Future Broker

Professional Traders

Our high-volume professional traders expect: exceptional speed, consistent reliability and broad market access. In 2003, we created one of the most advanced electronic trading environments in the industry. At this high-security off-site location, there is redundancy for every critical function of our trading network, with no single point of failure. In addition, we have monitoring capabilities to identify price latencies, trade transmission issues and server overloads on a timely basis. To keep up with the ever-changing world of technology, we recently installed new servers to provide unparalleled speed of execution. Thus, we offer one of the most reliable networks in the industry.

There are only a handful of FCMs that clear the business of floor traders (also known as local traders), and RCG is proud to serve that important clientele. RCG currently clears more than 600 locals on the Chicago Board of Trade, Chicago Merchantile Exchange, New York Mercantile Exchange and ICE Futures U.S. (formerly New York Board of Trade) floors. Local traders enjoy our personal, responsive service and appreciate our thorough understanding of the business.

How U.S. Regulations Protect Your Funds

Pursuant to the Commodity Exchange Act and Commodity Futures Trading Commission (CFTC) regulations, Rosenthal Collins Group LLC (RCG), a Futures Commission Merchant (FCM), is required to treat all customers' money, securities and other property received to margin, guarantee or secure futures or options trades as customer property. RCG is also required to account separately for and segregate customer money, securities and property and not to commingle those assets with RCG's own operating assets. Customers' segregated assets cannot be used to margin any other person's trades. These segregation requirements apply to futures and options trades on exchanges located in the United States.

How RCG Helps Protect Your Funds

In compliance with segregation requirements, RCG does the following:

• Customer funds are maintained at banks in clearly identified "segregated funds" accounts separate and apart from any other funds of RCG.
• Each bank signs a written acknowledgment that (i) the segregated funds are held in the account in accordance with the Commodity Exchange Act and CFTC regulations, and (ii) the bank will not hold, dispose of, or use any of the segregated assets for anyone, including RCG, other than the RCG customers.
• The assets of one customer at RCG are not used to purchase, margin or settle the trades or positions, or to secure or extend credit, of any other customer.
• RCG will invest segregated assets only in funds guaranteed by the United States or other allowed instruments. Investments may include U.S. Treasury securities, municipal securities, government sponsored agency securities, certificates of deposit or money market mutual funds.
• Segregated assets are only invested through, or deposited in, customer segregated funds accounts.
• RCG keeps a "real time" record of customer segregated funds and assets.
• Every business day, the total amount of customer assets required to be segregated and the total amount of assets actually deposited in segregated accounts is calculated as of the close of the previous business day.

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