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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, and cleared swaps customer collateral. 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 (required net capital).

This report displays:
  • adjusted net capital, required net capital and excess net capital.

View FCM Capital Data Report
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 displays:
  • total amount in segregation, amount required to be segregated, and excess segregated funds, i.e., the FCM's residual interest;
  • percentage of funds in segregated accounts, including customer owned securities, held at banks, derivatives clearing organizations (DCOs) and other FCMs;
  • percentage of customer segregated funds in each of the permitted investments under CFTC Regulation 1.25, including percentage of customer segregated funds held pursuant to an agreement to resell; and
  • whether any depository used by the FCM to hold customer segregated funds during the month is an affiliate of the FCM.

View FCM Customer Segregated Funds Report
FCM Customer Secured Amount Funds Report (Updated Semi-Monthly)
An FCM is required to keep all funds received from customers trading on exchanges located outside the U.S. in separate customer secured amount accounts.

This report displays:
  • total funds in separate secured amount (Section 30.7) accounts, amount to be set aside as the secured amount (Section 30.7), and excess funds to be set aside for the secured amount (Section 30.7), i.e., the FCM's residual interest;
  • percentage of customer secured amount (Section 30.7) funds, including customer owned securities, held at banks, clearing organizations and other carrying brokers;
  • percentage of customer secured amount (Section 30.7) funds in each of the permitted investments under CFTC Regulation 1.25, including the percentage of customer secured amount (Section 30.7) funds held pursuant to an agreement to resell; and
  • whether any depository used by the FCM to hold customer secured amount (Section 30.7) funds during the month is an affiliate of the FCM.

View FCM Customer Secured Amount Funds Report
FCM Cleared Swaps Customer Collateral Report (Updated Semi-Monthly)
An FCM is required to segregate all cleared swaps customer collateral received from cleared swaps customers.

This report displays:
  • total amount in cleared swaps customer segregation, amount required to be segregated for cleared swaps customers, and excess funds in segregation, i.e., the FCM's residual interest;
  • percentage of cleared swaps customer collateral, including customer owned securities, held at banks, DCOs and other FCMs;
  • percentage of cleared swaps customer collateral in each of the permitted investments under CFTC Regulation 1.25, including the percentage of cleared swaps customer collateral held pursuant to an agreement to resell; and
  • whether any depository used by the FCM to hold cleared swaps customer collateral during the month is an affiliate of the FCM.

View FCM Cleared Swaps Customer Collateral Report
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.
   
 
 
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