HSI risk disclosure
The Commodity Futures Trading Commission (CFTC) requires each futures commission merchant to provide information within the Futures Commission Merchants (FCM)-specific disclosure document to a customer prior to the time the customer first enters into an account agreement or deposits money or securities (funds) with the FCM.
Segregated Funds and Net Capital Information
The CFTC requires each futures commission merchant to make certain financial information available to customers on a rolling 12-month period.
- Daily Statement of Segregation Requirements for Customers Trading on U.S Exchanges, Daily Statement of Secured Amounts and Funds held in 30.7 Accounts, and Daily Statement of Cleared Swaps Customer Segregation Requirements and Funds in 4d(f) Accounts
- Segregated, Secured & Sequestered Requirements 3 January 2023 (PDF, 60KB)
- Segregated, Secured & Sequestered Requirements 4 January 2023 (PDF, 60KB)
- Segregated, Secured & Sequestered Requirements 5 January 2023 (PDF, 60KB)
- Segregated, Secured & Sequestered Requirements 6 January 2023 (PDF, 60KB)
- Segregated, Secured & Sequestered Requirements 9 January 2023 (PDF, 63KB)
- Segregated, Secured & Sequestered Requirements 10 January 2023 (PDF, 60KB)
- Segregated, Secured & Sequestered Requirements 11 January 2023 (PDF, 60KB)
- Segregated, Secured & Sequestered Requirements 12 January 2023 (PDF, 60KB)
- Segregated, Secured & Sequestered Requirements 13 January 2023 (PDF, 60KB)
- Segregated, Secured & Sequestered Requirements 16 January 2023 (PDF, 60KB)
- Segregated, Secured & Sequestered Requirements 17 January 2023 (PDF, 60KB)
- Segregated, Secured & Sequestered Requirements 18 January 2023 (PDF, 60KB)
- Segregated, Secured & Sequestered Requirements 19 January 2023 (PDF, 60KB)
- Segregated, Secured & Sequestered Requirements 20 January 2023 (PDF, 60KB)
- Segregated, Secured & Sequestered Requirements 23 January 2023 (PDF, 60KB)
- Segregated, Secured & Sequestered Requirements 24 January 2023 (PDF, 60KB)
- Segregated, Secured & Sequestered Requirements 25 January 2023 (PDF, 60KB)
- Segregated, Secured & Sequestered Requirements 26 January 2023 (PDF, 60KB)
- Segregated, Secured & Sequestered Requirements 27 January 2023 (PDF, 60KB)
- Segregated, Secured & Sequestered Requirements 30 January 2023 (PDF, 63KB)
- Segregated, Secured & Sequestered Requirements 31 January 2023 (PDF, 64KB)
- Segregated, Secured & Sequestered Requirements 1 February 2023 (PDF, 64KB)
- Segregated, Secured & Sequestered Requirements 2 February 2023 (PDF, 109KB)
- Segregated, Secured & Sequestered Requirements 3 February 2023 (PDF, 65KB)
- Segregated, Secured & Sequestered Requirements 6 February 2023 (PDF, 65KB)
- Segregated, Secured & Sequestered Requirements 7 February 2023 (PDF, 64KB)
- Segregated, Secured & Sequestered Requirements 8 February 2023 (PDF, 64KB)
- Segregated, Secured & Sequestered Requirements 9 February 2023 (PDF, 64KB)
- Segregated, Secured & Sequestered Requirements 10 February 2023 (PDF, 64KB)
- Segregated, Secured & Sequestered Requirements 13 February 2023 (PDF, 61KB)
- Segregated, Secured & Sequestered Requirements 14 February 2023 (PDF, 61KB)
- Segregated, Secured & Sequestered Requirements 15 February 2023 (PDF, 61KB)
- Segregated, Secured & Sequestered Requirements 16 February 2023 (PDF, 61KB)
- Segregated, Secured & Sequestered Requirements 17 February 2023 (PDF, 61KB)
- Segregated, Secured & Sequestered Requirements 20 February 2023 (PDF, 61KB)
- Segregated, Secured & Sequestered Requirements 21 February 2023 (PDF, 61KB)
- Segregated, Secured & Sequestered Requirements 22 February 2023 (PDF, 61KB)
- Segregated, Secured & Sequestered Requirements 23 February 2023 (PDF, 61KB)
- Segregated, Secured & Sequestered Requirements 24 February 2023 (PDF, 61KB)
- Segregated, Secured & Sequestered Requirements 27 February 2023 (PDF, 61KB)
- Segregated, Secured & Sequestered Requirements 28 February 2023 (PDF, 61KB)
- Segregated, Secured & Sequestered Requirements 1 March 2023 (PDF, 61KB)
- Segregated, Secured & Sequestered Requirements 2 March 2023 (PDF, 61KB)
- Segregated, Secured & Sequestered Requirements 3 March 2023 (PDF, 61KB)
- Segregated, Secured & Sequestered Requirements 6 March 2023 (PDF, 61KB)
- Segregated, Secured & Sequestered Requirements 7 March 2023 (PDF, 61KB)
- Segregated, Secured & Sequestered Requirements 8 March 2023 (PDF, 61KB)
- Segregated, Secured & Sequestered Requirements 9 March 2023 (PDF, 61KB)
- Segregated, Secured & Sequestered Requirements 10 March 2023 (PDF, 61KB)
- Segregated, Secured & Sequestered Requirements 13 March 2023 (PDF, 61KB)
- Segregated, Secured & Sequestered Requirements 14 March 2023 (PDF, 61KB)
- Segregated, Secured & Sequestered Requirements 15 March 2023 (PDF, 60KB)
- Segregated, Secured & Sequestered Requirements 16 March 2023 (PDF, 60KB)
- Segregated, Secured & Sequestered Requirements 17 March 2023 (PDF, 61KB)
- Segregated, Secured & Sequestered Requirements 20 March 2023 (PDF, 61KB)
- Segregated, Secured & Sequestered Requirements 21 March 2023 (PDF, 61KB)
- Segregated, Secured & Sequestered Requirements 22 March 2023 (PDF, 60KB)
- Segregated, Secured & Sequestered Requirements 23 March 2023 (PDF, 60KB)
- Segregated, Secured & Sequestered Requirements 24 March 2023 (PDF, 60KB)
- Segregated, Secured & Sequestered Requirements 27 March 2023 (PDF, 60KB)
- Segregated, Secured & Sequestered Requirements 28 March 2023 (PDF, 60KB)
- Segregated, Secured & Sequestered Requirements 29 March 2023 (PDF, 60KB)
- Segregated, Secured & Sequestered Requirements 30 March 2023 (PDF, 61KB)
- Segregated, Secured & Sequestered Requirements 31 March 2023 (PDF, 61KB)
- Segregated, Secured & Sequestered Requirements 3 April 2023 (PDF, 61KB)
- Segregated, Secured & Sequestered Requirements 4 April 2023 (PDF, 61KB)
- Segregated, Secured & Sequestered Requirements 5 April 2023 (PDF, 61KB)
- Segregated, Secured & Sequestered Requirements 6 April 2023 (PDF, 60KB)
- Segregated, Secured & Sequestered Requirements 7 April 2023 (PDF, 61KB)
- Segregated, Secured & Sequestered Requirements 10 April 2023 (PDF, 60KB)
- Segregated, Secured & Sequestered Requirements 11 April 2023 (PDF, 61KB)
- Segregated, Secured & Sequestered Requirements 12 April 2023 (PDF, 61KB)
- Segregated, Secured & Sequestered Requirements 13 April 2023 (PDF, 61KB)
- Segregated, Secured & Sequestered Requirements 14 April 2023 (PDF, 61KB)
- Segregated, Secured & Sequestered Requirements 17 April 2023 (PDF, 61KB)
- Segregated, Secured & Sequestered Requirements 18 April 2023 (PDF, 61KB)
- Segregated, Secured & Sequestered Requirements 19 April 2023 (PDF, 61KB)
- Segregated, Secured & Sequestered Requirements 20 April 2023 (PDF, 61KB)
- Segregated, Secured & Sequestered Requirements 21 April 2023 (PDF, 61KB)
- Segregated, Secured & Sequestered Requirements 24 April 2023 (PDF, 61KB)
- Segregated, Secured & Sequestered Requirements 25 April 2023 (PDF, 60KB)
- Segregated, Secured & Sequestered Requirements 26 April 2023 (PDF, 61KB)
- Segregated, Secured & Sequestered Requirements 27 April 2023 (PDF, 61KB)
- Segregated, Secured & Sequestered Requirements 28 April 2023 (PDF, 61KB)
- Segregated, Secured & Sequestered Requirements 1 May 2023 (PDF, 61KB)
- Segregated, Secured & Sequestered Requirements 2 May 2023 (PDF, 61KB)
- Segregated, Secured & Sequestered Requirements 3 May 2023 (PDF, 61KB)
- Segregated, Secured & Sequestered Requirements 4 May 2023 (PDF, 60KB)
- Segregated, Secured & Sequestered Requirements 5 May 2023 (PDF, 61KB)
- Segregated, Secured & Sequestered Requirements 8 May 2023 (PDF, 61KB)
- Segregated, Secured & Sequestered Requirements 9 May 2023 (PDF, 61KB)
- Segregated, Secured & Sequestered Requirements 10 May 2023 (PDF, 60KB)
- Segregated, Secured & Sequestered Requirements 11 May 2023 (PDF, 60KB)
- Segregated, Secured & Sequestered Requirements 12 May 2023 (PDF, 60KB)
- Segregated, Secured & Sequestered Requirements 15 May 2023 (PDF, 61KB)
- Segregated, Secured & Sequestered Requirements 16 May 2023 (PDF, 61KB)
- Segregated, Secured & Sequestered Requirements 17 May 2023 (PDF, 60KB)
- Segregated, Secured & Sequestered Requirements 18 May 2023 (PDF, 60KB)
- Segregated, Secured & Sequestered Requirements 19 May 2023 (PDF, 60KB)
- Segregated, Secured & Sequestered Requirements 22 May 2023 (PDF, 60KB)
- Segregated, Secured & Sequestered Requirements 23 May 2023 (PDF, 61KB)
- Segregated, Secured & Sequestered Requirements 24 May 2023 (PDF, 60KB)
- Segregated, Secured & Sequestered Requirements 25 May 2023 (PDF, 60KB)
- Segregated, Secured & Sequestered Requirements 26 May 2023 (PDF, 60KB)
- Segregated, Secured & Sequestered Requirements 29 May 2023 (PDF, 60KB)
- Segregated, Secured & Sequestered Requirements 30 May 2023 (PDF, 60KB)
- Segregated, Secured & Sequestered Requirements 31 May 2023 (PDF, 60KB)
- Segregated, Secured & Sequestered Requirements 1 June 2023 (PDF, 60KB)
- Segregated, Secured & Sequestered Requirements 2 June 2023 (PDF, 60KB)
- Segregated, Secured & Sequestered Requirements 5 June 2023 (PDF, 60KB)
- Segregated, Secured & Sequestered Requirements 7 June 2023 (PDF, 60KB)
- Segregated, Secured & Sequestered Requirements 8 June 2023 (PDF, 60KB)
- Segregated, Secured & Sequestered Requirements 9 June 2023 (PDF, 60KB)
- Segregated, Secured & Sequestered Requirements 12 June 2023 (PDF, 60KB)
- Segregated, Secured & Sequestered Requirements 13 June 2023 (PDF, 60KB)
- Segregated, Secured & Sequestered Requirements 14 June 2023 (PDF, 60KB)
- Segregated, Secured & Sequestered Requirements 15 June 2023 (PDF, 60KB)
- Segregated, Secured & Sequestered Requirements 16 June 2023 (PDF, 60KB)
- Segregated, Secured & Sequestered Requirements 19 June 2023 (PDF, 60KB)
- Segregated, Secured & Sequestered Requirements 20 June 2023 (PDF, 60KB)
- Segregated, Secured & Sequestered Requirements 21 June 2023 (PDF, 60KB)
- Segregated, Secured & Sequestered Requirements 22 June 2023 (PDF, 60KB)
- Segregated, Secured & Sequestered Requirements 23 June 2023 (PDF, 60KB)
- Segregated, Secured & Sequestered Requirements 26 June 2023 (PDF, 60KB)
- Segregated, Secured & Sequestered Requirements 27 June 2023 (PDF, 60KB)
- Segregated, Secured & Sequestered Requirements 28 June 2023 (PDF, 60KB)
- Segregated, Secured & Sequestered Requirements 29 June 2023 (PDF, 60KB)
- Segregated, Secured & Sequestered Requirements 30 June 2023 (PDF, 60KB)
- Segregated, Secured & Sequestered Requirements 3 July 2023 (PDF, 60KB)
- Segregated, Secured & Sequestered Requirements 4 July 2023 (PDF, 60KB)
- Segregated, Secured & Sequestered Requirements 5 July 2023 (PDF, 60KB)
- Segregated, Secured & Sequestered Requirements 6 July 2023 (PDF, 60KB)
- Segregated, Secured & Sequestered Requirements 7 July 2023 (PDF, 61KB)
- Segregated, Secured & Sequestered Requirements 10 July 2023 (PDF, 60KB)
- Segregated, Secured & Sequestered Requirements 11 July 2023 (PDF, 61KB)
- Segregated, Secured & Sequestered Requirements 12 July 2023 (PDF, 61KB)
- Segregated, Secured & Sequestered Requirements 13 July 2023 (PDF, 61KB)
- Segregated, Secured & Sequestered Requirements 14 July 2023 (PDF, 61KB)
- Segregated, Secured & Sequestered Requirements 17 July 2023 (PDF, 61KB)
- Segregated, Secured & Sequestered Requirements 18 July 2023 (PDF, 61KB)
- Segregated, Secured & Sequestered Requirements 19 July 2023 (PDF, 60KB)
- Segregated, Secured & Sequestered Requirements 20 July 2023 (PDF, 60KB)
- Segregated, Secured & Sequestered Requirements 21 July 2023 (PDF, 60KB)
- Segregated, Secured & Sequestered Requirements 24 July 2023 (PDF, 60KB)
- Segregated, Secured & Sequestered Requirements 25 July 2023 (PDF, 60KB)
- Segregated, Secured & Sequestered Requirements 26 July 2023 (PDF, 60KB)
- Segregated, Secured & Sequestered Requirements 27 July 2023 (PDF, 60KB)
- Segregated, Secured & Sequestered Requirements 28 July 2023 (PDF, 61KB)
- Segregated, Secured & Sequestered Requirements 31 July 2023 (PDF, 60KB)
- Segregated, Secured & Sequestered Requirements 1 August 2023 (PDF, 60KB)
- Segregated, Secured & Sequestered Requirements 2 August 2023 (PDF, 60KB)
- Segregated, Secured & Sequestered Requirements 3 August 2023 (PDF, 60KB)
- Segregated, Secured & Sequestered Requirements 4 August 2023 (PDF, 60KB)
- Segregated, Secured & Sequestered Requirements 7 August 2023 (PDF, 60KB)
- Segregated, Secured & Sequestered Requirements 8 August 2023 (PDF, 60KB)
- Segregated, Secured & Sequestered Requirements 9 August 2023 (PDF, 60KB)
- Segregated, Secured & Sequestered Requirements 10 August 2023 (PDF, 60KB)
- Segregated, Secured & Sequestered Requirements 11 August 2023 (PDF, 60KB)
- Segregated, Secured & Sequestered Requirements 14 August 2023 (PDF, 60KB)
- Segregated, Secured & Sequestered Requirements 15 August 2023 (PDF, 60KB)
- Segregated, Secured & Sequestered Requirements 16 August 2023 (PDF, 60KB)
- Segregated, Secured & Sequestered Requirements 17 August 2023 (PDF, 60KB)
- Segregated, Secured & Sequestered Requirements 18 August 2023 (PDF, 60KB)
- Segregated, Secured & Sequestered Requirements 21 August 2023 (PDF, 60KB)
- Segregated, Secured & Sequestered Requirements 22 August 2023 (PDF, 60KB)
- Segregated, Secured & Sequestered Requirements 23 August 2023 (PDF, 60KB)
- Segregated, Secured & Sequestered Requirements 24 August 2023 (PDF, 60KB)
- Segregated, Secured & Sequestered Requirements 25 August 2023 (PDF, 60KB)
- Segregated, Secured & Sequestered Requirements 28 August 2023 (PDF, 60KB)
- Segregated, Secured & Sequestered Requirements 29 August 2023 (PDF, 60KB)
- Segregated, Secured & Sequestered Requirements 30 August 2023 (PDF, 60KB)
- Segregated, Secured & Sequestered Requirements 31 August 2023 (PDF, 60KB)
- Segregated, Secured & Sequestered Requirements 1 September 2023 (PDF, 60KB)
- Segregated, Secured & Sequestered Requirements 4 September 2023 (PDF, 60KB)
- Segregated, Secured & Sequestered Requirements 5 September 2023 (PDF, 60KB)
- Segregated, Secured & Sequestered Requirements 6 September 2023 (PDF, 60KB)
- Segregated, Secured & Sequestered Requirements 7 September 2023 (PDF, 60KB)
- Segregated, Secured & Sequestered Requirements 8 September 2023 (PDF, 60KB)
- Segregated, Secured & Sequestered Requirements 11 September 2023 (PDF, 60KB)
- Segregated, Secured & Sequestered Requirements 12 September 2023 (PDF, 60KB)
- Segregated, Secured & Sequestered Requirements 13 September 2023 (PDF, 60KB)
- Segregated, Secured & Sequestered Requirements 14 September 2023 (PDF, 60KB)
- Segregated, Secured & Sequestered Requirements 15 September 2023 (PDF, 60KB)
- Segregated, Secured & Sequestered Requirements 18 September 2023 (PDF, 60KB)
- Segregated, Secured & Sequestered Requirements 19 September 2023 (PDF, 60KB)
- Segregated, Secured & Sequestered Requirements 20 September 2023 (PDF, 60KB)
Daily Segregated, Secured & Sequestered Requirements Archive
- Schedule of adjusted net capital, net capital and excess net capital
- Required statements and footnotes from current certified annual report
The following statements can be obtained from the attached statement of financial condition.
- Statement of Financial Condition - page 5
- All related footnotes to the schedules that are part of FCM's most current certified annual report; pages 6-21
Statement of Segregation Requirements and Funds in Segregation - See separate file attached below
Statement of Secured Amounts and Funds Held in Separate Accounts for 30.7 Customers - See separate file attached below
Statement of Cleared Swaps Customer Segregation Requirements and Funds in Cleared Swaps Customer Accounts - see separate file attached below
- The month-end segregation statement, secured 30.7 statement and cleared swap customer statement that are part of the FCM’s unaudited Form 1-FR-FCM or FOCUS statement required to be made public for the most recent 12-month period. Other financial statements that are part of the FCM’s unaudited Form 1-FR-FCM or FOCUS statement (e.g. Statement of Financial Condition, Statement of Income (Loss), etc.) are not required.
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FCM financial information/Investment of customer funds
Customers should be aware that the National Futures Association (NFA) publishes on its website certain financial information with respect to each FCM. The FCM Capital Report provides each FCM’s most recent month-end adjusted net capital, required net capital, and excess net capital. (Information for a twelve-month period is available.) In addition, NFA publishes twice-monthly a Customer Segregated Funds report, which shows for each FCM: (i) total funds held in Customer Segregated Accounts; (ii) total funds required to be held in Customer Segregated Accounts; and (iii) excess segregated funds, i.e., the FCM’s Residual Interest. This report also shows the percentage of Customer Segregated Funds that are held in cash and each of the permitted investments under Commission Rule 1.25. Finally, the report indicates whether the FCM held any Customer Segregated Funds during that month at a depository that is an affiliate of the FCM.
The report shows the most recent semi-monthly information, but the public will also have the ability to see information for the most recent twelve-month period. A 30.7 Customer Funds report and a Customer Cleared Swaps Collateral report provides the same information with respect to the 30.7 Account and the Cleared Swaps Customer Account.
The above financial information reports can be found by conducting a search for a specific FCM in NFA’s BASIC system and then clicking on "View Financial Information" on the FCM’s BASIC Details page.
Additional financial information
In addition to the FCM’s financial information that is accessible from the NFA, additional information can also be obtained from the CFTC's website.