Best Execution Statement
Breakpoint Disclosure Statement
Business Continuity Plan
Customer Complaint Notice
Customer Identification Program Notice
Customer Relationship Summary
Day Trading Risk Disclosure Statement
Direct Communication Rule 14B-1(c)
Extended Hours Trading
Exchange Traded Products Risk Disclosure
FINRA Public Disclosure Program
Fixed Income Securities Terms and Conditions
General Investment and System Risk Disclosure
Margin Disclosure Statement
Penny Stock Disclosure
Regulation Best Interest Disclosure Statement
Risk Disclosure Statement
SEC Rule 606 Order Disclosure
SEC Rule 607 Order Disclosure
Special Options Risk Disclosure Statement for Uncovered Option Writers
Terms and Conditions
SEC Rule 606
SEC Rule 606 (“Rule 606”) requires broker-dealers, such as Lime Trading, that route customer orders in equity and option securities, to make publicly available quarterly reports that, among other things, identify the market centers to which customer orders are routed for execution.
The Rule 606(a)(1) Report provides information on the routing of held, “non-directed orders” — any order that the client has not specifically instructed to be routed to a particular venue or market center for execution. For these non-directed orders, Lime Trading has selected the execution venue on behalf of its clients. The Rule 606 Report presents the order routing information by calendar month and is divided into three sections per month:
- Section 1 is for NMS stock orders in securities included in the S&P 500 Index;
- Section 2 is for NMS stock orders in securities that are not included in the S&P 500 Index;
- Section 3 is for NMS securities that are exchange–listed options.
Each section of the Report includes information concerning certain market centers to which Lime Trading has routed orders, sets forth the percentage of various types of non-directed orders routed to these market centers (e.g., market, marketable limit, non-marketable limit, other), and discusses the material aspects of Lime Trading’s relationship with these market centers. Material aspects of the relationship include a description of the terms of any payment for order flow and any profit-sharing arrangements that may influence a broker-dealer’s order routing decision.
Rule 606 (b)(1) requires Lime Trading to disclose to its customers, upon request, for held orders in NMS stocks and orders in NMS securities that are option contracts, the identity of the venue to which the customer’s orders were routed for execution in the six months prior to the request, whether the orders were directed orders or non-directed orders, and the time of the transactions, if any, that resulted from such orders.
Lastly, Rule 606(b)(3) requires Lime Trading to provide a customer, upon request, an individualized report concerning how Lime Trading handed that customer’s not held orders in NMS stocks for the prior six months. The Rule 606(b)(3) report will be divided into separate sections for a customer’s directed orders and non-directed orders, in conformance with the XML schema published on the SEC website and is required to be produced within seven business days of the customer’s request. Clients may request an SEC Rule 606(b)(3) report by contacting SPC.
Futures Commission Merchant (FCM) Disclosures
|Adjusted Net Capital||$3,807,121||$2,878,057||$3,689,591||$4,664,309||$5,214,640||$5,370,510||$6,392,824||$7,012,673||$7,731,244||$8,466,951||$9,107,343||$9,787,413|
|Required Net Capital||$1,000,000||$1,000,000||$1,000,000||$1,000,000||$1,000,000||$1,000,000||$1,000,000||$1,000,000||$1,000,000||$1,000,000||$1,000,000||$1,000,000|
|Excess Net Capital||$2,807,121||$1,878,057||$2,689,591||$3,664,309||$4,214,640||$4,370,510||$5,392,824||$6,012,673||$6,731,244||$7,466,951||$8,107,343||$8,787,413|
Statements of Segregation Requirements and Funds in Segregation for Customers Trading on U.S. Exchanges & the Statements of Secured Amounts and Funds Held in Separate Accounts:
Daily Customer Segregated and Secured Fund Statement:
Additional FCM Documents
Financial information regarding Lime Trading, including how it invests and holds customer funds, may be obtained from the National Futures Association (NFA) online by visiting the NFA Basic System website.
The U.S. Commodity Futures Trading Commission (CFTC) provides additional financial information on all FCMs on the CFTC website.