SEC Info - Knight Capital Group LLC - ‘10-Q’ for 3/31/11

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Knight Capital Group LLC – ‘10-Q’ for 3/31/11 – ‘XML.R21’

On: Tuesday, 5/10/11, at 4:13pm ET · For: 3/31/11 · Accession #: 1193125-11-134211 · File #: 1-14223

  As Of               Filer                 Filing    For·On·As Docs:Size             Issuer                      Filing Agent

 5/10/11  Knight Capital Group LLC          10-Q        3/31/11   37:3.4M                                   Donnelley … Solutions/FA

Quarterly Report — Form 10-Q — Sect. 13 / 15(d) – SEA’34
Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: 10-Q        Quarterly Report                                    HTML    605K 
 2: EX-31.1     Certification of Chief Executive Officer Pursuant   HTML     20K 
                to Section 302                                                   
 3: EX-31.2     Certification of Chief Financial Officer Pursuant   HTML     20K 
                to Section 302                                                   
 4: EX-32.1     Certification of Chief Executive Officer Pursuant   HTML     15K 
                to 18 U.S.C. Section1350                                         
 5: EX-32.2     Certification of Chief Financial Officer Pursuant   HTML     15K 
                to 18 U.S.C. Section1350                                         
28: XML         IDEA XML File -- Definitions and References          XML     80K 
33: XML         IDEA XML File -- Filing Summary                      XML     48K 
31: XML.R1      Document and Entity Information                      XML    162K 
32: XML.R2      Consolidated Statements of Operations                XML    315K 
19: XML.R3      Consolidated Statements of Financial Condition       XML    342K 
23: XML.R4      Consolidated Statements of Financial Condition       XML     82K 
                (Parenthetical)                                                  
27: XML.R5      Consolidated Statements of Cash Flows                XML    493K 
26: XML.R6      Organization and Description of the Business         XML     46K 
36: XML.R7      Significant Accounting Policies                      XML     77K 
15: XML.R8      Fair Value of Financial Instruments                  XML    191K 
25: XML.R9      Collateralized Transactions                          XML     40K 
14: XML.R10     Receivable from and Payable to Brokers, Dealers      XML     48K 
                and Clearing Organizations                                       
13: XML.R11     Investments                                          XML     48K 
18: XML.R12     Goodwill and Intangible Assets                       XML    115K 
30: XML.R13     Long-Term Debt                                       XML     52K 
20: XML.R14     Comprehensive Income                                 XML     44K 
21: XML.R15     Stock-Based Compensation                             XML     81K 
24: XML.R16     Income Taxes                                         XML     46K 
37: XML.R17     Discontinued Operations                              XML     58K 
17: XML.R18     Earnings Per Share                                   XML     53K 
12: XML.R19     Significant Clients                                  XML     37K 
22: XML.R20     Commitments and Contingent Liabilities               XML     69K 
29: XML.R21     Financial Instruments with Off-Balance Sheet Risk    XML     40K 
                and Concentrations of Credit Risk                                
16: XML.R22     Business Segments                                    XML     57K 
34: EXCEL       IDEA Workbook of Financial Reports (.xls)            XLS    498K 
 6: EX-101.INS  XBRL Instance -- kcg-20110331                        XML    591K 
 8: EX-101.CAL  XBRL Calculations -- kcg-20110331_cal                XML    116K 
 9: EX-101.DEF  XBRL Definitions -- kcg-20110331_def                 XML     33K 
10: EX-101.LAB  XBRL Labels -- kcg-20110331_lab                      XML    351K 
11: EX-101.PRE  XBRL Presentations -- kcg-20110331_pre               XML    225K 
 7: EX-101.SCH  XBRL Schema -- kcg-20110331                          XSD     53K 
35: ZIP         XBRL Zipped Folder -- 0001193125-11-134211-xbrl      Zip     64K

‘XML.R21’ — Financial Instruments with Off-Balance Sheet Risk and Concentrations of Credit Risk

This Financial Report is an XBRL XML File.

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<div> <table style="border-collapse: collapse;" border="0" cellspacing="0" cellpadding="0" width="100%"> <tr><td valign="top" width="4%" align="left">16.</td> <td valign="top" align="left">Financial Instruments with Off-Balance Sheet Risk and Concentrations of Credit Risk </td></tr></table> As a market maker of equities and options, the majority of the Company's securities transactions are conducted as principal or riskless principal with broker-dealers and institutional counterparties primarily located in the United States. The Company clears a portion of its securities transactions through third party clearing brokers. Foreign transactions are settled pursuant to global custody and clearing agreements with major U.S. banks. Substantially all of the Company's credit exposures are concentrated with its clearing brokers, broker-dealer and institutional counterparties. The Company's policy is to monitor the credit standing of all counterparties with which it conducts business. The Company self-clears substantially all of its U.S. equity securities transactions using an internally-developed platform. Self-clearing exposes the Company to operational risks, including business disruption, operational inefficiencies, liquidity, counterparty and financing risks and potentially increased expenses and lost revenue opportunities. While the clearing platform, operational processes, enhanced infrastructure, and current and future financing arrangements have been carefully designed, the Company may nevertheless encounter difficulties that may lead to operating inefficiencies, dissatisfaction amongst its client base, disruption in the infrastructure that supports the business, inadequate liquidity and/or financial loss. In the normal course of its operations, the Company enters into contracts that contain a variety of representations and warranties which provide general indemnifications. The Company's maximum exposure under these arrangements is unknown, as this would involve future claims that may be made against the Company that have not yet occurred. However, based on experience, the Company believes the risk of loss is minimal. Financial instruments sold, not yet purchased, at fair value represent obligations to purchase such securities (or underlying securities) at a future date. The Company may incur a loss if the market value of the securities subsequently increases. The Company currently has no loans outstanding to any former or current executive officer or director. </div>

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Filing Submission 0001193125-11-134211 – Alternative Formats (Word / Rich Text, HTML, Plain Text, et al.)

Knight Capital Group LLC – ‘10-Q’ for 3/31/11 – ‘XML.R21’

On: Tuesday, 5/10/11, at 4:13pm ET · For: 3/31/11 · Accession #: 1193125-11-134211 · File #: 1-14223

Previous ‘10-Q’: ‘10-Q’ on 11/9/10 for 9/30/10 · Next: ‘10-Q’ on 8/9/11 for 6/30/11 · Latest: ‘10-Q/A’ on 5/10/13 for 3/31/13

Quarterly Report — Form 10-Q — Sect. 13 / 15(d) – SEA’34Filing Table of Contents

‘XML.R21’ — Financial Instruments with Off-Balance Sheet Risk and Concentrations of Credit Risk

This Financial Report is an XBRL XML File.

Quarterly Report — Form 10-Q — Sect. 13 / 15(d) – SEA’34
Filing Table of Contents