NFA Financial Data Reporting

ROSENTHAL COLLINS GROUP LLC NFA ID: 0000756 NFA Financial Data Reporting Futures Commission Merchants (FCMs) are required to file regular reports with NFA that disclose specific financial information about the firm. In particular, FCMs are required to file a daily report that discloses information on the firm's U.S. exchange traded customer segregated funds requirements and on the firm's non-U.S. exchange traded customer secured amount funds requirements. FCMs are also required to file a semi-monthly report that discloses the instruments in which the FCM has invested customer segregated and secured amount funds. Finally, FCMs are required to file a monthly report that discloses information on the firm's financial position, including information on its capital position.   NFA makes available to the public through the BASIC system selected information from these reports on an FCM by FCM basis. This selected information is summarized in the financial data reports described below. A link accessing the specific report is included at the end of each report explanation section. The reports are available in printer friendly format to enable viewers to print the information and conduct a side-by-side comparison of multiple FCMs' information.   The financial reports definitions page includes definitions for terms used in the reports. FCM Capital Report (Updated Monthly) An FCM is required to maintain adjusted net capital equal to or in excess of the amount of capital it is required to maintain (net capital requirement). This report discloses the FCM's adjusted net capital, its net capital requirement, and the amount by which the firm's adjusted net capital exceeds its net capital requirement (excess net capital). The report also discloses the percentage of excess net capital that is made up of excess segregated funds (excess segregated funds as a percentage of excess net capital), as well as the percentage of excess net capital that is made up of excess secured amount funds (excess secured amount funds as a percentage of excess net capital). View FCM Capital Data FCM Customer Segregated Funds Report (Updated Semi-Monthly) An FCM is required to keep all funds received from customers for trading on U.S. exchanges in segregated accounts. This report discloses the amount of funds the FCM has deposited in customer segregated accounts (funds held in segregation), the amount of funds the FCM is required to have deposited in customer segregated accounts (funds required to be segregated) and the excess (or deficiency) in the customer segregated accounts (excess segregated funds). This report also indicates whether any depository used by the FCM to hold customer segregated funds is an affiliate of the FCM. Finally this report discloses the percentage of customer segregated funds that are held in cash and invested in each of the permitted investments. View FCM Seg Data FCM Customer Secured Amount Funds Report (Updated Semi-Monthly) An FCM is required to keep all funds received from U.S. customers trading on exchanges located outside the U.S. in separate customer secured amount accounts. This report discloses the amount of funds the FCM has deposited in customer secured amount accounts (funds held in secured amount accounts), the amount of funds the FCM is required to have deposited in customer secured amount accounts (secured amount funds required) and the excess (or deficiency) in the customer secured amount account(s) (excess secured amount funds). This report also indicates whether any depository used by the FCM to hold customer secured amount funds is an affiliate of the FCM. Finally this report discloses the percentage of customer secured amount funds that are held in cash and invested in each of the permitted investments. View FCM Sec Data Disclaimer The information provided in these reports is based on information submitted to NFA by CFTC registered and NFA Member FCMs. Although all FCMs are required to provide accurate information to NFA, NFA makes no warranties of any kind, express or implied, about the completeness, accuracy, reliability, adequacy, or usefulness of this information, in whole or in part. The information provided is current as of the date noted in the report and therefore may be out-of-date at the time it is reviewed. FCMs may subsequently notify NFA of revisions to the information reported to NFA and although NFA will endeavor to update the applicable report, the revised information may not always be reflected in the applicable report.