROFESSIONAL CLEARING CORP	FCM BD	NFA	07-31-2023	7,397,329,634	1,656,062,688	5,741,266,946	5,674,582,878	2,520,770,050	3,153,812,828	300,000,000	0	0	0	0	0	0	0	0	0
MFI FUNDING  LLC	FCM	NFA	07-31-2023	106,556,262	1,000,000	105,556,262	0	0	0	0	0	0	0	0	0	0	0	0	0
MID CO  COMMODITIES INC	FCM	NFA	07-31-2023	17,019,790	6,007,641	11,012,149	67,410,555	49,531,618	17,878,937	5,138,000	0	0	0	0	0	0	0	0	0
MINT BROKERS	FCM BD	NFA	07-31-2023	2,201,495	1,000,000	1,201,495	0	0	0	0	0	0	0	0	0	0	0	0	0
MIZUHO  SECURITIES USA LLC	FCM BD	CME	07-31-2023	1,431,017,662	480,352,723	950,664,939	9,028,278,745	8,567,346,922	460,931,823	150,000,000	1,745,205,217	1,576,222,818	168,982,399	70,000,000	21,114,743	0	21,114,743	10,000,000	0
MORGAN STANLEY  & CO LLC	FCM BD SD	CME/NFA	07-31-2023	18,930,023,194	4,357,259,596	14,572,763,598	27,350,121,146	26,777,104,085	573,017,061	235,000,000	9,684,336,284	9,478,585,595	205,750,689	140,000,000	27,501,551,750	27,133,325,084	368,226,666	92,000,000	0
NANHUA USA  LLC	FCM	CME	07-31-2023	32,683,355	18,203,029	14,480,326	316,405,805	286,831,590	29,574,215	3,500,000	357,395	1,092	356,303	100,000	0	0	0	0	0
NATWEST  MARKETS SECURITIES INC	FCM BD	CBOT	07-31-2023	591,650,429	1,114,753	590,535,676	7,503,655	0	7,503,655	5,000,000	0	0	0	0	0	0	0	0	0
NINJATRADER  CLEARING LLC	FCM	NFA	07-31-2023	21,645,551	1,000,000	20,645,551	266,652,748	241,582,423	25,070,325	4,000,000	3,863,136	2,637,713	1,225,423	400,000	0	0	0	0	0
NOMURA  SECURITIES INTERNATIONAL INC	FCM BD	CBOT	07-31-2023	2,119,282,074	128,569,435	1,990,712,639	150,981,331	100,798,366	50,182,965	19,000,000	1,250,000	0	1,250,000	1,000,000	0	0	0	0	0
OANDA  CORPORATION	FCMRFD	NFA	07-31-2023	39,218,070	27,668,326	11,549,744	0	0	0	0	0	0	0	0	0	0	0	0	155,115,028
PHILLIP  CAPITAL INC	FCM BD	CME	07-31-2023	88,769,893	40,305,731	48,464,162	805,357,224	750,993,294	54,363,930	18,500,000	26,973,309	23,181,723	3,791,586	1,000,000	0	0	0	0	0
PICTET  OVERSEAS INC	FCM BD	NFA	07-31-2023	49,330,539	11,785,804	37,544,735	144,812,539	139,285,628	5,526,911	1,500,000	53,057,015	49,656,918	3,400,097	900,000	0	0	0	0	0
RBC CAPITAL  MARKETS LLC	FCM BD	CME	07-31-2023	2,376,165,170	505,450,949	1,870,714,221	4,485,493,479	4,044,794,071	440,699,408	320,000,000	347,089,997	261,375,050	85,714,947	20,000,000	2,009,789,711	1,682,635,425	327,154,286	120,000,000	0
RJ OBRIEN  ASSOCIATES LLC	FCM SD	CME/NFA	07-31-2023	331,576,298	263,105,126	68,471,172	6,359,855,237	6,113,489,369	246,365,868	50,000,000	303,103,072	271,980,796	31,122,276	20,000,000	0	0	0	0	0
SANTANDER US  CAPITAL MARKETS LLC	FCM BD	NYME	07-31-2023	490,218,916	184,699,671	305,519,245	2,541,180,750	2,468,980,125	72,200,625	70,000,000	0	0	0	0	0	0	0	0	0
SCOTIA CAPITAL  USA INC	FCM BD	CME	07-31-2023	1,294,985,283	142,439,114	1,152,546,169	0	0	0	0	0	0	0	0	0	0	0	0	0
SG AMERICAS  SECURITIES LLC	FCM BD	CME	07-31-2023	5,207,331,094	1,936,074,760	3,271,256,334	18,439,844,778	17,943,546,302	496,298,476	200,000,000	7,657,856,022	7,260,598,436	397,257,586	200,000,000	1,341,059,394	1,118,503,512	222,555,882	80,000,000	0
STONEX  FINANCIAL INC	FCM BD	CME	07-31-2023	395,921,960	239,998,291	155,923,669	6,257,842,532	6,181,494,911	76,347,621	40,000,000	247,218,110	234,665,214	12,552,896	6,000,000	0	0	0	0	0
STRAITS  FINANCIAL LLC	FCM	CME	07-31-2023	32,809,083	15,445,326	17,363,757	433,946,996	419,827,742	14,119,254	2,000,000	27,175,020	16,364,918	10,810,102	300,000	0	0	0	0	0
TRADESTATION  SECURITIES INC	FCM BD	CME	07-31-2023	169,088,120	12,757,879	156,330,241	904,089,187	849,916,884	54,172,303	9,000,000	21,385,889	17,423,893	3,961,996	800,000	0	0	0	0	0
TRADING.COM  MARKETS INC	RFED	NFA	07-31-2023	26,461,156	20,000,000	6,461,156	0	0	0	0	0	0	0	0	0	0	0	0	1,098,909
UBS FINANCIAL  SERVICES INC	FCM BD	NFA	07-31-2023	1,255,942,746	161,156,956	1,094,785,790	247,877,747	196,879,201	50,998,546	25,000,000	38,285,155	6,968,867	31,316,288	15,000,000	0	0	0	0	0
UBS SECURITIES  LLC	FCM BD	CBOT	07-31-2023	5,112,817,898	813,266,906	4,299,550,992	7,209,906,607	6,770,202,881	439,703,726	150,000,000	2,223,187,178	2,025,202,093	197,985,085	75,000,000	2,224,071,442	1,944,238,302	279,833,140	125,000,000	0
WEDBUSH  SECURITIES INC	FCM BD	CBOT	07-31-2023	253,510,019	117,376,657	136,133,362	4,375,114,328	4,348,771,729	26,342,599	19,000,000	39,971,111	34,712,757	5,258,354	1,000,000	0	0	0	0	0
WELLS FARGO  SECURITIES LLC	FCM BD	CME	07-31-2023	10,262,925,539	1,637,578,355	8,625,347,184	5,945,069,425	5,300,869,276	644,200,149	115,000,000	635,082,064	533,631,687	101,450,377	30,000,000	15,444,271,014	14,828,792,023	615,478,991	285,000,000	0
Totals							292,528,497,929	278,708,654,012	13,819,843,917	5,849,638,391	61,906,232,072	57,654,939,104	4,251,292,968	2,014,007,158	165,346,097,312	159,736,257,687	5,609,839,625	2,491,071,579	518,545,521
June Web Page Update	62
Additions
None
Deletions
None
Name Changes
None
July Web Page Update	62
(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.
SD:  The FCM or RFED is also registered with the  Commodity Futures Trading Commission as a provisionally registered swap  dealer.
(b):  DSRO: Designated  Self-Regulatory Organization.  FCM/RFED  firms that are dually registered as SDs have two DSROs listed if they have a  different DSRO for the FCM/RFED and the SD.   The DSRO for the FCM/RFED is listed first and the DSRO for the SD is  listed second.
(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  targeted excess of proprietary funds deposited into customer segregated  accounts above the customer segregation requirement.  This target amount is set by the firm.
(i):  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.
(j):  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.
(k):  Excess/Deficient  funds in separate Section 30.7 accounts is funds in separate Section 30.7  accounts, less the customer amount Part 30 requirement.
(l):  This represents the  targeted excess of proprietary funds deposited into separate Section 30.7  accounts above the customer amount Part 30 requirement.  This target amount is set by the firm.
(m):  This represents the  total amount of money, securities, and property held in cleared swap customer  accounts for cleared swap customers in compliance with Section 4d(f) of the  Commodity Exchange Act.
(n):  This represents the  amount of funds an FCM is required to segregate for customers who trade  cleared swaps.
(o):  Excess/Deficient  funds in cleared swap customer accounts is funds in separate cleared swap  segregation accounts, less the cleared swap customer segregation requirement.
(p):   This represents  the targeted excess of proprietary funds deposited into separate cleared swap  segregation accounts above the cleared swap customer segregation  requirement.  This target amount is set  by the firm.
(q):  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.

编辑

原地址：https://www.cftc.gov/MarketReports/financialfcmdata/index.htm