Charles Schwab Futures and Forex LLC Disclosures

The CFTC's § 1.55 and the NFA's Rule 2-36 require Futures Commission Merchants ("FCMs") and Forex Dealer Members ("FDMs") to disclose specific information on its website. In accordance with these rules, Charles Schwab Futures and Forex LLC ("Schwab Futures and Forex") is providing the following information:

Schwab Futures and Forex's Disclosures

Schwab Futures and Forex's CFTC 1.55 Disclosure Document

View Schwab's Futures and Forex's Disclosure Document

Schwab Futures and Forex's NFA 2-36 Disclosure Document 

View Schwab's Futures and Forex's Disclosure Document

Schwab Futures and Forex's daily statement (for the most current 12-month period) of Segregation Requirements and Funds in Segregations for Customers Trading on U.S. Exchanges, Customer Secured Funds for 30.7 and Customer Segregated Cleared Swaps under Section 4d(f).

At this time, Schwab Futures and Forex's customers do not engage in activity that requires a 30.7 account or in cleared swap activity. As such, Schwab Futures and Forex's does not have any data to report 30.7 activity or cleared swap activity on the Statement of Secured Amounts and Funds Held in Separate Accounts for 30.7 Customers Pursuant to Commission Regulation 30.7 or the Statement of Cleared Swaps Customer Segregation Requirements and Funds in Cleared Swaps Customer Accounts Under Section 4d(f) of the Act.

View Schwab Futures and Forex's Daily Segregated Requirements

View Schwab Futures and Forex's Daily Segregated Requirements - October 2024

View Schwab Futures and Forex's Daily Segregated Requirements - September 2024

View Schwab Futures and Forex's Daily Segregated Requirements - August 2024

View Schwab Futures and Forex's Daily Segregated Requirements - July 2024

View Schwab Futures and Forex's Daily Segregated Requirements - June 2024

View Schwab Futures and Forex's Daily Segregated Requirements - May 2024

View Schwab Futures and Forex's Daily Segregated Requirements - April 2024

View Schwab Futures and Forex's Daily Segregated Requirements - March 2024

View Schwab Futures and Forex's Daily Segregated Requirements - February 2024

View Schwab Futures and Forex's Daily Segregated Requirements - January 2024

View Schwab Futures and Forex's Daily Segregated Requirements - December 2023

View Schwab Futures and Forex's Daily Segregated Requirements - November 2023

View Schwab Futures and Forex's Daily Segregated Requirements - October 2023

Schwab Futures and Forex's adjusted net capital, net capital requirement, and excess net capital in accordance with §1.17 and reflecting balances as of the month-end for the 12 most recent months.

View Schwab Futures and Forex's Monthly Adjusted Net Capital, Net Capital & Excess Net Capital

 

Schwab Futures and Forex's most current certified annual report pursuant to §1.16 and schedules

View Schwab Futures and Forex Certified Annual Report as of 12/31/23

At this time, Schwab Futures and Forex's customers do not engage in activity that requires a 30.7 account or in cleared swap activity. As such, Schwab Futures and Forex's does not have any data to report 30.7 activity or cleared swap activity on the Statement of Secured Amounts and Funds Held in Separate Accounts for 30.7 Customers Pursuant to Commission Regulation 30.7 or the Statement of Cleared Swaps Customer Segregation Requirements and Funds in Cleared Swaps Customer Accounts Under Section 4d(f) of the Act.

Schwab Futures and Forex's total forex customer liability as reported each day to the NFA on the Forex Financial Report for the last 12 months.
 

View Schwab Futures and Forex's total forex customer liability as reported daily - October 2024 

View Schwab Futures and Forex's total forex customer liability as reported daily - September 2024 

View Schwab Futures and Forex's total forex customer liability as reported daily - August 2024 

View Schwab Futures and Forex's total forex customer liability as reported daily - July 2024 

View Schwab Futures and Forex's total forex customer liability as reported daily - June 2024 

View Schwab Futures and Forex's total forex customer liability as reported daily - May 2024

View Schwab Futures and Forex's total forex customer liability as reported daily - April 2024

View Schwab Futures and Forex's total forex customer liability as reported daily - March 2024

View Schwab Futures and Forex's total forex customer liability as reported daily - February 2024

View Schwab Futures and Forex's total forex customer liability as reported daily - January 2024

View Schwab Futures and Forex's total forex customer liability as reported daily - December 2023

View Schwab Futures and Forex's total forex customer liability as reported daily - November 2023

View Schwab Futures and Forex's total forex customer liability as reported daily - October 2023

Schwab Futures and Forex's CFTC  § 5.5(e) disclosure for each of the most recent four calendar quarters during with the FDM maintained retail forex customer accounts.

View Schwab Futures and Forex's CFTC § 5.5(e) Disclosure

Statement of Segregation Requirements and Funds in Segregation for Customers Trading on U.S. Exchanges as part of Schwab Futures and Forex's unaudited Form 1-FR-FCM for the most current 12-month period.

View Schwab Futures and Forex's Monthly Statement of Segregation Requirements and Funds in Segregation for Customers Trading on U.S. Exchanges19

At this time, Schwab Futures and Forex's customers do not engage in activity that requires a 30.7 account or in cleared swap activity. As such, Schwab Futures and Forex's does not have any data to report 30.7 activity or cleared swap activity on the Statement of Secured Amounts and Funds Held in Separate Accounts for 30.7 Customers Pursuant to Commission Regulation 30.7 or the Statement of Cleared Swaps Customer Segregation Requirements and Funds in Cleared Swaps Customer Accounts Under Section 4d(f) of the Act.

To learn how Schwab Futures and Forex's invests and holds customer funds, please see the National Futures Association’s Basic System.

View Schwab Futures and Forex's NFA Financial Reporting

To view additional financial information on all futures commission merchants available from the Commodity Futures Trading Commission.

View CFTC Financial Data for FCMs