Spreadsheet: 09c533b5-fc8b-4d14-91ad-f20ef934a1da
Sheet: Sheet1

Unnamed: 0 | Unnamed: 1 | B/D? | DSRO | A/O | Adjusted | Net Capital | Excess | Customers' | Customer | Unnamed: 10 | Unnamed: 11 | Unnamed: 12 | Unnamed: 13 | Unnamed: 14 | Unnamed: 15 | Unnamed: 16 | Unnamed: 17
 | Futures Commission Merchant |  |  | Date | Net Capital | Requirement | Net Capital | Seg Required | Amount
 |  |  |  |  |  |  |  | 4d(a)(2) | Pt. 30 Required
 |  | (a) | (b) |  |  | (c) | (d) | (e) | (f)
1 | ACM USA LLC | N | NFA | 2009-11-30 00:00:00 | 772310 | 500000 | 272310 | 0 | 0
2 | ADM INVESTOR SERVICES INC | N | CBOT | 2009-11-30 00:00:00 | 170011208 | 98652016 | 71359192 | 2001340318 | 107243344
3 | ADVANCED MARKETS LLC | N | NFA | 2009-11-30 00:00:00 | 20603287 | 20000000 | 603287 | 0 | 0
4 | ADVANTAGE FUTURES LLC | N | CME | 2009-11-30 00:00:00 | 16646932 | 6376559 | 10270373 | 253748149 | 21409805
5 | AIG CLEARING CORPORATION | N | NYME | 2009-11-30 00:00:00 | 225000957 | 500000 | 224500957 | 0 | 0
6 | ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC* | Y | NFA | 2009-09-30 00:00:00 | 20468279 | 7257790 | 13210489 | 0 | 0
7 | [NAME] (US) LLC | N | NFA | 2009-11-30 00:00:00 | 21879836 | 20000000 | 1879836 | 0 | 0
8 | AMERIPRISE ADVISOR SERVICES INC | Y | NFA | 2009-11-30 00:00:00 | 21414803 | 500000 | 20914803 | 0 | 0
9 | AMERIPRISE FINANCIAL SERVICES INC | Y | NFA | 2009-11-30 00:00:00 | 45401212 | 500000 | 44901212 | 0 | 0
10 | BANC OF AMERICA SECURITIES LLC | Y | CME | 2009-11-30 00:00:00 | 2552829301 | 116987783 | 2435841518 | 0 | 0
11 | BARCLAYS CAPITAL INC | Y | NYME | 2009-11-30 00:00:00 | 6140085200 | 655821211 | 5484263989 | 4846317950 | 1902711645
12 | BGC FINANCIAL LP | Y | NFA | 2009-11-30 00:00:00 | 19894968 | 500000 | 19394968 | 0 | 0
13 | BNP PARIBAS COMMODITY FUTURES INC | N | NYME | 2009-11-30 00:00:00 | 309734386 | 167382949 | 142351437 | 1390004492 | 509668266
14 | BNP PARIBAS SECURITIES CORP | Y | CBOT | 2009-11-30 00:00:00 | 1744238780 | 83280165 | 1660958615 | 353276388 | 0
15 | CADENT FINANCIAL SERVICES LLC | N | NFA | 2009-11-30 00:00:00 | 696812 | 500000 | 196812 | 0 | 0
16 | CANTOR FITZGERALD & CO | Y | CBOT | 2009-11-30 00:00:00 | 160613573 | 2438366 | 158175207 | 11698853 | 0
17 | CAPITAL MARKET SERVICES LLC | N | NFA | 2009-11-30 00:00:00 | 23984785 | 21188215 | 2796570 | 0 | 0
18 | CIBC WORLD MARKETS CORP | Y | CME | 2009-11-30 00:00:00 | 1372722043 | 1500000 | 1371222043 | 0 | 0
19 | CITADEL SECURITIES LLC | Y | CME | 2009-11-30 00:00:00 | 329443027 | 1000000 | 328443027 | 0 | 0
20 | CITIGROUP GLOBAL MARKETS INC | Y | CBOT | 2009-11-30 00:00:00 | 9377767614 | 691814538 | 8685953076 | 10878159175 | 1115752626
21 | COMMONWEALTH FOREIGN EXCHANGE INC | N | NFA | 2009-11-30 00:00:00 | 1011383 | 500000 | 511383 | 0 | 0
22 | COMPASS PROFESSIONAL SERVICES LLC | Y | NFA | 2009-11-30 00:00:00 | 3236906 | 500000 | 2736906 | 0 | 0
23 | COUNTRY HEDGING INC | N | NFA | 2009-11-30 00:00:00 | 15839898 | 8151572 | 7688326 | 92215831 | 41274
24 | CREDIT SUISSE SECURITIES (USA) LLC | Y | CBOT | 2009-11-30 00:00:00 | 8405564668 | 700536013 | 7705028655 | 3922075034 | 1465888116
25 | CROSSLAND LLC | N | CBOT | 2009-11-30 00:00:00 | 7416527 | 3923809 | 3492718 | 46848287 | 25894918
26 | CUNNINGHAM COMMODITIES LLC | N | CBOT | 2009-11-30 00:00:00 | 3342805 | 760344 | 2582461 | 35630254 | 38617
27 | CX CAPITAL MARKETS LLC | N | NFA | 2009-11-30 00:00:00 | 1053355 | 500000 | 553355 | 8649286 | 0
28 | DAIWA SECURITIES AMERICA INC | Y | CME | 2009-11-30 00:00:00 | 284456850 | 5012290 | 279444560 | 6591300 | 46698
29 | DEUTSCHE BANK SECURITIES INC | Y | CBOT | 2009-11-30 00:00:00 | 7323403914 | 392814707 | 6930589207 | 13358950643 | 1354143287
30 | DORMAN TRADING LLC | N | CME | 2009-11-30 00:00:00 | 7819699 | 693536 | 7126163 | 84303588 | 107185
31 | EAGLE MARKET MAKERS INC | N | CBOT | 2009-11-30 00:00:00 | 5645646 | 500000 | 5145646 | 3375245 | 0
32 | EASY FOREX US LTD | N | NFA | 2009-11-30 00:00:00 | 20665102 | 20000000 | 665102 | 0 | 0
33 | ELECTRONIC BROKERAGE SYSTEMS LLC | Y | NFA | 2009-11-30 00:00:00 | 9477652 | 555333 | 8922319 | 0 | 0
34 | ENSKILDA FUTURES LTD | N | CME | 2009-11-30 00:00:00 | 26811485 | 18528706 | 8282779 | 358260122 | 0
35 | FARR FINANCIAL INC | N | NFA | 2009-11-30 00:00:00 | 1014929 | 535552 | 479377 | 34580190 | 13500
36 | FCSTONE LLC | N | CME | 2009-11-30 00:00:00 | 75755561 | 38172339 | 37583222 | 803390244 | 6152646
37 | FOREX CAPITAL MARKETS LLC | N | NFA | 2009-11-30 00:00:00 | 68574018 | 25050658 | 43523360 | 0 | 0
38 | FOREX CLUB FINANCIAL COMPANY INC | N | NFA | 2009-11-30 00:00:00 | 24290794 | 20000000 | 4290794 | 0 | 0
39 | FORTIS CLEARING AMERICAS LLC | Y | CBOT | 2009-11-30 00:00:00 | 218264499 | 50016929 | 168247570 | 1021090391 | 62518792
40 | FRIEDBERG MERCANTILE GROUP INC | N | NFA | 2009-11-30 00:00:00 | 3363800 | 500000 | 2863800 | 6149886 | 0
41 | FRONTIER FUTURES INC | N | NFA | 2009-11-30 00:00:00 | 1330260 | 880932 | 449328 | 22968431 | 0
42 | FUTURES TECH LLC | N | NFA | 2009-11-30 00:00:00 | 815540 | 500000 | 315540 | 0 | 0
43 | FX SOLUTIONS LLC | N | NFA | 2009-11-30 00:00:00 | 52466413 | 20000000 | 32466413 | 0 | 0
44 | GAIN CAPITAL GROUP LLC | N | NFA | 2009-11-30 00:00:00 | 79058968 | 25808266 | 53250702 | 0 | 0
45 | GENESIS FUTURES LLC | N | NFA | 2009-11-30 00:00:00 | 761967 | 500000 | 261967 | 0 | 0
46 | GFS FOREX & FUTURES INC | N | NFA | 2009-11-30 00:00:00 | 1805352 | 500000 | 1305352 | 0 | 0
47 | GILDER GAGNON HOWE & CO LLC | Y | NFA | 2009-11-30 00:00:00 | 14726976 | 500000 | 14226976 | 0 | 0
48 | GLOBAL FUTURES & FOREX LTD | N | NFA | 2009-11-30 00:00:00 | 73797865 | 26354093 | 47443772 | 286588 | 209508
49 | GOLDMAN SACHS & CO | Y | CBOT | 2009-11-30 00:00:00 | 13061735092 | 1938944413 | 11122790679 | 18524384477 | 6991971757
50 | GOLDMAN SACHS EXECUTION & CLEARING LP | Y | CME | 2009-11-30 00:00:00 | 1923630716 | 113786909 | 1809843807 | 1256331625 | 17179006
51 | HOTSPOT FXR LLC | N | NFA | 2009-11-30 00:00:00 | 6671765 | 500000 | 6171765 | 0 | 0
52 | HSBC SECURITIES USA INC | Y | CME | 2009-11-30 00:00:00 | 1473171429 | 69726254 | 1403445175 | 742743775 | 109273432
53 | I TRADE FX LLC | N | NFA | 2009-11-30 00:00:00 | 797362 | 500000 | 297362 | 0 | 0
54 | ICAP FUTURES LLC | N | NFA | 2009-11-30 00:00:00 | 12647104 | 500000 | 12147104 | 0 | 0
55 | IG MARKETS INC | N | NFA | 2009-11-30 00:00:00 | 30632638 | 20000000 | 10632638 | 0 | 0
56 | IKON GLOBAL MARKETS INC | N | NFA | 2009-11-30 00:00:00 | 22006933 | 20601565 | 1405368 | 1649303 | 946364
57 | INSTINET LLC | Y | NFA | 2009-11-30 00:00:00 | 117797419 | 1500000 | 116297419 | 0 | 0
58 | INTEGRATED BROKERAGE SERVICES LLC | N | NFA | 2009-11-30 00:00:00 | 1386286 | 500000 | 886286 | 0 | 0
59 | INTERACTIVE BROKERS LLC | Y | NFA | 2009-11-30 00:00:00 | 773699591 | 88411256 | 685288335 | 406959270 | 161704517
60 | INTERBANK FX LLC | N | NFA | 2009-11-30 00:00:00 | 33250967 | 21472683 | 11778284 | 0 | 0
61 | ITG DERIVATIVES LLC | Y | NFA | 2009-11-30 00:00:00 | 3309937 | 500000 | 2809937 | 0 | 0
62 | JP MORGAN CLEARING CORP | Y | CME | 2009-11-30 00:00:00 | 4981842963 | 1576650016 | 3405192947 | 442114374 | 233974724
63 | JP MORGAN FUTURES INC | N | NYME | 2009-11-30 00:00:00 | 2186246301 | 1030125521 | 1156120780 | 13848612643 | 1911236815
64 | JP MORGAN SECURITIES INC | Y | NFA | 2009-11-30 00:00:00 | 8366898156 | 534819717 | 7832078439 | 0 | 0
65 | LADENBURG THALMANN & CO INC | Y | NFA | 2009-11-30 00:00:00 | 5560433 | 500000 | 5060433 | 0 | 0
66 | LEK SECURITIES CORPORATION | Y | NFA | 2009-11-30 00:00:00 | 12045799 | 1500000 | 10545799 | 209264 | 0
67 | LIMESTONE TRADING LLC | N | NFA | 2009-11-30 00:00:00 | 12328854 | 500000 | 11828854 | 0 | 0
68 | LINN GROUP THE | N | NFA | 2009-11-30 00:00:00 | 2785278 | 541537 | 2243741 | 31400355 | 1750
69 | LPL FINANCIAL CORPORATION | Y | NFA | 2009-11-30 00:00:00 | 85922137 | 6027920 | 79894217 | 0 | 0
70 | MACQUARIE FUTURES USA INC | N | CBOT | 2009-11-30 00:00:00 | 65588034 | 35144808 | 30443226 | 873625647 | 1810939
71 | MAREX USA LIMITED | N | NFA | 2009-11-30 00:00:00 | 1304310 | 500000 | 804310 | 0 | 0
72 | MB TRADING FUTURES INC | N | NFA | 2009-11-30 00:00:00 | 23828976 | 20000000 | 3828976 | 0 | 0
73 | MBF CLEARING CORP | N | NYME | 2009-11-30 00:00:00 | 11079888 | 1670372 | 9409516 | 86126319 | 6505344
74 | MCVEAN TRADING & INVESTMENTS LLC | N | NFA | 2009-11-30 00:00:00 | 10469540 | 2128314 | 8341226 | 518695835 | 0
75 | MERRILL LYNCH PIERCE FENNER & SMITH | Y | CBOT | 2009-11-30 00:00:00 | 5142168690 | 597155174 | 4545013516 | 8344409730 | 799537488
76 | MERRILL LYNCH PROFESSIONAL CLEARING CORP | Y | NFA | 2009-11-30 00:00:00 | 1407756618 | 102326989 | 1305429629 | 965931640 | 28775532
77 | MF GLOBAL INC | Y | CME | 2009-11-30 00:00:00 | 544176658 | 387513256 | 156663402 | 8004540264 | 480962313
78 | MG FINANCIAL LLC | N | NFA | 2009-11-30 00:00:00 | 5003598 | 500000 | 4503598 | 0 | 0
79 | MID CO COMMODITIES INC | N | NFA | 2009-11-30 00:00:00 | 11314525 | 2612858 | 8701667 | 22699700 | 0
80 | MITSUBISHI UFJ SECURITIES USA INC | Y | NFA | 2009-11-30 00:00:00 | 65380826 | 1665998 | 63714828 | 0 | 0
81 | MITSUI BUSSAN COMMODITIES USA INC | N | NYME | 2009-11-30 00:00:00 | 8069261 | 2361147 | 5708114 | 0 | 0
82 | MIZUHO SECURITIES USA INC | Y | CME | 2009-11-30 00:00:00 | 340345265 | 34431514 | 305913751 | 567483081 | 199697406
83 | MORGAN KEEGAN & COMPANY INC | Y | NFA | 2009-11-30 00:00:00 | 396852819 | 8963480 | 387889339 | 0 | 0
84 | MORGAN STANLEY & CO INCORPORATED | Y | CME | 2009-11-30 00:00:00 | 10133275895 | 1035477137 | 9097798758 | 4821472952 | 3543406566
85 | MORGAN STANLEY SMITH BARNEY LLC | Y | NFA | 2009-11-30 00:00:00 | 488274145 | 500000 | 487774145 | 0 | 0
86 | NATIXIS SECURITIES NORTH AMERICA INC | Y | NFA | 2009-11-30 00:00:00 | 223667698 | 500000 | 223167698 | 0 | 0
87 | NEUBERGER BERMAN LLC | Y | NFA | 2009-11-30 00:00:00 | 105731790 | 1500000 | 104231790 | 0 | 0
88 | NEWEDGE USA LLC | Y | NYME | 2009-11-30 00:00:00 | 2383048928 | 1210740482 | 1172308446 | 19338682117 | 6984126240
89 | NOMURA SECURITIES INTERNATIONAL INC | Y | CBOT | 2009-11-30 00:00:00 | 940151353 | 5945295 | 934206058 | 0 | 0
90 | OANDA CORPORATION | N | NFA | 2009-11-30 00:00:00 | 164766421 | 28640513 | 136125908 | 0 | 0
91 | OPEN E CRY LLC | N | NFA | 2009-11-30 00:00:00 | 3368387 | 635544 | 2732843 | 72615826 | 719372
92 | OPPENHEIMER & CO INC | Y | NFA | 2009-11-30 00:00:00 | 159132376 | 21718624 | 137413752 | 40467937 | 0
93 | OPTIONSXPRESS INC | Y | NFA | 2009-11-30 00:00:00 | 94636871 | 10385142 | 84251729 | 60052732 | 1359164
94 | [NAME] | N | CBOT | 2009-11-30 00:00:00 | 22290060 | 15074915 | 7215145 | 423130674 | 28236805
95 | PEREGRINE FINANCIAL GROUP INC | N | NFA | 2009-11-30 00:00:00 | 32036128 | 20000000 | 12036128 | 350172944 | 33709205
96 | PIONEER FUTURES INC | N | NYME | 2009-11-30 00:00:00 | 1324964 | 500000 | 824964 | 0 | 0
97 | PRUDENTIAL BACHE COMMODITIES LLC | N | CBOT | 2009-11-30 00:00:00 | 216580000 | 175130920 | 41449080 | 3040135000 | 341061000
98 | RAND FINANCIAL SERVICES INC | N | CME | 2009-11-30 00:00:00 | 59971910 | 8274847 | 51697063 | 97336900 | 34960800
99 | RAYMOND JAMES & ASSOCIATES INC | Y | NFA | 2009-11-30 00:00:00 | 414065884 | 26284118 | 387781766 | 0 | 0
100 | RBC CAPITAL MARKETS CORPORATION | Y | CME | 2009-11-30 00:00:00 | 1160908380 | 102292534 | 1058615846 | 720571878 | 904917018
101 | RBS SECURITIES INC | Y | CBOT | 2009-11-30 00:00:00 | 1308118000 | 183856000 | 1124262000 | 1437520000 | 130367000
102 | RJ OBRIEN ASSOCIATES LLC | N | CME | 2009-11-30 00:00:00 | 114680433 | 63726619 | 50953814 | 2023007738 | 34615163
103 | ROBBINS FUTURES INC | N | NFA | 2009-11-30 00:00:00 | 577474 | 500000 | 77474 | 3222755 | 0
104 | ROSENTHAL COLLINS GROUP LLC | N | CME | 2009-11-30 00:00:00 | 68668745 | 36032498 | 32636247 | 1254847538 | 15477086
105 | ROSENTHAL GLOBAL SECURITIES LLC | Y | NFA | 2009-11-30 00:00:00 | 44377714 | 694000 | 43683714 | 0 | 0
106 | SANFORD C BERNSTEIN & CO LLC | Y | NFA | 2009-11-30 00:00:00 | 156049120 | 10802897 | 145246223 | 0 | 0
107 | SANTANDER INVESTMENT SECURITIES INC | Y | NFA | 2009-11-30 00:00:00 | 75525880 | 826051 | 74699829 | 0 | 0
108 | SHAY GRAIN CLEARING COMPANY | N | KCBT | 2009-11-30 00:00:00 | 2568879 | 500000 | 2068879 | 8710293 | 0
109 | SMW TRADING COMPANY INC | N | CME | 2009-11-30 00:00:00 | 35602915 | 500000 | 35102915 | 4367522 | 0
110 | STATE STREET GLOBAL MARKETS LLC | Y | NFA | 2009-11-30 00:00:00 | 269820511 | 500000 | 269320511 | 0 | 0
111 | STEPHENS INC | Y | NFA | 2009-11-30 00:00:00 | 59164121 | 13046081 | 46118040 | 0 | 0
112 | STERLING COMMODITIES CORP | N | NYME | 2009-11-30 00:00:00 | 7224252 | 1019324 | 6204928 | 38042438 | 831498
113 | TCA FUTURES LLC | N | NFA | 2009-11-30 00:00:00 | 841180 | 500000 | 341180 | 0 | 0
114 | TD AMERITRADE INC | Y | NFA | 2009-11-30 00:00:00 | 326903193 | 500000 | 326403193 | 0 | 0
115 | TENCO INC | N | CBOT | 2009-11-30 00:00:00 | 47666188 | 7454412 | 40211776 | 145932017 | 0
116 | TERRA NOVA FINANCIAL LLC | Y | NFA | 2009-11-30 00:00:00 | 11375334 | 1500000 | 9875334 | 0 | 0
117 | TIMBER HILL LLC | Y | CME | 2009-11-30 00:00:00 | 1087216228 | 34145579 | 1053070649 | 454444297 | 0
118 | TOWER RESEARCH CAPITAL EUROPE LLC | N | NFA | 2009-11-30 00:00:00 | 3499296 | 500000 | 2999296 | 0 | 0
119 | TRADELINK LLC | Y | CBOT | 2009-11-30 00:00:00 | 27731526 | 500000 | 27231526 | 0 | 0
120 | TRADESTATION SECURITIES INC | Y | NFA | 2009-11-30 00:00:00 | 87502787 | 1853956 | 85648831 | 0 | 0
121 | TRADITION SECURITIES AND FUTURES INC | N | NFA | 2009-11-30 00:00:00 | 754556 | 500000 | 254556 | 0 | 0
122 | TRANSMARKET GROUP LLC | Y | CBOT | 2009-11-30 00:00:00 | 10162320 | 500000 | 9662320 | 0 | 0
123 | TRILAND USA INC | N | NYME | 2009-11-30 00:00:00 | 37324638 | 12011357 | 25313281 | 140870845 | 38136957
124 | UBS FINANCIAL SERVICES INC | Y | NFA | 2009-11-30 00:00:00 | 774236740 | 93151473 | 681085267 | 130035202 | 1049406
125 | UBS SECURITIES LLC | Y | CBOT | 2009-11-30 00:00:00 | 13365122827 | 890834105 | 12474288722 | 9982382461 | 5272089850
126 | VELOCITY FUTURES LLC | N | NFA | 2009-11-30 00:00:00 | 1174197 | 500000 | 674197 | 35982035 | 2309134
127 | VISION FINANCIAL MARKETS LLC | Y | CME | 2009-11-30 00:00:00 | 20017185 | 8011646 | 12005539 | 331836613 | 2038510
128 | WELLS FARGO ADVISORS FINANCIAL NETWORK LLC | Y | NFA | 2009-11-30 00:00:00 | 26183589 | 2390287 | 23793302 | 0 | 0
129 | WELLS FARGO ADVISORS LLC | Y | NFA | 2009-11-30 00:00:00 | 457534132 | 1554295 | 455979837 | 0 | 0
130 | WELLS FARGO SECURITIES LLC | Y | CME | 2009-11-30 00:00:00 | 2054328150 | 1783493 | 2052544657 | 0 | 0
131 | WHITE COMMERCIAL CORPORATION | N | NFA | 2009-11-30 00:00:00 | 2563434 | 500000 | 2063434 | 0 | 0
132 | WSD FINANCIAL USA INC | N | NFA | 2009-11-30 00:00:00 | 1238789 | 500000 | 738789 | 0 | 0
133 | YORK BUSINESS ASSOCIATES LLC | N | NFA | 2009-11-30 00:00:00 | 1785252 | 500000 | 1285252 | 48369600 | 1297754
 | Totals |  |  |  |  |  |  | 139182038261 | 34886126142 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0
 | October Web Page Update |  | 134
 | Additions |  | 0
 | Deletions |  | 1
 | 3DFOREX LLC
 | Name Change
 | November Web Page Update |  | 133
 | *Allianz Global Investors Distributors LLC files financial statements quarterly.
 | (a):  B/D? : A 'Y' means the FCM is also registered with the Securities and Exchange Commission as a securities broker or dealer.
 | (b):  DSRO: Designated Self-Regulatory Organization.
 | (c):  A firm's net capital requirement  is the greater of
 | (1) $250,000; or
 | (2) risk based capital requirement, the sum of 8% of total customer risk maintenance margin and 4% of total noncustomer risk maintenance margin; or
 | (3) The amount of capital required by a registered futures association (currently NFA is the only such association); or
 | (4) for securities brokers and dealers, the amount of net capital required by Rule 15c3-1(a) of the Securities and Exchange Commission.
 | (d):  Excess net capital is adjusted net capital, less the firm's net capital requirement.
 | (e):  This represents the total amount of funds that an FCM is required to segregate on behalf of customers who are trading on a designated contract market or derivatives transaction execution facility. This is the sum of all accounts that contain a net liquidating equity.
 | (f):  This represents the amount of funds an FCM is required to set aside for customers who trade on commodity exchanges located outside of the United States.
 | Note:  Any comments regarding information contained in this table may be brought to the attention of the CFTC's Division of Clearing and  [NAME] via e-mail: [EMAIL].