Jun 11, 2014 | News

Public Information Deadline for FCMs

As of July 12, 2014 all FCMs must make financial information available on their websites.  The information must include:

  • The daily Statement of Segregation Requirements and Funds in Segregation for Customers Trading on U.S. Exchanges for the most current 12 month period
  • The daily Statement of Secured Amounts and Funds Held in Separate Accounts for 30.7 Customers Pursuant to Commission Regulation 30.7 for the most current 12 month period
  • The daily Statement of Cleared Swaps Customer Segregation Requirements and Funds in Cleared Swaps Customer Accounts Under Section 4d(f) of the Act for the most current 12 month period
  • A summary schedule of the futures commission merchant’s adjusted net capital, net capital, and excess net capital, all computed in accordance with 1.17 and reflecting balances as of the month-end for the 12 most recent months

Moreover, FCMs are required to be make public the Statement of Financial Condition, the Statement of Segregation Requirements and Funds in Segregation for Customers Trading on U.S. Exchanges, the Statement of Secured Amounts and Funds Held in Separate Accounts for 30.7 Customers Pursuant to Commission Regulation 30.7, the Statement of Cleared Swaps Customer Segregation Requirements and Funds in Cleared Swaps Customer Accounts Under Section 4d(f) of the Act, and all related footnotes to the above schedules that are part of the FCMs most current certified annual report pursuant to 1.16.

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