Protection of Customer Funds - CFTC Regulation 1.55  09/24/14 10:38:08 AM

9/23/2014 Customer Segregated Funds Report                                                  2013 Audited Financials 

                                                                                                                            Risk Disclosure Report
Total Held in Segregation                                 $49,229,987                         
Total Funds Required to be Segregated          $39,200,230                                  Disclosure Documents
Excess Segregated Funds                               $10,029,757
Prior Daily Customer Segregation Filings

July 31, 2014 Capital

Net Capital                            $8,528,939
Adjusted Net Capital             $8,131,537
Excess Net Capital               $4,169,310

Prior Month 1-FR Report

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.

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