Protection of Customer Funds - CFTC Regulation 1.55

10/13/2017 Customer Segregated Funds Report                                              

2016 Audited Financials

Disclosure Documents


Total Held in Segregation

$29,141,217

 
Total Funds Required to be Segregated

$19,526,810

 
Excess Segregated Funds

$9,614,407

 

Aug 31, 2017 Capital    
Net Capital $8,483,127  
Adjusted Net Capital 
$8,437,345  
Excess Net Capital $5,939,821  

Financial information regarding FCMs, including how the FCMs invest and hold customer funds, may be obtained from the National Futures Association (“NFA”). FCMs are required to file regular reports with NFA that disclose specific financial information about the firm. NFA's BASIC system provides summary reports of this information designed to provide greater transparency for investors. The FCM Financial Information reports can be accessed by conducting a search for a specific FCM in BASIC. Users can then click on "View Financial Information" on the firm's BASIC Details page.

Additional financial information on all FCMs is available from the Commodity Futures Trading Commission (“CFTC”). FCMs must file monthly financial reports with the CFTC's Division of Swap Dealer and Intermediary Oversight within 17 business days after the end of the month. Selected financial information from these reports is published on the CFTC website. The most recent month-end information generally is added within 12 business days after FCMs file their reports, but occasionally may be added later.