(b): DSRO: selected self-management organization.
(c)CFTC's Articles of Association1.17 (a) (1) (i) clearly stipulates the minimum capital requirements that each futures exchange must maintain.
(d): Residual net capital is the adjusted net capital and also the net capital requirement of the enterprise.
(e): This means that FCM must separate the total funds exchanged on behalf of customers in the selected contract market or derivative trading facilities. This is the sum of all net clearing accounts of property rights.
(f): This means that FCM must set aside a considerable amount of funds for customers to exchange goods outside the United States.
(g): The Securities and Exchange Commission will supervise the ultimate headquarters of FCM/BD as a unified regulated individual. The enterprise decides to calculate its minimum capital requirement and meet the "alternative net capital requirement" according to the SEC rule 15c3- 1 allowed in Appendix E. From the date of this report, the net capital of an enterprise exceeds its minimum capital requirement. In addition to the optional minimum net capital requirements, the enterprise must hold provisional net capital exceeding 1 billion USD and net capital exceeding 5 million USD. The appendix conforms to the standard rules of electronic market and credit risk 15c3- 1. Companies must also inform the Committee that if the SEC's provisional net capital is less than $5 billion. From the date of this report, the provisional net capital and net capital of the enterprise exceed the minimum value and notification requirements.
Note: Any comments on the information contained in this form can be sent to sgreska@cftc.gov, phill@cftc.gov or s_williams@cftc.gov by e-mail to attract the attention of CFTC Branch of Cleaning and Intermediary Supervision.