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!FOIA REQUESTS 

:16-Mar-23 : : : : : ....,;................................................................................................................................~ .................................;.................................................................................................; ..............................................;....................... ! 2303-1618-0144-87 ! !All 12/31/22 figures unless noted otherwise ! ! • •••..• . ................................................ ...............,.. ...... ..... .............. ..............................,.. ....;....... ..........••.• •.... ........! .......... .............. ..... ......... ..... ..... . ~-- -·-·· ··· · ······ ·············· ····· ········· ····· ··········-·-· ····· ·················-· ····· -·· ········· · ·············· l REGISTERED BROKER/ FCM NAME NFA # ADJUSTED NET NET CAPITAL EXCESS NET CAPITAL j 

l CAPITAL REQUIREMENT -------------------------------------~-~---------------························ 

....\Roy. E.. Abbott Futures,.lnc.................................................................\#0287150............·................................................ .....................~.1.~.....................·..............................................L..................... \Acuvest Brokers, LLC \#0394459 \ \ GIB ! [ 

.... \ADM.Investor.Services,.Inc...............................................................\#0000360............L..............................................\...................FCM ...................L............................................L..................... ....I!\9.Y.~~~~.T.E~~!!~s..~~~................................................................................I~g9.?~.?.~~............L?........................?:.;.~~:.?.~~.. I.$..............................~.?.:9.~.~..l.t..................?.:9.~.~:.?.~.~..L...................... .... jAdvantage.Futures.................................................................................... j#0327359............1................................................ j...................FCM ...................L............................................1....................... 

....[AgDairy..........................................................................................................[#0319211............l................................................ l........withdrew.2005........L............................................l...................... . !AGN Futures (#0290842 !$ 52,930 !$ 45,000 !$ 7,930 ! 

.... lAg Optimus ................................................................................................__j#o481133............!.s ..........................391,687. i.s .............................45,ooo..i.s.......................346,687..L.................. . ....laiSource (DBA .for Lakefront,. see.below) ................................1#0277198............L..............................................l................................................L............................................L..................... \Allendale Inc. \#0002856 j j GIB j j 

....lAltavest.worldwide.Trading, Inc.....................................................~ #0277488............l................................................l....................G.1B....................L............................................L...................... !ALTAVRA Inc. (#0348818 ! ! GIB ! ! .... ·.............................................................................................................................. .................................. ;................................................ ·................................................; ..............................................,........................ 

!Amerex Brokers LLC (#0445107 ! ! GIB ! ! ••.. y • ...•••.•••...•....••.•••...••...••••••...••....•..••...••. •. •••••••...•....••.•••...••••. ••••••....•...•••.••...••.•..••••• .., 1, •••• ••••••••••••••••••••••••• •••• , •• •••••••• ••••••••• •••••••• ••••••••••••••• ••••••y ..•...•••••• ....•....•••.••...•....••••••...••..1..............................................,....................... 

!AMP Futures (#0412490 ! ! FCM ! ! 

...lA.Packard.Trading .(APT).(OBA. for. Zaner,.on.other.she~t)······························L.········...································..l················································L.··········································j__····················· 

....lApexFutures..................................................................................................~#0425012............l.$..........................104,498.l.S.............................45,ooo..l.$..........................59,498..L..................... !Applegate Commodities, LLC (#0439480 ! ! withdrew 2021 ! ! ··•• •·· ·· ····· ··· ············· ·· ··· ···· ··· ·· ··· ·· ········ ··· ·· ····· ··· ············· ···· ···· ···· ··· ·· ····· ··· ···· ····· ··)·· ··· ···· ··· ···· ···· ···· ··· 1· ····· ··· ···· ········ ············· ···· ·····~ ·· ··· ·· ····· ··· ·· ··· ········ ···· ············1 ···· ············· ········ ·· ··· ·· ··· ···· ··1··············· ······· 

!ATC Brokers (#0358522 ! ! withdrew 2022 ! ! 

....lAtlas.commodities,.LLC......................................................................!#0426825............l.s ..........................590,971 I.s.............................45,ooo..l_s.......................545,971..L..... ............. !Atlas Commodities Markets, LLC !n/a ! l no prior status ! ! 

]Atten Bahler Commodities LLC [#0436239 i [ GIB i i 

····<-·······························································································································>································•1•·············································••)··············································••1••···········································•1••······················ !Axiom Derivatives, LLC (#0470545 ! ! withdrew 2018 ! ! 

]BBL Brokers LLC [#0512074 !$ 64,967 [ $ 45,000 !$ 19,967 ! ..••<-•••••...... ......................................................... ...........................................................>..•• .............................................................................., ................................................,..............................................I..•••..••..•--..•••..•• 

!Beverley Hills Capital (#0264961 !$ 8,144,084 !$ 45,000 !$ 8,099,084 ! 

]BGC Financial, L.P. MINT [#0257116 !$ 11,240,496 [ $ 315,565 !$ 10,924,031 : ....(••··· .........................................................................................................................,)••···............................................................................. ) ••····· .........................................,..............................................,........................ 

!BGC Partners Inc. (#0462361 ! ! no prior status ! ! 

!Blue Line Futures, LLC [#0506266 1$ 58,942 i$ 45,000 1$ 13,942 1 ··••t ••·····················································································••··························••··········>·································•···········•····································,-................................................,..............................................,....................... 

....l~.!~~..9~.~~.~..~~~.~~~~.~~.~.~~...............................................................j~g~~.~~.?..~............L............................................ L.......'.'.:'.!~.~.?.~~.~..?g.~~.........L............................................L...................... !Bosworth Brokers LLC (#0443790 !$ 215,539 !$ 45,000 !$ 170,539 ! ··••'t ••·······························••····················································••·••·······················••··········>···············•••·••············•···········•··························••·•••····,-................................................,..............................................,........................ !Breitin er & Sons (#0284447 ! ! GIB ! ! 

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!Broker Junction, Series L.L.C. !#0357061 withdrew 2022 ! 

....i~.!~.Tt~~t~g,.9.~~~P.................................................................................J~g~~.?.~.~.?......... ...l.?.........................J9.~:.~.?.?..l.?.............................. \~~.~..l.~...... ............. .....?.\?.~.?...L........... ...... .. .... \Cannon.Trading.Company .................................................................. \#0216708..........JS..........................340,967. \.s.............................45,000..i_S.......................295,967..i_8/31/2022. 

!Capital Trading Group (#0374361 !$ 590,268 !$ 45,000 !$ 545,268 ! 

.. iCattleHedging.C0111,.LLC.....................................................................1#0314511............l................................................ :....................G.1B....................L............... ....................... ....L ................... . !Cattlenomics, LLC (#0525937 ! i GIB i i 

....iCES.Capital.International.(Hong Kong) Ltd.............................~ n/a..........................L..............................................l.... ....no.prior status.........L............................................L..................... \CHS Hedging, LLC \#0409082 \ j no prior status j j 

....lCIH.Trading,_LLC...................................................................................J#0378210............l.s......................1,910,5.17.l.S.............................45,000_.l,$................... 1,865,517..L.................. ... !Citron Commodities, LLC \#0503829 !$ 716,808 !$ 51,000 !$ 665,808 ! 

icleartrade Commodities [#0310150 i i withdrew 2023 i i ....(,...............................................................................................................................~ .................................................................................. ) ................................................,..............................................,....................... 

!Click Futures !#358056 i i GIB i i 

....lcolumbia.Futures.Gro~p.......................................................................1#229879...............l....................... .......................1.............. ..G.IB....................L........ ............. ....................L............. .. . ....lCommodity .Risk Management.Group (CRMGL................j#349607...............l.$..........................608,939.l,S.......................... 135,ooo..l.$.......................473,949..L.... ................. !CommStock Investments (#86294 ! ! GIB ! ! •• ••Y••·••••••..•••• •••••••••••••••••••••••••••••••••••••• ••••• •·•••••••••••• •••••••••••••••••••••••••••• ••••••••••••••• ••••••••• •••>• •••••••••••••• •••••••••••••• ••••l•••••••••• ••••••••• ••·•• •••••••••••••• ••••••••••Y•• •••• ••••••••••• •·••••••• ••·•• •••••••••••••• •••l•••••••••• •••• ••••••••••• ••• •••••• ••••• •••••••I•••••••••••••••••••• ••• 

....lCompass.Ag Solutions............................................................................[#0442312............l..............................................[....................G.1B....................L............................................L................. . ....LConover.Futures .Group,.LLC...........................................................[#0444293............J................................................l...................GIB....................L............................................i........................ !Coquest, Inc. \#0232575 !$ 1,748,492 !$ 45,000 !$ 1,703,492 ! 

.. ]cornerstone.Futures,.LLC....................................................................!#0445956............l.$..........................659,898 [.s.............................45,000..l.$.......................614,898..L...................... !Crunch Risk, LLC \#0452412 !$ 155,436 !$ 45,ooo !$ 110,436 ! 

.. ICunningham.Commodities,.LLC.....................................................!#0001398............!.......... .......................... ..... [.. ................FCM ...................L.........................................J........................ !DairyVisor Inc. \#0392732 ! ! GIB ! ! 

....IDaiwa.Capital.Markets.America.Inc.............................................J#Ol82017............!....... .................. ... .. ........... [.. .......... .FCM ...................L........ .......... ...................J.................... . .... P.~ .I.~ ~. ..........................................................................................,l~g~?..~~.?.~............L..............................................l...................f..~.~....................L............................................L...................... !Daw Trading \#0002569 ! ! FCM ! ! 

....1Decarley Trading (DBA.for.Zaner,.on.other.sheet) ...........J#0001951............]................................................l................................................L............................................L...................... !Denali Futures, LLC \#0279035 ! ! GIB ! ! 

....1Discount.Trading.......................................................................................1#0283032............l..................................... ....... ..1...................GIB....................L....................... ...................L... ............... ....lDonnelly Partners,.LLC........................................................................[#0499047............L.......... ..................................l...... ..no. prior status.........L............................................L.................. ... !Dorado Energy Services (#0391099 !$ 237,453 !$ 45,000 !$ 192,453 ! •• ••• •••••..,······· ····........................ ............... .......... .... ........................................... ........... ............ ...................... t. ....................... ........................ . ............................... ................. ! ....................................... . ...... , .......... ............. . 

.... P.~ ~~ ..I~~.~~.~.s..~~ .............................................................................l~g9.~.?.~.~~............L..............................................l...................f..~.~....................L............................................L...................... !E*TRADE Securities LLC (#0320906 ! ! withdrew 2016 ! ! ......................................................................................................................................................................,................................................ .................................................,..............................................,....................... 

....!Eagle.Energy Brokers,.LLC ..............................................................)#0440353............!.s......................1,434,809.!.s.............................45,ooo..!.s ...................1,389,809.L ...................... 

!Eclipse International Inc. (#0436281 !$ 788,805 !$ 72,000 !$ 716,805 ! 

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jED&F Man Capital Markets Inc. (" MCM") - now j 

!Marex Capital Markets (#0002613 : : FCM : : ....,;....................... ·······································································································~·································;················································.;.················································;··············································'······················· !Edoe Clear LLC (#0524928 i $ 596,719 i$ 45,000 i$ 551,719 i 

!EFL Futures Limited !#0343560 ! ! withdrew 2018 ! ! 

!eFloorTrade !#0300703 ! ! withdrew 2020 ! ! ....4 ... .......... ............... .............. ...... ........ .......... .... ............................... ............ .......... ...v.................................................................................. ................................................., ..............................................,........................ 

....\EHedger,.LLC............................................................................................. \#0298405............!.S..........................430,029. \.s.............................45,ooo..i_S.......................385,029.J....................... 

!ENGNSOL LLC (#0390255 i i no prior status i i ••••y .... ...........................................................................................................................) ................................., . .......................... .....................,:,................................................, .......................................... ...., ....................... 

\EOX Holdings LLC \#0409750 j $ 628,488 j $ 207,000 j $ 421,488 j 

iEP Derivatives LLC (#0477869 : $ 69,563 :$ 45,000 !$ 24,563 : .... y . .......................... .......................... ......... ............................................................... .............) ................................. ..... , .. .................................................y .. ..... . ........................................ . ............. .................... ...................., ....................... ..... 

ieRoom Securities, LLC (#0305018 : $ 3,380,907 :$ 250,000 :$ 3,130,907 : 

!ETONG E-COMMERCE (SHANGHAI) CO., LTD [n/a ! ! no prior status ! ! ....(,...............................................................................................................................) ................................. ;................................................ ) ................................................,..............................................,....................... 

:Evolution Markets, Inc. (#325395 ! ! withdrew 2008 ! ! ....y ............................................................................................................. ........................., .................................. . 1................................................,).................................................1.............. ................................., ......................... 

:Excel Futures, Inc. (#0290172 : : GIB : : ····<-······..,···············-..····.........................................................................................................)....................................,...................................................y . ........................... ........................ , ................. .................... ............. , .......................... 

!Foremost Tradinu, LLC !#0307930 ! ! withdrew 2021 ! ! ....(,.....................................£ .......................................................................................;.................................i.................................................;................................................i..............................................i........................ 

:Futu Securities International (Hong Kong) Limited :n/a : : no prior status : : •• ••Y• •·••••••..•••• •••••••••••••••••••••••••••••••••••••• ••••• •·•••••••••••• •••••••••••••••••••••••••••••••••••••• ••••..••••••••• •••>••••••••••••••••••••••••• ••••••••l••••• ••••• ••••••••• ••·••••••••••••••••••·•••••••Y•••••• •••••• ••••• •·••••••• ••·•••••••••••••••••••l•••••• •••••••• •••••• ••••• ••• •••••• ••••• •••••••I•••••••••••••••• ••••••• 

:Futures International LLC (#0350082 : $ 520,481 !$ 48,000 :$ 472,481 : ••••<-•••••• ••••••••••••••••••••••••••••••••••••••••••• ••••••••• ••••••••••••••••••• •••••••••••••••••••••••••••••••••••••• ••••••••••••>•••••• •••••••••••••• ••••• ••••••••l•••••••••••••••••••••• ••••••• •••••••••••••• ••••• >••••••••••••••••••••••••••••• •••••••••••••••••••l• •••••••••••••••••••••••••••••••••••••••••••••I••••••• •••• •••••••••••• 

....lFutures.Manage1nent.Group, Inc......................................................\#0212664............J................................................l.......withdrew.1993........L............................................i........................ (G. H. Financials, LLC (#0431801 ! ! FCM ! ! 

.. ]GA.Global.Markets,.LLC.....................................................................!#0391091............l.$..........................274,172[.s.............................45,ooo.Js.......................229,172..l...................... . ....lGAIN.Capital..Group.LLc....................................................................;#0339826............L............................................ l...................FCM ...................L............................................L.................... . !Generic Trade !#0419161 ! ! GIB ! ! ....(...............................................................................................................................;.................................i••·..·········..................................;.........,......................................i.................,............................i........................ 

!GFF Brokers (#0500084 !$ 217,280 !$ 45,000 !$ 172,280 ! 

....lGFI.Group ....................................................................................................!#0202302............l.......................................... ... [.........no.prior status.........l.............................................L .................... ....lGlobal.Commodity.Analytics.& .Consulting.LLC................,;#0412612............L..............................................l....................GIB ....................L............................................L...................... !Go Futures (Now JronBeam) (#0415708 ! l FCM ! ! 

]Goldman Sachs 1 1 1 too many to list ! ! ••••<-•••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••)•••••••••••••••••••••••••••••••••l••••••••••••••••••••••••••••••••••••••••••••••••->••••••••••••••••••••••••••••••••••••••••••••••••l••••••••••••••••••••••••••••••••••••••••••••••t•••••••••••••••••••••••• 

!Great Lakes Trading Company, Inc. (#0254393 ! ! GIB ! : 

]Halifax America LLC [#479264 ! 1 barred in 2021 ! ! ••·• ••• •••• ..•••• ·••·•·•••• ••••••••••••••••·••••··•••••••••• ••• •••••·••••• ••••··••••••••••••••••••••·••••··••••··•••• ••••••••·••-,.••••·••••·••••••••• •••••••·•••••t••••··••••••••••••••••··••••·••••··•••••••• •••••";l'•••••• ·••••··••••••••••••••••·· •••••••••··••• •••t••••••••··••••·••••• ·•••• ••• •••••••••·• •••••·•I••·••••••••••••• ••··••• 

....lHawkeye.Commodity. Brokers,.Inc................................................ ~#0398215............L.......... ..................................l....................G.1B.........••.•.......L............................................L.................. ... :Heartland Management Investor Services, Inc. (#0282982 : ! GIB : : .... . . .............. . ....................... ..... .............. .............. . .................. ........................ . ................. ..... .............. ........, . ............................ .............. ....... ............................................... ! .............................................. , .......... . ............ . 

:Herbert J. Sims & Co., Inc. (#0442021 ; $ 7,630,709 ;$ 405,437 ;$ 7,225,272 : 

...IHeritage. West.Financial,.Inc..............................................................1#229230..............J............ ................... .............!...................G.IB....................L...........................................J...................... ....!High.Ridge Futures.LLC.....................................................................)#479985.............J$......................1,887,106.!.s.............................45,ooo..!.$...................1,842,106.L ...................... 

:HSBC Securities (USA) Inc. (#2170 ! ! FCM ! ! ..... ...............................................................................................................................:,••······.........................,.................................................................................................,..............................................,........................ 

J ASG Inc. (#245008 i $ 1,493,302 i$ 45,ooo i$ 1,448,302 i 

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!iBroker !#0425065 !$ 1,618,548 !$ 45,000 !$ 1,573,548 ! 

:ICAP :#0304063 : $ 61,928,391 :$ 45,ooo :$ 61,883,391 : ....,;................................................................................................................................~ .................................;.................................................;.................................................; ..............................................;....................... 

.... \Infinity.Futures,.LLC.............................................................................. j#0266560............L....................................... ......j.........no.prior status.........L............................................L...................... !Insignia Futures & Options (#0311135 ! ! withdrew 2005 ! ! 

:Interactive Brokers LLC :#0258600 : : FCM : : ....4 ... .......... ............... .............. .............. .......... .... .............. ............................. .......... ...v .................................................................................. ................................................., ..............................................,........................ 

!Ironbeam Inc. (#0415708 ! ! FCM ! ! 

jIVG Energy (Apears to be part of Sage Energy j j j j j 

....\Holdings)___··························································································..········_J#0391125..........Js......................1,712,130. !.S.............................45,000__!_$................... 1,667,130.J........................ !John Stewart and Associates, Inc. (JSA) (#0309517 ! ! GIB ! ! .... y . ..... ......... .......... ................................. ................................. .......... .............. ............) . .......... ......... ......... . ... 1.......... .............. ........................y .. . ............................ .............. . .... ......... . .............. ................. .... , ...... . .... ......... . ... 

!JPR Commodities ofWest Helena, Inc. (#0087107 ! ! GIB ! ! 

:Kilo Futures LLC [#0515906 : : GIB : : .... <,. .............. . .......................................... .............. . ............................ .............. ..... .......) .............................. .... .......... ...................................... ) . ........................................................... ........................................................... 

....lKluis. Commodity Advisors.................................................................~#0086156............l................................................l................... FCM ...................L............................................L..................... !Lakefront Futures & Options, LLC (#0277198 !$ 531,621 !$ 114,000 !$ 417,621 ! · · •· <-· ··•••••···•··· · ·••· ······••·•·••••••··•··· · ·•••· ·••••·•··••• •·•••· •·•·· · ·•········••••••••·••·•···· · ·•·•··•····•· · ••••·••·· •·•)··•· · · ·•·····••••·•••••· · ·•·· · ·•·i·•·····•· · ••••·••··•··•··•• ········•·••••••••··•Y••··•· ········•··••• ··••··•··•··••···••···••••••i••••···•····•· · ·······•··••• ·•••·· ••····••···••···•••••••••••···•····• 

!LCMCommodities, LLC (#0397412 !$ 2,718,998 !$ 45,000 !$ 2,673,998 ! 

...ILido.Isle.Advisors,.LLC......................................................................._l#0428483............!................................................}...... .withdrew.2022........L............................................L.................. . ....lLightspeed.Financial.Services.Group LLC................................~#0330872............l.s......................5,069,829}.........................304,674..i.s................... 4,765,155..L..................... !Link Futures, LLC (#0466286 !$ 1,502,385 !$ 45,000 !$ 1,457,385 ! ••••<-•••• ••••••••••••••••••••••••••••••••••••••••••• ••••••••••• ••• •••••••••••••••• ••••••••••••••••••••••••••• ••••••••••• ••••••••••••>•••••••••••••••••••••••••••••••••t•••••••••• •••••••••••••••••••••••••••• ••••••••••Y•••••• ••••••••••••••••••••••••••••••••••••••• •••i•••••••••••••• ••••••••••••••••••••••••••••••••I•••••• •••••••••••••••••• 

!Linn & Associates Lie (#0483943 !$ 872,841 !$ 54,000 !$ 818,841 ! 

.. ]Loewen.and..Associates,. Inc................................................................!#0369778............!..............................................[....................G.1B....................L...........................................J........................ !Macquarie Futures USA LLC (#0366355 ! ! FCM ! ! 

.. fMarex.Group ...............................................................................................J.................................l............................ .......... .....[.. ......no.prior status.........L. ...... ..................................J........................ !Mark Carolan ! ! ! no prior status ! ! 

....lMark.IV.Brokerage,..LLC......................................................................!.................................l.. .... .................................. ...[.........no.prior status.........l.. ............. ............................L .................... !Mastel Grain 1#0075523 I I GIB I I ····<'·····..........................................................................................................................;.................................i.................................................;................................................i..............................................i........................ 

!MBF Clearing Corp. (#0205024 !$ 1,661,757 l $ 45,000 !$ 1,616,757 ! 

....IMcNamara.Options.LLC.......................................................................!#0415906............l.s..........................178,789.l.S.............................45,ooo..l.s.......................133,789..L...................... !Mizuho Securities USA LLC (#0088100 ! ! FCM ! ! 

....lNanhua. USA.LLC....................................................................................1#0466494............l.......................................... .....l ... ..............r..~.IY!....................L................. .... .....................L............. ....... ...l~~~..£~~.~.~~.~~.f~Pi!~U~-1.~~~~~~?..~~·g···..···...................................... \~g~~.~~.~.?.............L. ............................................l....................~.1.~.....................L............................................L...................... !Newgate Global Markets LLC (#0474983 !$ 145,458 !$ 45,000 !$ 100,458 ! •• ••• •••••.......... ......................................................... ........................................... ....................... ...................... t. ............................................... . ................................................! .............................................. , .......... ............. . 

....l~t~J.~:r~.~~~~...................................................................................................l~g~~.?.~.?.~............L..............................................l...................r..~.IY!....................L............................................L...................... !North Star Trading, LLC (#0424367 ! ! GIB ! ! ......................................................................................................................................................................,.................................................................................................,..............................................,....................... 

....!Nova.Energy,.Inc........................................................................................!#0442454............!..-.............................................!....................G.IB....................!..-...........................................!........................ !Optimus Futures LLC (#0481133 !$ 391,687 !$ 45,000 !$ 346,687 ! ..... ...............................................................................................................................:,••·······························t················································ ·················································t··············································t························ 

!Paradigm Futures (#0539933 ! ! withdrew 2001 ! ! 

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.... \Paragon. Global.Markets,.LLC..........................................................\~g~?..~.?.~.?.............} ..........................583,466. \.S.............................54,ooo..i_S .......................529,466.L..................... 

....lParagon.Investments,.Inc......................................................................[#0284447............l......... ......................................l....................G.1B....................L............................................L..................... ....jPark.Avenue.Asset.Management. Inc............................................j#0468829............L. ..... ....................................j....................G.1B....................L............................................L..... .............. !PFL Futures Limited ;#0445671 !$ 118,894 !$ 45,000 !$ 73,894 ! 

.. iPhillip _Capital.Inc.....................................................................................1#0422202............l.............................................. .!................... FCM ...................L..........................................L...................... .... \Pinnacle.Derivatives..Group································································ \................................. \................................................ !.........no.prior status.........1..............................................1....................... 

!Pit Base LLC ;#0536168 ! ! withdrew 2023 ! ! ••••"•••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••)••••••••••••••••••••••••••••••••• C••••••••••••••••••••••••••••••••••••••••••••••••.:,••••••••••••••••••••••••••••••••••••••••••••••••l••••••••••••••••••••••••••••••••••••••••••••••I••••••••••••••••••••••• 

!Powerhouse ;#0232575 !$ 1,748,492 !$ 45,000 !$ 1,703,492 ! 

....lPresident.........................................................................................................l.................................l................................................l.........no.prior status.........L....... ................................. ..L.................. ... jPRICE Futures Group, Inc [#0224634 j$ 770,626 j$ 72,000 j$ 698,626 j 

....lProducers'..Hedge,.LLC..........................................................................[#0501257............l-............................................. 1....................G.1 B....................L........ ................................ ..L.................. . jQuam Securities Company Limited (may now be China j j j j j 

!Tonghai International Financial Limited) \ ! ! no prior status ! ! 

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..../~.,.~..~~9~~~!~.................................................................................:..................................................................;............................................L..........................................:.........................................:....................... :16-Mar-23 : : : : : 

....J..2303-1618-0144-87.& .2303-1618-0911-68 ..._ .........- .......L..............._....................._.....................~ 1~ 31/22 figure,s ~~less n~~!d~ th~e.~ s!...L...._.....................-........1....................... 

REGISTERED BROKER/ FCM NAME NFA # ADJUSTED NET NET CAPITAL EXCESS NET CAPITAL j 

.. ! CAPITAL REQUIREMENT 1...................... 

....l.R.J. O'Brien &.Associates ............................................................)# l 87......................................................... ...........................................·.................~~~····························································:······················· 

....l.RC M.Altematives............................................................................)#425065................................................:.S....................1,679,156.).$ ........................ 45,000.:.S.................1,634,156.:....................... 

IRGC Commodities 1#529712 : $ 78,493: $ 45,000: $ 33,493: 

....[Rice.Dai,y LLC .................................................................................l#349607................................................1.s.......................608,949.J.s.......................135,ooo.1.s .................... 473,949.L..................... 

...J~J.9..f..~~~.g:~~.........................................................................................[P..?.A..fgr.RJ-9:.?.x.i.~r, ~~~..~~.<?.Y.<:...l..................... .....................L..............J~~·················.L··················~···················.L····················· 

....!Roach.Ag_Marketin_g_.....................................................................) # 1957.....................................................LS....................1,151,851).$........................ 45,000.!.S.................1,106,851.!....................... 

....!.Saima GroupLLC.............................................................................!#475498................................................:..s.......................144,710.LS ........................ 45,ooo.:.s .......................99,710.!....................... 

....!.Santander.Clearing Member (Santander.Bank.NA?L.......!..................................................................!....................-.....................! ........no _prior.status........!....................-....................!....................... 

....!Charles.Schwab Corporation.......................................................)..................................................................!....................-....................)need.more.information!....................-....................!....................... 

iSJB Futures LLC !#380318 i $ 47,711 ! $ 45,000 ! $ 2,711 ! ••••C••••••••••••••••••••••••• ' ·••••••••••••••••••• •••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••·•••>•••••••••••••••••••••• •••••••••••••••••• ••••••••••••••••••••••••••~·'•••••••••••••••••••••••••••••••••••••••••>•••••••••••••••••••••••••••·•••••••• •••••••C•••••••••• •••••••••••••••••• •••••••••••••C••••••••••••••••••••••• 

....!.Spectrum.Commodities ..................................................................!#21.6589................................................!....................-.....................1 ..................GIB..................!....................-....................:....................... 

....i.Stage.5 .TradinK...............................................................................J #444666................................................!.s.......................631,260 ).$........................ 45,0oo.i_ S.................... 586,260.i....................... 

! Starfuels Inc !#445416 ! $ 683,893 ! $ 66,000 ! $ 617,893 ! ••••C•..•••••••••........2........................... ,.................,............................. . . ....,............>..••••..•••...........,...........................................,c......... ,..................................>..................,................. ,......,..........,..............................,....,.................. 

!StoneX Financial Inc. !#476094 ! ! FCM ! ! 

....!.Straits.Financial................................................................................)#4259l 8................................................!..........................................J.................FCM .................:.........................................:....................... 

!Striker Securities Inc. !#277685 ! $ 112,254 ! $ 45,000 ! $ 67,254 ! ....t. ..................... .................................... .................. .................... . . .............. ...~ .... .............................................. ................ ..·•..•• .......... .................. ..................................................., ........................................., ...................... . 

....!.Sweet.Futures......................................................................................!#4.1_7463................................................!.s.......................651,294.}.$ .........................54,000.!.S.................... 597,294.!....................... 

....!.Swift.Trading·····················································································)#234905................................................!....................-....................J..................GIB..................!....................-....................!....................... 

...)_yntex.Energy LLC........................................................................)#447504................................................:..s......................... 81,510 .l.$ ........................ 45,ooo.i. s .......................36,510.L..................... 

....lTastyWorks..........................................................................................[#492333................................................LS.................35,631,746.}.$ ......................250,000.Ls...............35,381,746.L..................... ....!TD Ameritrade..................................................................................)#477394................................................l...........................................! .................FCM .................l.........................................l....................... 

....!Thales.Trading Solutions .LLC ...................................................)#439264................................................!$.......................546,901.) S.........................45,ooo..!.S.....................501,901..l....................... iTJM Institutional Services LLC 1#270490 ! $ 1,183,243 ! $ 45,000 ! $ 1,138,243 ! • •••l••..•••••••••••••••••••••••••••• ••••••..•••••••••••••••••••••••••••••••••••••••••••••••••••••••• • • •••••••••••••••••>••••••••••••••••••••••••••••••..•••••••• ••••• •••••• ••• •• ••••••• ••• •••• •• ••••••• •••••• ••• •• •••• ••• •••••• ••• •• ••••• •••••• •••• •••••• •• ••••• ••• •• ••••••• ••l••• ••• •• ••••••• •••..•••••••• •••••••••••••I••••••••••••..••••••••• 

....!Top.Third.Ag_MarketinK...............................................................!DBA.for.StoneX,.see above .........!....................-.....................1 ....................: .....................l....................-....................!....................... 

....!Total.Farm.Marketing by_Stewart-Peterson ..........................)#l 85491.................................................!....................-....................) ..................GIB..................!....................-...................!....................... 

...lTrade Futures.4.Less........................................................................[DBA.for.Stage 5, see.above .........1.....................-.....................[.....................-.....................l....................-....................1....................... 

....!Trade Pro .Futures.and.FOREX ...................................................!#364262................................................!.s......................... 69,002.}.$ ........................ 45,000.!.$.......................24,002.!....................... 

....!TradeStation.......................................................................................)#30787.l ................................................!..........................................) .................~~~··················!·········································!······················· 

...lTradition .(Compagnie.Financiere.T radition) .......................[#304136.............................................. j .................-.....................L......no _prior.status........l....................-....................l................... ... ....l.I.r.<.1.~9.~~.~~..............................................................................................ltt}Q?.}7.9.................................................L..........................................L..............J.S.~..................L.......................................L..................... ....!TransAct Futures..............................................................................)DBA.for.Tradovatet.see.above ....!....................-....................) ....................: .....................!....................-....................:....................... 

iTransworld Futures !#283032 ! ! GIB i i 

....[Trean Group LLC..............................................................................f#426055................................................1.s ......................470,015..f.s........................ 45,ooo.1. s .................... 425,015.L..................... 

....!Trident .Brokerage.Services.LLC...............................................)#445409................................................!.S....................3,953,393.J.$ ........................ 45,000.!.S.................3,908,393.!....................... 

iUJ sses Commodities LLC !#44882 ! $ 396,186 ! $ 45,000 ! $ 351,186 ! 

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