Spreadsheet: 0ba30f57-d649-4385-bb84-c165a35435e4
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 | 2010-01-31 00:00:00 | 778709 | 500000 | 278709 | 0 | 0
2 | ADM INVESTOR SERVICES INC | N | CBOT | 2010-01-31 00:00:00 | 172497687 | 87660909 | 84836778 | 1962192198 | 85210091
3 | ADVANCED MARKETS LLC | N | NFA | 2010-01-31 00:00:00 | 20408037 | 20000000 | 408037 | 0 | 0
4 | ADVANTAGE FUTURES LLC | N | CME | 2010-01-29 00:00:00 | 22465736 | 9186430 | 13279306 | 288216041 | 36014160
5 | AIG CLEARING CORPORATION | N | NYME | 2010-01-31 00:00:00 | 226007114 | 500000 | 225507114 | 0 | 0
6 | ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC* | Y | NFA | 2009-12-31 00:00:00 | 28024917 | 8706179 | 19318738 | 0 | 0
7 | [NAME] (US) LLC | N | NFA | 2010-01-31 00:00:00 | 21426200 | 20000000 | 1426200 | 0 | 0
8 | AMERIPRISE FINANCIAL SERVICES INC | Y | NFA | 2010-01-31 00:00:00 | 56687953 | 500000 | 56187953 | 0 | 0
9 | BANC OF AMERICA SECURITIES LLC | Y | CME | 2010-01-29 00:00:00 | 2383944260 | 142933197 | 2241011063 | 0 | 0
10 | BARCLAYS CAPITAL INC | Y | NYME | 2010-01-29 00:00:00 | 6061218264 | 608331071 | 5452887193 | 4003291239 | 2137335675
11 | BGC FINANCIAL LP | Y | NFA | 2010-01-31 00:00:00 | 29363433 | 500000 | 28863433 | 0 | 0
12 | BNP PARIBAS COMMODITY FUTURES INC | N | NYME | 2010-01-31 00:00:00 | 390652687 | 162503838 | 228148849 | 1618705895 | 432725790
13 | BNP PARIBAS SECURITIES CORP | Y | CBOT | 2010-01-31 00:00:00 | 1684833230 | 11245172 | 1673588058 | 355010174 | 0
14 | CADENT FINANCIAL SERVICES LLC | N | NFA | 2010-01-31 00:00:00 | 909327 | 350000 | 559327 | 0 | 0
15 | CANTOR FITZGERALD & CO | Y | CBOT | 2010-01-31 00:00:00 | 135261656 | 1735718 | 133525938 | 12949469 | 0
16 | CAPITAL MARKET SERVICES LLC | N | NFA | 2010-01-31 00:00:00 | 25841837 | 21126974 | 4714863 | 0 | 0
17 | CIBC WORLD MARKETS CORP | Y | CME | 2010-01-29 00:00:00 | 1403319836 | 1500000 | 1401819836 | 0 | 0
18 | CITADEL SECURITIES LLC | Y | CME | 2010-01-31 00:00:00 | 321667167 | 19102686 | 302564481 | 0 | 0
19 | CITIGROUP GLOBAL MARKETS INC | Y | CBOT | 2010-01-29 00:00:00 | 8068472758 | 683228225 | 7385244533 | 10317535658 | 2344871405
20 | COMMONWEALTH FOREIGN EXCHANGE INC | N | NFA | 2010-01-31 00:00:00 | 1126099 | 500000 | 626099 | 0 | 0
21 | COMPASS PROFESSIONAL SERVICES LLC | Y | NFA | 2010-01-31 00:00:00 | 3219724 | 500000 | 2719724 | 0 | 0
22 | COUNTRY HEDGING INC | N | NFA | 2010-01-31 00:00:00 | 15472747 | 7324969 | 8147778 | 120352332 | 48080
23 | CREDIT SUISSE SECURITIES (USA) LLC | Y | CBOT | 2010-01-29 00:00:00 | 8609040256 | 766644822 | 7842395434 | 4493520171 | 1844799929
24 | CROSSLAND LLC | N | CBOT | 2010-01-31 00:00:00 | 8454267 | 5794094 | 2660173 | 73677568 | 29281002
25 | CUNNINGHAM COMMODITIES LLC | N | CBOT | 2010-01-31 00:00:00 | 3814213 | 1187078 | 2627135 | 41177216 | 39095
26 | CX CAPITAL MARKETS LLC | N | NFA | 2010-01-31 00:00:00 | 1020630 | 500000 | 520630 | 9383448 | 0
27 | DAIWA SECURITIES AMERICA INC | Y | CME | 2010-01-31 00:00:00 | 280975579 | 1000000 | 279975579 | 5012100 | 40979
28 | DEUTSCHE BANK SECURITIES INC | Y | CBOT | 2010-01-29 00:00:00 | 7727995254 | 447379820 | 7280615434 | 13401102618 | 1032070172
29 | DORMAN TRADING LLC | N | CME | 2010-01-31 00:00:00 | 7607492 | 810060 | 6797432 | 90605193 | 90774
30 | EAGLE MARKET MAKERS INC | N | CBOT | 2010-01-31 00:00:00 | 5284918 | 500000 | 4784918 | 4424482 | 0
31 | EASY FOREX US LTD | N | NFA | 2010-01-31 00:00:00 | 20462615 | 20000000 | 462615 | 0 | 0
32 | ELECTRONIC BROKERAGE SYSTEMS LLC | Y | NFA | 2010-01-31 00:00:00 | 9192706 | 500000 | 8692706 | 0 | 0
33 | ENSKILDA FUTURES LTD | N | CME | 2010-01-31 00:00:00 | 26281682 | 15579255 | 10702427 | 259058250 | 0
34 | FARR FINANCIAL INC | N | NFA | 2010-01-31 00:00:00 | 1279421 | 774024 | 505397 | 36199078 | 6489
35 | FCSTONE LLC | N | CME | 2010-01-31 00:00:00 | 65597028 | 35224723 | 30372305 | 865236737 | 7145915
36 | FOREX CAPITAL MARKETS LLC | N | NFA | 2010-01-31 00:00:00 | 56714777 | 24623317 | 32091460 | 0 | 0
37 | FOREX CLUB FINANCIAL COMPANY INC | N | NFA | 2010-01-31 00:00:00 | 19607859 | 20000000 | -392141 | 0 | 0
38 | FORTIS CLEARING AMERICAS LLC | Y | CBOT | 2010-01-31 00:00:00 | 212296783 | 46727835 | 165568948 | 1145005504 | 58352627
39 | FRIEDBERG MERCANTILE GROUP INC | N | NFA | 2010-01-31 00:00:00 | 3374715 | 500000 | 2874715 | 5114789 | 118550
40 | FRONTIER FUTURES INC | N | NFA | 2010-01-31 00:00:00 | 1366089 | 773609 | 592480 | 29010721 | 0
41 | FUTURES TECH LLC | N | NFA | 2010-01-31 00:00:00 | 838745 | 500000 | 338745 | 0 | 0
42 | FX SOLUTIONS LLC | N | NFA | 2010-01-31 00:00:00 | 34602038 | 20556898 | 14045140 | 0 | 0
43 | FXDIRECTDEALER LLC | N | NFA | 2010-01-31 00:00:00 | 40641052 | 25372414 | 15268638 | 0 | 0
44 | GAIN CAPITAL GROUP LLC | N | NFA | 2010-01-31 00:00:00 | 69952754 | 26063436 | 43889318 | 0 | 0
45 | GENESIS FUTURES LLC | N | NFA | 2010-01-31 00:00:00 | 761467 | 500000 | 261467 | 0 | 0
46 | GFS FOREX & FUTURES INC | N | NFA | 2010-01-31 00:00:00 | 1473543 | 500000 | 973543 | 0 | 0
47 | GILDER GAGNON HOWE & CO LLC | Y | NFA | 2010-01-31 00:00:00 | 12903401 | 500000 | 12403401 | 0 | 0
48 | GLOBAL FUTURES & FOREX LTD | N | NFA | 2010-01-31 00:00:00 | 68079338 | 25592962 | 42486376 | 265900 | 209034
49 | GOLDMAN SACHS & CO | Y | CBOT | 2010-01-31 00:00:00 | 11436869932 | 1870307556 | 9566562376 | 16973258052 | 6281425100
50 | GOLDMAN SACHS EXECUTION & CLEARING LP | Y | CME | 2010-01-31 00:00:00 | 1996221249 | 137756661 | 1858464588 | 1266373458 | 28017620
51 | HG CLEARING SERVICES LLC | N | NFA | 2010-01-31 00:00:00 | 598962 | 500000 | 98962 | 0 | 0
52 | HSBC SECURITIES USA INC | Y | CME | 2010-01-29 00:00:00 | 1090862521 | 70384318 | 1020478203 | 735345705 | 105100284
53 | I TRADE FX LLC | N | NFA | 2010-01-31 00:00:00 | 636534 | 500000 | 136534 | 0 | 0
54 | ICAP FUTURES LLC | N | NFA | 2010-01-31 00:00:00 | 12423201 | 500000 | 11923201 | 0 | 0
55 | IG MARKETS INC | N | NFA | 2010-01-31 00:00:00 | 30674932 | 20000000 | 10674932 | 0 | 0
56 | IKON GLOBAL MARKETS INC | N | NFA | 2010-01-31 00:00:00 | 21573904 | 20526681 | 1047223 | 2152970 | 992005
57 | INSTINET LLC | Y | NFA | 2010-01-31 00:00:00 | 118093490 | 1500000 | 116593490 | 0 | 0
58 | INTEGRATED BROKERAGE SERVICES LLC | N | NFA | 2010-01-31 00:00:00 | 1520099 | 500000 | 1020099 | 0 | 0
59 | INTERACTIVE BROKERS LLC | Y | NFA | 2010-01-31 00:00:00 | 855382673 | 92346602 | 763036071 | 509977748 | 148980386
60 | INTERBANK FX LLC | N | NFA | 2010-01-31 00:00:00 | 32293496 | 21429498 | 10863998 | 0 | 0
61 | ITG DERIVATIVES LLC | Y | NFA | 2010-01-31 00:00:00 | 2521665 | 500000 | 2021665 | 0 | 0
62 | JP MORGAN CLEARING CORP | Y | CME | 2010-01-31 00:00:00 | 5129706608 | 1482185420 | 3647521188 | 407770839 | 264265225
63 | JP MORGAN FUTURES INC | N | NYME | 2010-01-31 00:00:00 | 2227278228 | 1057553884 | 1169724344 | 14211024519 | 1653983293
64 | JP MORGAN SECURITIES INC | Y | NFA | 2010-01-31 00:00:00 | 6592395646 | 537319388 | 6055076258 | 0 | 0
65 | LADENBURG THALMANN & CO INC | Y | NFA | 2010-01-29 00:00:00 | 2456553 | 500000 | 1956553 | 0 | 0
66 | LEK SECURITIES CORPORATION | Y | NFA | 2010-01-31 00:00:00 | 12528980 | 1500000 | 11028980 | 208930 | 0
67 | LIMESTONE TRADING LLC | N | NFA | 2010-01-31 00:00:00 | 2144569 | 500000 | 1644569 | 0 | 0
68 | LINN GROUP THE | N | NFA | 2010-01-31 00:00:00 | 2623065 | 676348 | 1946717 | 34169111 | 56204
69 | LPL FINANCIAL CORPORATION | Y | NFA | 2010-01-31 00:00:00 | 91876829 | 5906673 | 85970156 | 0 | 0
70 | MACQUARIE FUTURES USA INC | N | CBOT | 2010-01-29 00:00:00 | 87703709 | 36293773 | 51409936 | 647568618 | 1633461
71 | MAREX USA LIMITED | N | NFA | 2010-01-31 00:00:00 | 718547 | 500000 | 218547 | 0 | 0
72 | MB TRADING FUTURES INC | N | NFA | 2010-01-31 00:00:00 | 22314186 | 20000000 | 2314186 | 0 | 0
73 | MBF CLEARING CORP | N | NYME | 2010-01-31 00:00:00 | 10998118 | 1359468 | 9638650 | 75576512 | 8300470
74 | MCVEAN TRADING & INVESTMENTS LLC | N | NFA | 2010-01-31 00:00:00 | 9102774 | 2039796 | 7062978 | 547263802 | 0
75 | MERRILL LYNCH PIERCE FENNER & SMITH | Y | CBOT | 2010-01-31 00:00:00 | 5470350577 | 570971802 | 4899378775 | 7857635226 | 695012618
76 | MERRILL LYNCH PROFESSIONAL CLEARING CORP | Y | NFA | 2010-01-31 00:00:00 | 1714897176 | 190400919 | 1524496257 | 1037427131 | 25158029
77 | MF GLOBAL INC | Y | CME | 2010-01-29 00:00:00 | 562369840 | 369789973 | 192579867 | 7701531498 | 404841078
78 | MG FINANCIAL LLC | N | NFA | 2010-01-31 00:00:00 | 5001037 | 500000 | 4501037 | 0 | 0
79 | MID CO COMMODITIES INC | N | NFA | 2010-01-31 00:00:00 | 11285963 | 2387674 | 8898289 | 32730579 | 0
80 | MITSUBISHI UFJ SECURITIES USA INC | Y | NFA | 2010-01-31 00:00:00 | 79499572 | 1207057 | 78292515 | 0 | 0
81 | MITSUI BUSSAN COMMODITIES USA INC | N | NYME | 2010-01-31 00:00:00 | 8182523 | 2105894 | 6076629 | 0 | 0
82 | MIZUHO SECURITIES USA INC | Y | CME | 2010-01-29 00:00:00 | 344014462 | 32973134 | 311041328 | 537212920 | 234152251
83 | MORGAN KEEGAN & COMPANY INC | Y | NFA | 2010-01-31 00:00:00 | 408528369 | 9401534 | 399126835 | 0 | 0
84 | MORGAN STANLEY & CO INCORPORATED | Y | CME | 2010-01-29 00:00:00 | 7553220325 | 1074175827 | 6479044498 | 5399782121 | 3768823031
85 | MORGAN STANLEY SMITH BARNEY LLC | Y | NFA | 2010-01-31 00:00:00 | 511944495 | 500000 | 511444495 | 0 | 0
86 | NATIXIS SECURITIES NORTH AMERICA INC | Y | NFA | 2010-01-29 00:00:00 | 158814232 | 500000 | 158314232 | 0 | 0
87 | NEUBERGER BERMAN LLC | Y | NFA | 2010-01-29 00:00:00 | 56262429 | 1500000 | 54762429 | 0 | 0
88 | NEWEDGE USA LLC | Y | NYME | 2010-01-31 00:00:00 | 2392117315 | 1225388284 | 1166729031 | 17435444292 | 6211469847
89 | NOMURA SECURITIES INTERNATIONAL INC | Y | CBOT | 2010-01-29 00:00:00 | 1336459681 | 15635783 | 1320823898 | 55530729 | 92504
90 | OANDA CORPORATION | N | NFA | 2010-01-31 00:00:00 | 165696395 | 28991890 | 136704505 | 0 | 0
91 | OPEN E CRY LLC | N | NFA | 2010-01-31 00:00:00 | 3422871 | 845661 | 2577210 | 78756776 | 762812
92 | OPPENHEIMER & CO INC | Y | NFA | 2010-01-29 00:00:00 | 167071739 | 22249763 | 144821976 | 28778370 | 0
93 | OPTIONSXPRESS INC | Y | NFA | 2010-01-31 00:00:00 | 102781573 | 23214917 | 79566656 | 66492659 | 580365
94 | [NAME] | N | CBOT | 2010-01-31 00:00:00 | 23423363 | 15713127 | 7710236 | 436567491 | 21955095
95 | PEREGRINE FINANCIAL GROUP INC | N | NFA | 2010-01-31 00:00:00 | 32741377 | 20000000 | 12741377 | 354217437 | 32803376
96 | PIONEER FUTURES INC | N | NYME | 2010-01-31 00:00:00 | 1087305 | 500000 | 587305 | 0 | 0
97 | PRUDENTIAL BACHE COMMODITIES LLC | N | CBOT | 2010-01-31 00:00:00 | 212335000 | 161691000 | 50644000 | 2605531000 | 224969000
98 | RAND FINANCIAL SERVICES INC | N | CME | 2010-01-31 00:00:00 | 67991074 | 10968956 | 57022118 | 98264500 | 31996300
99 | RAYMOND JAMES & ASSOCIATES INC | Y | NFA | 2010-01-31 00:00:00 | 412885999 | 26532717 | 386353282 | 0 | 0
100 | RBC CAPITAL MARKETS CORPORATION | Y | CME | 2010-01-29 00:00:00 | 1146393938 | 87229623 | 1059164315 | 868826860 | 354144637
101 | RBS SECURITIES INC | Y | CBOT | 2010-01-29 00:00:00 | 1330035000 | 166374000 | 1163661000 | 1201092000 | 62039000
102 | RJ OBRIEN ASSOCIATES LLC | N | CME | 2010-01-31 00:00:00 | 116368661 | 62056999 | 54311662 | 1766872467 | 27752770
103 | ROBBINS FUTURES INC | N | NFA | 2010-01-31 00:00:00 | 577774 | 500000 | 77774 | 3142983 | 0
104 | ROSENTHAL COLLINS GROUP LLC | N | CME | 2010-01-31 00:00:00 | 56938914 | 35462598 | 21476316 | 1164903726 | 19964067
105 | ROSENTHAL GLOBAL SECURITIES LLC | Y | NFA | 2010-01-31 00:00:00 | 37216023 | 580477 | 36635546 | 0 | 0
106 | SANFORD C BERNSTEIN & CO LLC | Y | NFA | 2010-01-29 00:00:00 | 159934918 | 11765969 | 148168949 | 0 | 0
107 | SANTANDER INVESTMENT SECURITIES INC | Y | NFA | 2010-01-29 00:00:00 | 91272801 | 722027 | 90550774 | 0 | 0
108 | SHAY GRAIN CLEARING COMPANY | N | KCBT | 2010-01-31 00:00:00 | 2577914 | 767308 | 1810606 | 14703267 | 0
109 | SMW TRADING COMPANY INC | N | CME | 2010-01-31 00:00:00 | 24124879 | 500000 | 23624879 | 4094702 | 0
110 | STATE STREET GLOBAL MARKETS LLC | Y | CME | 2010-01-31 00:00:00 | 278962557 | 500000 | 278462557 | 0 | 0
111 | STEPHENS | Y | NFA | 2010-01-31 00:00:00 | 62646618 | 10284786 | 52361832 | 0 | 0
112 | STERLING COMMODITIES CORP | N | NYME | 2010-01-31 00:00:00 | 7864152 | 1307153 | 6556999 | 40791504 | 662133
113 | TCA FUTURES LLC | N | NFA | 2010-01-31 00:00:00 | 851812 | 500000 | 351812 | 0 | 0
114 | TD AMERITRADE INC | Y | NFA | 2010-01-31 00:00:00 | 371835639 | 500000 | 371335639 | 0 | 0
115 | TENCO INC | N | CBOT | 2010-01-31 00:00:00 | 47987172 | 5917883 | 42069289 | 167136453 | 0
116 | TERRA NOVA FINANCIAL LLC | Y | NFA | 2010-01-29 00:00:00 | 9932257 | 1500000 | 8432257 | 0 | 0
117 | TIMBER HILL LLC | Y | CME | 2010-01-31 00:00:00 | 1038000478 | 44022728 | 993977750 | 499971015 | 0
118 | TOWER RESEARCH CAPITAL EUROPE LLC | N | NFA | 2010-01-31 00:00:00 | 4126576 | 500000 | 3626576 | 0 | 0
119 | TRADELINK LLC | Y | CBOT | 2010-01-31 00:00:00 | 26336750 | 500000 | 25836750 | 0 | 0
120 | TRADESTATION SECURITIES INC | Y | NFA | 2010-01-29 00:00:00 | 84380743 | 1820356 | 82560387 | 360560162 | 377822
121 | TRADITION SECURITIES AND FUTURES INC | N | NFA | 2010-01-29 00:00:00 | 763651 | 500000 | 263651 | 0 | 0
122 | TRANSMARKET GROUP LLC | Y | CBOT | 2010-01-31 00:00:00 | 14545832 | 500000 | 14045832 | 0 | 0
123 | TRILAND USA INC | N | NYME | 2010-01-31 00:00:00 | 34566189 | 11169464 | 23396725 | 158371435 | 9908524
124 | UBS FINANCIAL SERVICES INC | Y | NFA | 2010-01-31 00:00:00 | 1275738912 | 86902900 | 1188836012 | 207216859 | 909754
125 | UBS SECURITIES LLC | Y | CBOT | 2010-01-29 00:00:00 | 13772043753 | 857169213 | 12914874540 | 9148920965 | 4567808525
126 | VELOCITY FUTURES LLC | N | NFA | 2010-01-31 00:00:00 | 1473681 | 500000 | 973681 | 40652725 | 2154640
127 | VISION FINANCIAL MARKETS LLC | Y | CME | 2010-01-31 00:00:00 | 20043743 | 7123635 | 12920108 | 343101534 | 4136641
128 | WELLS FARGO ADVISORS FINANCIAL NETWORK LLC | Y | NFA | 2010-01-29 00:00:00 | 25501180 | 3560944 | 21940236 | 0 | 0
129 | WELLS FARGO ADVISORS LLC | Y | NFA | 2010-01-29 00:00:00 | 270391423 | 1500000 | 268891423 | 0 | 0
130 | WELLS FARGO SECURITIES LLC | Y | CME | 2010-01-31 00:00:00 | 1317511310 | 2189974 | 1315321336 | 0 | 0
131 | WHITE COMMERCIAL CORPORATION | N | NFA | 2010-01-31 00:00:00 | 2281188 | 500000 | 1781188 | 0 | 0
132 | WSD FINANCIAL USA INC | N | NFA | 2010-01-31 00:00:00 | 1227288 | 500000 | 727288 | 0 | 0
133 | YORK BUSINESS ASSOCIATES LLC | N | NFA | 2010-01-31 00:00:00 | 1616439 | 500000 | 1116439 | 51262417 | 1109323
 | Totals |  |  |  |  |  |  | 134315260848 | 33204697957 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0
 | December 2009 Web Page Update | 133
 | Additions - None | 0
 | Deletions - None | 0
 | Name Change
 | Stephens Inc to Stephens
 | January 2010 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] or [EMAIL].