401k Plan data: FOREX CAPITAL MARKETS, LLC 401(K) PLAN plan

FOREX CAPITAL MARKETS, LLC 401(K) PLAN 401k Plan overview

Plan Name	FOREX CAPITAL MARKETS, LLC 401(K) PLAN
Plan identification number	001

FOREX CAPITAL MARKETS, LLC 401(K) PLAN Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

Profit-sharing
ERISA section 404(c) Plan - This plan, or any part of it is intended to meet the conditions of 29 CFR 2550.404c-1.
Total participant-directed account plan - Participants have the opportunity to direct the investment of all the assets allocated to their individual accounts, regardless of whether 29 CFR 2550.404c-1 is intended to be met.
Code section 401(k) feature - A cash or deferred arrangement described in Code section 401(k) that is part of a qualified defined contribution plan that provides for an election by employees to defer part of their compensation or receive these amounts in cash.
Code section 401(m) arrangement - Employee contributions are allocated to separate accounts under the plan or employer contributions are based, in whole or in part, on employee deferrals or contribtions to the plan. Not applicable if plan is 401(k) plan with only QNECs and/or QMACs. Also not applicable if Code section 403(b)(1), 403(b)(7) or 408 arrangements/accounts/annuities.
Participant-directed brokerage accounts provided as an investment option under the plan.
Plan provides for automatic enrollment in plan that has employee contributions deducted from payroll.
Total or partial participant-directed account plan - plan uses default investment account for participants who fail to direct assets in their account.
Master plan - A pension plan that is made available by a sponsor for adoption by employers; that is the subject of a favorable opinion letter; and for which a single funding medium (for example, a trust or custodial account) is established for the joint use of all adopting employers.

401k Sponsoring company profile

FOREX CAPITAL MARKETS, LLC has sponsored the creation of one or more 401k plans.

Company Name: FOREX CAPITAL MARKETS, LLC

Employer identification number (EIN): 113502151

NAIC Classification: 523130
NAIC Description: Commodity Contracts Dealing

Additional information about FOREX CAPITAL MARKETS, LLC

Jurisdiction of Incorporation: Texas Secretary of State

Incorporation Date: 2005-12-29

Company Identification Number: 0800591866

Legal Registered Office Address: 1 ROCKEFELLER PLZ RM 475

NEW YORK
United States of America (USA)
10020

More information about FOREX CAPITAL MARKETS, LLC

Form 5500 Filing Information

Submission information for form 5500 for 401k plan FOREX CAPITAL MARKETS, LLC 401(K) PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2015-01-01 AMY NAPOLITANO AMY NAPOLITANO 2016-10-17
001 2014-01-01 AMY NAPOLITANO AMY NAPOLITANO 2015-09-17
001 2013-01-01 AMY NAPOLITANO AMY NAPOLITANO 2014-10-15
001 2012-01-01 AMY NAPOLITANO AMY NAPOLITANO 2014-10-22
001 2011-01-01 AMY NAPOLITANO
001 2009-01-01 SANDRA FAUST

Plan id#	Filing Submission Date	Name of Administrator	Name of Company Sponsor	Date Sponsor Signed
001	2015-01-01	AMY NAPOLITANO	AMY NAPOLITANO	2016-10-17
001	2014-01-01	AMY NAPOLITANO	AMY NAPOLITANO	2015-09-17
001	2013-01-01	AMY NAPOLITANO	AMY NAPOLITANO	2014-10-15
001	2012-01-01	AMY NAPOLITANO	AMY NAPOLITANO	2014-10-22
001	2011-01-01	AMY NAPOLITANO
001	2009-01-01	SANDRA FAUST

Plan Statistics for FOREX CAPITAL MARKETS, LLC 401(K) PLAN

401k plan membership statisitcs for FOREX CAPITAL MARKETS, LLC 401(K) PLAN

Measure Date Value
2015: FOREX CAPITAL MARKETS, LLC 401(K) PLAN 2015 401k membership
Total participants, beginning-of-year 2015-01-01 727
Total number of active participants reported on line 7a of the Form 5500 2015-01-01 453
Number of retired or separated participants receiving benefits 2015-01-01 0
Number of other retired or separated participants entitled to future benefits 2015-01-01 222
Total of all active and inactive participants 2015-01-01 675
Total participants 2015-01-01 675
Number of participants with account balances 2015-01-01 550
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2015-01-01 0
2014: FOREX CAPITAL MARKETS, LLC 401(K) PLAN 2014 401k membership
Total participants, beginning-of-year 2014-01-01 690
Total number of active participants reported on line 7a of the Form 5500 2014-01-01 508
Number of retired or separated participants receiving benefits 2014-01-01 0
Number of other retired or separated participants entitled to future benefits 2014-01-01 199
Total of all active and inactive participants 2014-01-01 707
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2014-01-01 0
Total participants 2014-01-01 707
Number of participants with account balances 2014-01-01 555
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2014-01-01 0
2013: FOREX CAPITAL MARKETS, LLC 401(K) PLAN 2013 401k membership
Total participants, beginning-of-year 2013-01-01 623
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 498
Number of retired or separated participants receiving benefits 2013-01-01 0
Number of other retired or separated participants entitled to future benefits 2013-01-01 163
Total of all active and inactive participants 2013-01-01 661
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2013-01-01 0
Total participants 2013-01-01 661
Number of participants with account balances 2013-01-01 487
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2013-01-01 0
2012: FOREX CAPITAL MARKETS, LLC 401(K) PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 578
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 489
Number of retired or separated participants receiving benefits 2012-01-01 0
Number of other retired or separated participants entitled to future benefits 2012-01-01 134
Total of all active and inactive participants 2012-01-01 623
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 0
Total participants 2012-01-01 623
Number of participants with account balances 2012-01-01 420
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 0
2011: FOREX CAPITAL MARKETS, LLC 401(K) PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 612
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 469
Number of retired or separated participants receiving benefits 2011-01-01 0
Number of other retired or separated participants entitled to future benefits 2011-01-01 109
Total of all active and inactive participants 2011-01-01 578
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 0
Total participants 2011-01-01 578
Number of participants with account balances 2011-01-01 394
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 0
2009: FOREX CAPITAL MARKETS, LLC 401(K) PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 468
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 511
Number of retired or separated participants receiving benefits 2009-01-01 0
Number of other retired or separated participants entitled to future benefits 2009-01-01 43
Total of all active and inactive participants 2009-01-01 554
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 0
Total participants 2009-01-01 554
Number of participants with account balances 2009-01-01 279
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 0

Measure	Date	Value
2015: FOREX CAPITAL MARKETS, LLC 401(K) PLAN 2015 401k membership
Total participants, beginning-of-year	2015-01-01	727
Total number of active participants reported on line 7a of the Form 5500	2015-01-01	453
Number of retired or separated participants receiving benefits	2015-01-01	0
Number of other retired or separated participants entitled to future benefits	2015-01-01	222
Total of all active and inactive participants	2015-01-01	675
Total participants	2015-01-01	675
Number of participants with account balances	2015-01-01	550
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2015-01-01	0
2014: FOREX CAPITAL MARKETS, LLC 401(K) PLAN 2014 401k membership
Total participants, beginning-of-year	2014-01-01	690
Total number of active participants reported on line 7a of the Form 5500	2014-01-01	508
Number of retired or separated participants receiving benefits	2014-01-01	0
Number of other retired or separated participants entitled to future benefits	2014-01-01	199
Total of all active and inactive participants	2014-01-01	707
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2014-01-01	0
Total participants	2014-01-01	707
Number of participants with account balances	2014-01-01	555
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2014-01-01	0
2013: FOREX CAPITAL MARKETS, LLC 401(K) PLAN 2013 401k membership
Total participants, beginning-of-year	2013-01-01	623
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	498
Number of retired or separated participants receiving benefits	2013-01-01	0
Number of other retired or separated participants entitled to future benefits	2013-01-01	163
Total of all active and inactive participants	2013-01-01	661
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-01-01	0
Total participants	2013-01-01	661
Number of participants with account balances	2013-01-01	487
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2013-01-01	0
2012: FOREX CAPITAL MARKETS, LLC 401(K) PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	578
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	489
Number of retired or separated participants receiving benefits	2012-01-01	0
Number of other retired or separated participants entitled to future benefits	2012-01-01	134
Total of all active and inactive participants	2012-01-01	623
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	0
Total participants	2012-01-01	623
Number of participants with account balances	2012-01-01	420
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	0
2011: FOREX CAPITAL MARKETS, LLC 401(K) PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	612
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	469
Number of retired or separated participants receiving benefits	2011-01-01	0
Number of other retired or separated participants entitled to future benefits	2011-01-01	109
Total of all active and inactive participants	2011-01-01	578
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	0
Total participants	2011-01-01	578
Number of participants with account balances	2011-01-01	394
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	0
2009: FOREX CAPITAL MARKETS, LLC 401(K) PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	468
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	511
Number of retired or separated participants receiving benefits	2009-01-01	0
Number of other retired or separated participants entitled to future benefits	2009-01-01	43
Total of all active and inactive participants	2009-01-01	554
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	0
Total participants	2009-01-01	554
Number of participants with account balances	2009-01-01	279
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	0

Financial Data on FOREX CAPITAL MARKETS, LLC 401(K) PLAN

Measure	Date	Value
2015 : FOREX CAPITAL MARKETS, LLC 401(K) PLAN 2015 401k financial data
Total transfer of assets from this plan	2015-12-31	$419,220
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2015-12-31	$3,118
Total income from all sources (including contributions)	2015-12-31	$2,177,532
Total of all expenses incurred	2015-12-31	$1,846,727
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2015-12-31	$1,816,832
Expenses. Certain deemed distributions of participant loans	2015-12-31	$717
Value of total corrective distributions	2015-12-31	$3,760
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2015-12-31	$2,297,824
Value of total assets at end of year	2015-12-31	$15,313,124
Value of total assets at beginning of year	2015-12-31	$15,404,657
Total of administrative expenses incurred including professional, contract, advisory and management fees	2015-12-31	$25,418
Total interest from all sources	2015-12-31	$12,385
Total dividends received (eg from common stock, registered investment company shares)	2015-12-31	$769,745
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2015-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2015-12-31	$769,745
Was this plan covered by a fidelity bond	2015-12-31	Yes
Value of fidelity bond cover	2015-12-31	$500,000
If this is an individual account plan, was there a blackout period	2015-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2015-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2015-12-31	No
Contributions received from participants	2015-12-31	$2,295,488
Participant contributions at end of year	2015-12-31	$312,060
Participant contributions at beginning of year	2015-12-31	$262,779
Participant contributions at end of year	2015-12-31	$108,256
Participant contributions at beginning of year	2015-12-31	$133,760
Income. Received or receivable in cash from other sources (including rollovers)	2015-12-31	$2,336
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2015-12-31	$3,118
Other income not declared elsewhere	2015-12-31	$28,539
Administrative expenses (other) incurred	2015-12-31	$25,418
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2015-12-31	No
Value of net income/loss	2015-12-31	$330,805
Value of net assets at end of year (total assets less liabilities)	2015-12-31	$15,313,124
Value of net assets at beginning of year (total assets less liabilities)	2015-12-31	$15,401,539
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2015-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2015-12-31	No
Were any leases to which the plan was party in default or uncollectible	2015-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2015-12-31	$9,967,102
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2015-12-31	$9,812,584
Interest on participant loans	2015-12-31	$12,385
Value of interest in common/collective trusts at end of year	2015-12-31	$4,714,424
Value of interest in common/collective trusts at beginning of year	2015-12-31	$4,812,142
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2015-12-31	$66,154
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2015-12-31	$151,707
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2015-12-31	$151,707
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2015-12-31	$-916,058
Net investment gain or loss from common/collective trusts	2015-12-31	$-14,903
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2015-12-31	No
Was there a failure to transmit to the plan any participant contributions	2015-12-31	No
Has the plan failed to provide any benefit when due under the plan	2015-12-31	No
Employer contributions (assets) at beginning of year	2015-12-31	$132,065
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2015-12-31	$1,816,832
Assets. Corporate common stocks other than exployer securities at end of year	2015-12-31	$145,128
Assets. Corporate common stocks other than exployer securities at beginning of year	2015-12-31	$99,620
Did the plan have assets held for investment	2015-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2015-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2015-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2015-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2015-12-31	Disclaimer
Accountancy firm name	2015-12-31	SAX LLP
Accountancy firm EIN	2015-12-31	812950760
2014 : FOREX CAPITAL MARKETS, LLC 401(K) PLAN 2014 401k financial data
Total transfer of assets to this plan	2014-12-31	$2,997,042
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2014-12-31	$3,118
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2014-12-31	$1,378
Total income from all sources (including contributions)	2014-12-31	$3,351,141
Total of all expenses incurred	2014-12-31	$2,022,386
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2014-12-31	$2,013,717
Expenses. Certain deemed distributions of participant loans	2014-12-31	$2,078
Value of total corrective distributions	2014-12-31	$694
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2014-12-31	$2,676,111
Value of total assets at end of year	2014-12-31	$15,404,657
Value of total assets at beginning of year	2014-12-31	$11,077,120
Total of administrative expenses incurred including professional, contract, advisory and management fees	2014-12-31	$5,897
Total interest from all sources	2014-12-31	$11,932
Total dividends received (eg from common stock, registered investment company shares)	2014-12-31	$722,726
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2014-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2014-12-31	$722,726
Was this plan covered by a fidelity bond	2014-12-31	Yes
Value of fidelity bond cover	2014-12-31	$500,000
If this is an individual account plan, was there a blackout period	2014-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2014-12-31	No
Contributions received from participants	2014-12-31	$2,363,801
Participant contributions at end of year	2014-12-31	$262,779
Participant contributions at beginning of year	2014-12-31	$251,024
Participant contributions at end of year	2014-12-31	$133,760
Participant contributions at beginning of year	2014-12-31	$148,169
Assets. Other investments not covered elsewhere at beginning of year	2014-12-31	$0
Income. Received or receivable in cash from other sources (including rollovers)	2014-12-31	$180,245
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2014-12-31	$3,118
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2014-12-31	$1,378
Other income not declared elsewhere	2014-12-31	$-359
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2014-12-31	No
Value of net income/loss	2014-12-31	$1,328,755
Value of net assets at end of year (total assets less liabilities)	2014-12-31	$15,401,539
Value of net assets at beginning of year (total assets less liabilities)	2014-12-31	$11,075,742
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2014-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2014-12-31	No
Were any leases to which the plan was party in default or uncollectible	2014-12-31	No
Investment advisory and management fees	2014-12-31	$5,897
Value of interest in registered invesment companies (eg mutual funds) at end of year	2014-12-31	$9,812,584
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2014-12-31	$7,049,725
Income. Interest from loans (other than to participants)	2014-12-31	$11,932
Value of interest in common/collective trusts at end of year	2014-12-31	$4,812,142
Value of interest in common/collective trusts at beginning of year	2014-12-31	$3,410,343
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2014-12-31	$151,707
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2014-12-31	$49,263
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2014-12-31	$49,263
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2014-12-31	$-256,927
Net investment gain or loss from common/collective trusts	2014-12-31	$197,658
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2014-12-31	No
Was there a failure to transmit to the plan any participant contributions	2014-12-31	No
Has the plan failed to provide any benefit when due under the plan	2014-12-31	No
Contributions received in cash from employer	2014-12-31	$132,065
Employer contributions (assets) at end of year	2014-12-31	$132,065
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2014-12-31	$2,013,717
Assets. Corporate common stocks other than exployer securities at end of year	2014-12-31	$99,620
Assets. Corporate common stocks other than exployer securities at beginning of year	2014-12-31	$168,596
Did the plan have assets held for investment	2014-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2014-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2014-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2014-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2014-12-31	Disclaimer
Accountancy firm name	2014-12-31	SAXBST LLP
Accountancy firm EIN	2014-12-31	464001827
2013 : FOREX CAPITAL MARKETS, LLC 401(K) PLAN 2013 401k financial data
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2013-12-31	$1,378
Total income from all sources (including contributions)	2013-12-31	$3,421,865
Total of all expenses incurred	2013-12-31	$816,126
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2013-12-31	$807,613
Expenses. Certain deemed distributions of participant loans	2013-12-31	$619
Value of total corrective distributions	2013-12-31	$4,393
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2013-12-31	$1,975,700
Value of total assets at end of year	2013-12-31	$11,077,120
Value of total assets at beginning of year	2013-12-31	$8,470,003
Total of administrative expenses incurred including professional, contract, advisory and management fees	2013-12-31	$3,501
Total interest from all sources	2013-12-31	$12,944
Total dividends received (eg from common stock, registered investment company shares)	2013-12-31	$364,163
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2013-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2013-12-31	$364,163
Was this plan covered by a fidelity bond	2013-12-31	Yes
Value of fidelity bond cover	2013-12-31	$500,000
If this is an individual account plan, was there a blackout period	2013-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2013-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2013-12-31	No
Contributions received from participants	2013-12-31	$1,966,733
Participant contributions at end of year	2013-12-31	$251,024
Participant contributions at beginning of year	2013-12-31	$247,524
Participant contributions at end of year	2013-12-31	$148,169
Assets. Other investments not covered elsewhere at end of year	2013-12-31	$0
Income. Received or receivable in cash from other sources (including rollovers)	2013-12-31	$8,967
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2013-12-31	$1,378
Other income not declared elsewhere	2013-12-31	$-3,566
Administrative expenses (other) incurred	2013-12-31	$3,501
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2013-12-31	No
Value of net income/loss	2013-12-31	$2,605,739
Value of net assets at end of year (total assets less liabilities)	2013-12-31	$11,075,742
Value of net assets at beginning of year (total assets less liabilities)	2013-12-31	$8,470,003
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2013-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2013-12-31	No
Were any leases to which the plan was party in default or uncollectible	2013-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2013-12-31	$7,049,725
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2013-12-31	$5,655,746
Interest on participant loans	2013-12-31	$12,944
Value of interest in common/collective trusts at end of year	2013-12-31	$3,410,343
Value of interest in common/collective trusts at beginning of year	2013-12-31	$2,360,502
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2013-12-31	$49,263
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2013-12-31	$55,940
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2013-12-31	$55,940
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2013-12-31	$648,832
Net investment gain or loss from common/collective trusts	2013-12-31	$423,792
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2013-12-31	No
Was there a failure to transmit to the plan any participant contributions	2013-12-31	No
Has the plan failed to provide any benefit when due under the plan	2013-12-31	No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2013-12-31	$807,613
Assets. Corporate common stocks other than exployer securities at end of year	2013-12-31	$168,596
Assets. Corporate common stocks other than exployer securities at beginning of year	2013-12-31	$150,291
Did the plan have assets held for investment	2013-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2013-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2013-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2013-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2013-12-31	Disclaimer
Accountancy firm name	2013-12-31	SAXBST LLP
Accountancy firm EIN	2013-12-31	464001827
2012 : FOREX CAPITAL MARKETS, LLC 401(K) PLAN 2012 401k financial data
Total unrealized appreciation/depreciation of assets	2012-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2012-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2012-12-31	$0
Total income from all sources (including contributions)	2012-12-31	$2,484,667
Total loss/gain on sale of assets	2012-12-31	$0
Total of all expenses incurred	2012-12-31	$1,223,783
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2012-12-31	$1,218,219
Expenses. Certain deemed distributions of participant loans	2012-12-31	$590
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2012-12-31	$1,589,900
Value of total assets at end of year	2012-12-31	$8,470,003
Value of total assets at beginning of year	2012-12-31	$7,209,119
Total of administrative expenses incurred including professional, contract, advisory and management fees	2012-12-31	$4,974
Total interest from all sources	2012-12-31	$8,821
Total dividends received (eg from common stock, registered investment company shares)	2012-12-31	$208,541
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2012-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2012-12-31	$208,541
Was this plan covered by a fidelity bond	2012-12-31	Yes
Value of fidelity bond cover	2012-12-31	$500,000
If this is an individual account plan, was there a blackout period	2012-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2012-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2012-12-31	No
Contributions received from participants	2012-12-31	$1,543,885
Participant contributions at end of year	2012-12-31	$247,524
Participant contributions at beginning of year	2012-12-31	$108,250
Assets. Other investments not covered elsewhere at beginning of year	2012-12-31	$147,816
Income. Received or receivable in cash from other sources (including rollovers)	2012-12-31	$46,015
Other income not declared elsewhere	2012-12-31	$11,370
Administrative expenses (other) incurred	2012-12-31	$4,974
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2012-12-31	No
Value of net income/loss	2012-12-31	$1,260,884
Value of net assets at end of year (total assets less liabilities)	2012-12-31	$8,470,003
Value of net assets at beginning of year (total assets less liabilities)	2012-12-31	$7,209,119
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2012-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2012-12-31	No
Were any leases to which the plan was party in default or uncollectible	2012-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2012-12-31	$5,655,746
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2012-12-31	$4,754,033
Interest on participant loans	2012-12-31	$8,821
Value of interest in common/collective trusts at end of year	2012-12-31	$2,360,502
Value of interest in common/collective trusts at beginning of year	2012-12-31	$1,297,664
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2012-12-31	$55,940
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2012-12-31	$901,356
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2012-12-31	$901,356
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2012-12-31	$486,800
Net investment gain or loss from common/collective trusts	2012-12-31	$179,235
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2012-12-31	No
Was there a failure to transmit to the plan any participant contributions	2012-12-31	No
Has the plan failed to provide any benefit when due under the plan	2012-12-31	No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2012-12-31	$1,218,219
Assets. Corporate common stocks other than exployer securities at end of year	2012-12-31	$150,291
Did the plan have assets held for investment	2012-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2012-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2012-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2012-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2012-12-31	Disclaimer
Accountancy firm name	2012-12-31	SAX MACY FROMM & CO., PC
Accountancy firm EIN	2012-12-31	223177927
2011 : FOREX CAPITAL MARKETS, LLC 401(K) PLAN 2011 401k financial data
Total unrealized appreciation/depreciation of assets	2011-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2011-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2011-12-31	$0
Total income from all sources (including contributions)	2011-12-31	$1,475,514
Total loss/gain on sale of assets	2011-12-31	$0
Total of all expenses incurred	2011-12-31	$237,707
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2011-12-31	$233,616
Expenses. Certain deemed distributions of participant loans	2011-12-31	$559
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2011-12-31	$1,601,518
Value of total assets at end of year	2011-12-31	$7,209,119
Value of total assets at beginning of year	2011-12-31	$5,971,312
Total of administrative expenses incurred including professional, contract, advisory and management fees	2011-12-31	$3,532
Total interest from all sources	2011-12-31	$5,571
Total dividends received (eg from common stock, registered investment company shares)	2011-12-31	$121,179
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2011-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2011-12-31	$121,179
Was this plan covered by a fidelity bond	2011-12-31	Yes
Value of fidelity bond cover	2011-12-31	$500,000
If this is an individual account plan, was there a blackout period	2011-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2011-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2011-12-31	No
Contributions received from participants	2011-12-31	$1,515,177
Participant contributions at end of year	2011-12-31	$108,250
Participant contributions at beginning of year	2011-12-31	$87,517
Assets. Other investments not covered elsewhere at end of year	2011-12-31	$147,816
Assets. Other investments not covered elsewhere at beginning of year	2011-12-31	$175,955
Income. Received or receivable in cash from other sources (including rollovers)	2011-12-31	$86,341
Other income not declared elsewhere	2011-12-31	$-26,234
Administrative expenses (other) incurred	2011-12-31	$3,532
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2011-12-31	No
Value of net income/loss	2011-12-31	$1,237,807
Value of net assets at end of year (total assets less liabilities)	2011-12-31	$7,209,119
Value of net assets at beginning of year (total assets less liabilities)	2011-12-31	$5,971,312
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2011-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2011-12-31	No
Were any leases to which the plan was party in default or uncollectible	2011-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2011-12-31	$4,754,033
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2011-12-31	$3,794,536
Interest on participant loans	2011-12-31	$5,571
Value of interest in common/collective trusts at end of year	2011-12-31	$1,297,664
Value of interest in common/collective trusts at beginning of year	2011-12-31	$1,204,647
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2011-12-31	$901,356
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2011-12-31	$708,657
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2011-12-31	$708,657
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2011-12-31	$-213,083
Net investment gain or loss from common/collective trusts	2011-12-31	$-13,437
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2011-12-31	No
Was there a failure to transmit to the plan any participant contributions	2011-12-31	No
Has the plan failed to provide any benefit when due under the plan	2011-12-31	No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2011-12-31	$233,616
Did the plan have assets held for investment	2011-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2011-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2011-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2011-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2011-12-31	Disclaimer
Accountancy firm name	2011-12-31	SAX MACY FROMM & CO., PC
Accountancy firm EIN	2011-12-31	223177927
2010 : FOREX CAPITAL MARKETS, LLC 401(K) PLAN 2010 401k financial data
Total unrealized appreciation/depreciation of assets	2010-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2010-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2010-12-31	$0
Total income from all sources (including contributions)	2010-12-31	$2,001,671
Total loss/gain on sale of assets	2010-12-31	$0
Total of all expenses incurred	2010-12-31	$397,537
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2010-12-31	$393,495
Expenses. Certain deemed distributions of participant loans	2010-12-31	$531
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2010-12-31	$1,343,907
Value of total assets at end of year	2010-12-31	$5,971,312
Value of total assets at beginning of year	2010-12-31	$4,367,178
Total of administrative expenses incurred including professional, contract, advisory and management fees	2010-12-31	$3,511
Total interest from all sources	2010-12-31	$4,647
Total dividends received (eg from common stock, registered investment company shares)	2010-12-31	$60,289
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2010-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2010-12-31	$60,289
Was this plan covered by a fidelity bond	2010-12-31	Yes
Value of fidelity bond cover	2010-12-31	$500,000
If this is an individual account plan, was there a blackout period	2010-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2010-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2010-12-31	No
Contributions received from participants	2010-12-31	$1,342,334
Participant contributions at end of year	2010-12-31	$87,517
Participant contributions at beginning of year	2010-12-31	$80,331
Assets. Other investments not covered elsewhere at end of year	2010-12-31	$175,955
Assets. Other investments not covered elsewhere at beginning of year	2010-12-31	$156,549
Income. Received or receivable in cash from other sources (including rollovers)	2010-12-31	$1,573
Other income not declared elsewhere	2010-12-31	$26,460
Administrative expenses (other) incurred	2010-12-31	$3,511
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2010-12-31	No
Value of net income/loss	2010-12-31	$1,604,134
Value of net assets at end of year (total assets less liabilities)	2010-12-31	$5,971,312
Value of net assets at beginning of year (total assets less liabilities)	2010-12-31	$4,367,178
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2010-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2010-12-31	No
Were any leases to which the plan was party in default or uncollectible	2010-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2010-12-31	$3,794,536
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2010-12-31	$2,793,636
Interest on participant loans	2010-12-31	$4,647
Value of interest in common/collective trusts at end of year	2010-12-31	$1,204,647
Value of interest in common/collective trusts at beginning of year	2010-12-31	$733,903
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2010-12-31	$708,657
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2010-12-31	$602,759
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2010-12-31	$602,759
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2010-12-31	$408,290
Net investment gain or loss from common/collective trusts	2010-12-31	$158,078
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2010-12-31	No
Was there a failure to transmit to the plan any participant contributions	2010-12-31	No
Has the plan failed to provide any benefit when due under the plan	2010-12-31	No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2010-12-31	$393,495
Did the plan have assets held for investment	2010-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2010-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2010-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2010-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2010-12-31	Disclaimer
Accountancy firm name	2010-12-31	SAX MACY FROMM & CO., PC
Accountancy firm EIN	2010-12-31	223177927
2009 : FOREX CAPITAL MARKETS, LLC 401(K) PLAN 2009 401k financial data
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2009-12-31	$0

Form 5500 Responses for FOREX CAPITAL MARKETS, LLC 401(K) PLAN

2015: FOREX CAPITAL MARKETS, LLC 401(K) PLAN 2015 form 5500 responses
2015-01-01	Type of plan entity	Mulitple employer plan
2015-01-01	Submission has been amended	No
2015-01-01	This submission is the final filing	No
2015-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2015-01-01	Plan is a collectively bargained plan	No
2015-01-01	Plan funding arrangement – Trust	Yes
2015-01-01	Plan benefit arrangement - Trust	Yes
2014: FOREX CAPITAL MARKETS, LLC 401(K) PLAN 2014 form 5500 responses
2014-01-01	Type of plan entity	Mulitple employer plan
2014-01-01	Submission has been amended	No
2014-01-01	This submission is the final filing	No
2014-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2014-01-01	Plan is a collectively bargained plan	No
2014-01-01	Plan funding arrangement – Trust	Yes
2014-01-01	Plan benefit arrangement - Trust	Yes
2013: FOREX CAPITAL MARKETS, LLC 401(K) PLAN 2013 form 5500 responses
2013-01-01	Type of plan entity	Mulitple employer plan
2013-01-01	Submission has been amended	No
2013-01-01	This submission is the final filing	No
2013-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2013-01-01	Plan is a collectively bargained plan	No
2013-01-01	Plan funding arrangement – Trust	Yes
2013-01-01	Plan benefit arrangement - Trust	Yes
2012: FOREX CAPITAL MARKETS, LLC 401(K) PLAN 2012 form 5500 responses
2012-01-01	Type of plan entity	Mulitple employer plan
2012-01-01	Submission has been amended	Yes
2012-01-01	This submission is the final filing	No
2012-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2012-01-01	Plan is a collectively bargained plan	No
2012-01-01	Plan funding arrangement – Trust	Yes
2012-01-01	Plan benefit arrangement - Trust	Yes
2011: FOREX CAPITAL MARKETS, LLC 401(K) PLAN 2011 form 5500 responses
2011-01-01	Type of plan entity	Single employer plan
2011-01-01	Submission has been amended	No
2011-01-01	This submission is the final filing	No
2011-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2011-01-01	Plan is a collectively bargained plan	No
2011-01-01	Plan funding arrangement – Trust	Yes
2011-01-01	Plan benefit arrangement - Trust	Yes
2009: FOREX CAPITAL MARKETS, LLC 401(K) PLAN 2009 form 5500 responses
2009-01-01	Type of plan entity	Single employer plan
2009-01-01	Submission has been amended	No
2009-01-01	This submission is the final filing	No
2009-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2009-01-01	Plan is a collectively bargained plan	No
2009-01-01	Plan funding arrangement – Trust	Yes
2009-01-01	Plan benefit arrangement - Trust	Yes

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Company Name:	FOREX CAPITAL MARKETS, LLC
Employer identification number (EIN):	113502151
NAIC Classification:	523130
NAIC Description:	Commodity Contracts Dealing

Jurisdiction of Incorporation:	Texas Secretary of State
Incorporation Date:	2005-12-29
Company Identification Number:	0800591866
Legal Registered Office Address:	1 ROCKEFELLER PLZ RM 475 NEW YORK United States of America (USA) 10020