Spreadsheet: 0050c206-46c2-4107-b84a-7e7a47ac0678
Sheet: FCM Data November 2011

 |  | [NAME] As | DSRO | A/O | Adjusted | Net Capital | Excess | Customers' | Customer | Total Amount
 | Futures Commission Merchant / Retail Foreign Exchange Dealer |  |  | Date | Net Capital | Requirement | Net Capital | Seg Required | Amount | of Retail Forex
 |  |  |  |  |  |  |  | 4d(a)(2) | Pt. 30 Required | Obligation
 |  | (a) | (b) |  |  | (c) | (d) | (e) | (f) | (g)
1 | ABN AMRO CLEARING CHICAGO LLC | FCM BD | CBOT | 2011-11-30 00:00:00 | 261282850 | 122019098 | 139263752 | 1955434289 | 292500673 | 0
2 | ADM INVESTOR SERVICES INC | FCM | CBOT | 2011-11-30 00:00:00 | 260383481 | 149972102 | 110411379 | 2801814598 | 163948504 | 388210
3 | ADVANCED MARKETS LLC | FCMRFD | NFA | 2011-11-30 00:00:00 | 20687502 | 20000000 | 687502 | 0 | 0 | 1712860
4 | ADVANTAGE FUTURES LLC | FCM | CME | 2011-11-30 00:00:00 | 19898017 | 11139769 | 8758248 | 438620918 | 45028622 | 0
5 | ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC * | FCM BD | NFA | 2011-09-30 00:00:00 | 76695493 | 3865809 | 72829684 | 0 | 0 | 0
6 | [NAME] (US) LLC | FCMRFD | NFA | 2011-11-30 00:00:00 | 23880571 | 20069751 | 3810820 | 198656 | 0 | 11395016
7 | AMERIPRISE FINANCIAL SERVICES INC | FCM BD | NFA | 2011-11-30 00:00:00 | 106601468 | 1000000 | 105601468 | 0 | 0 | 0
8 | AMP GLOBAL CLEARING LLC | FCM | NFA | 2011-11-30 00:00:00 | 1801849 | 1000000 | 801849 | 32756962 | 9531 | 0
9 | BARCLAYS CAPITAL INC | FCM BD | NYME | 2011-11-30 00:00:00 | 6217140297 | 1034441342 | 5182698955 | 7145760514 | 3595021581 | 0
10 | BGC FINANCIAL LP | FCM BD | NFA | 2011-11-30 00:00:00 | 41185675 | 1000000 | 40185675 | 0 | 0 | 0
11 | BNP PARIBAS PRIME BROKERAGE INC | FCM BD | NYME | 2011-11-30 00:00:00 | 2239713712 | 308420680 | 1931293032 | 1395398442 | 592620370 | 0
12 | BNP PARIBAS SECURITIES CORP | FCM BD | CBOT | 2011-11-30 00:00:00 | 2104572786 | 57219022 | 2047353764 | 332941773 | 0 | 0
13 | BNY MELLON CLEARING LLC | FCM | CME | 2011-11-30 00:00:00 | 240050107 | 10599248 | 229450859 | 198530930 | 557618 | 0
14 | CANTOR FITZGERALD & CO | FCM BD | CBOT | 2011-11-30 00:00:00 | 315200804 | 8517518 | 306683286 | 3161879 | 0 | 0
15 | CAPITAL MARKET SERVICES LLC | FCM | NFA | 2011-11-30 00:00:00 | 2331878 | 1000000 | 1331878 | 0 | 0 | 0
16 | CIBC WORLD MARKETS CORP | FCM BD | CME | 2011-11-30 00:00:00 | 499116644 | 1500000 | 497616644 | 0 | 0 | 0
17 | CITADEL SECURITIES LLC | FCM BD | CME | 2011-11-30 00:00:00 | 499190056 | 1000000 | 498190056 | 0 | 0 | 0
18 | CITIGROUP GLOBAL MARKETS INC | FCM BD | CBOT | 2011-11-30 00:00:00 | 7625654063 | 794341645 | 6831312418 | 10281992802 | 1555758269 | 0
19 | COMMONWEALTH FOREIGN EXCHANGE INC | FCM | NFA | 2011-11-30 00:00:00 | 2163814 | 1000000 | 1163814 | 0 | 0 | 0
20 | COUNTRY HEDGING INC | FCM | NFA | 2011-11-30 00:00:00 | 22784079 | 14521347 | 8262732 | 199423188 | 1902908 | 0
21 | CREDIT SUISSE SECURITIES (USA) LLC | FCM BD | CBOT | 2011-11-30 00:00:00 | 6623361094 | 1121499350 | 5501861744 | 5315592969 | 2172945802 | 0
22 | CROSSLAND LLC | FCM | CBOT | 2011-11-30 00:00:00 | 9122718 | 4215892 | 4906826 | 106628242 | 29102361 | 0
23 | CUNNINGHAM COMMODITIES LLC | FCM | CBOT | 2011-11-30 00:00:00 | 3120238 | 1137553 | 1982685 | 50992196 | 715571 | 0
24 | CX CAPITAL MARKETS LLC | FCM | NFA | 2011-11-30 00:00:00 | 3515955 | 1000000 | 2515955 | 21830478 | 0 | 0
25 | DAIWA CAPITAL MARKETS AMERICA INC | FCM BD | CME | 2011-11-30 00:00:00 | 273840258 | 1518087 | 272322171 | 7726106 | 0 | 0
26 | DEUTSCHE BANK SECURITIES INC | FCM BD | CBOT | 2011-11-30 00:00:00 | 7375535063 | 642137226 | 6733397837 | 14662416160 | 1668509650 | 0
27 | DORMAN TRADING LLC | FCM | CME | 2011-11-30 00:00:00 | 9360678 | 1825546 | 7535132 | 121495999 | 1235579 | 0
28 | EAGLE MARKET MAKERS INC | FCM | CBOT | 2011-11-30 00:00:00 | 6510122 | 1000000 | 5510122 | 462703 | 0 | 0
29 | EASY FOREX US LTD | FCM | NFA | 2011-11-30 00:00:00 | 1703920 | 1000000 | 703920 | 0 | 0 | 0
30 | ENSKILDA FUTURES LTD | FCM | CME | 2011-11-30 00:00:00 | 30359569 | 23217157 | 7142412 | 303522769 | 0 | 0
31 | FCSTONE LLC | FCM | CME | 2011-11-30 00:00:00 | 118952105 | 67900270 | 51051835 | 1302700906 | 50427092 | 0
32 | FOREX CAPITAL MARKETS LLC | FCMRFD | NFA | 2011-11-30 00:00:00 | 31366909 | 26780512 | 4586397 | 0 | 0 | 145610245
33 | FOREX CLUB LLC | FCMRFD | NFA | 2011-11-30 00:00:00 | 23369883 | 22000000 | 1369883 | 0 | 0 | 10050563
34 | FRIEDBERG MERCANTILE GROUP INC | FCM | NFA | 2011-11-30 00:00:00 | 3058719 | 1000000 | 2058719 | 13328393 | 2884506 | 0
35 | FRONTIER FUTURES INC | FCM | NFA | 2011-11-30 00:00:00 | 1930972 | 1015544 | 915428 | 34708878 | 0 | 0
36 | FUTURES TECH LLC | FCM | NFA | 2011-11-30 00:00:00 | 1597835 | 1000000 | 597835 | 0 | 0 | 0
37 | FX SOLUTIONS LLC | FCMRFD | NFA | 2011-11-30 00:00:00 | 43302183 | 20401890 | 22900293 | 0 | 0 | 18037803
38 | FXDIRECTDEALER LLC | FCMRFD | NFA | 2011-11-30 00:00:00 | 34485349 | 21171995 | 13313354 | 0 | 0 | 33439892
39 | GAIN CAPITAL GROUP LLC | FCMRFD | NFA | 2011-11-30 00:00:00 | 49840363 | 24832916 | 25007447 | 0 | 0 | 106658310
40 | GH FINANCIALS LLC | FCM | CME | 2011-11-30 00:00:00 | 9367894 | 1000000 | 8367894 | 0 | 0 | 0
41 | GLOBAL FUTURES & FOREX LTD | FCMRFD | NFA | 2011-11-30 00:00:00 | 80240694 | 23987837 | 56252857 | 125526 | 227199 | 89756738
42 | GOLDMAN SACHS & CO | FCM BD | CBOT | 2011-11-30 00:00:00 | 11987270484 | 1933824076 | 10053446408 | 22299477145 | 9607653381 | 0
43 | GOLDMAN SACHS EXECUTION & CLEARING LP | FCM BD | CME | 2011-11-30 00:00:00 | 1973175162 | 131859024 | 1841316138 | 968522867 | 35258852 | 0
44 | GUGGENHEIM SECURITIES LLC | FCM BD | NFA | 2011-11-30 00:00:00 | 52109275 | 2911477 | 49197798 | 0 | 0 | 0
45 | HSBC SECURITIES USA INC | FCM BD | CME | 2011-11-30 00:00:00 | 1080316698 | 99854623 | 980462075 | 924249974 | 116889342 | 0
46 | ICAP CORPORATES LLC | FCM BD | NFA | 2011-11-30 00:00:00 | 47836625 | 1000000 | 46836625 | 0 | 0 | 0
47 | IKON GLOBAL MARKETS INC | FCM | NFA | 2011-11-30 00:00:00 | 13745958 | 1000000 | 12745958 | 17673818 | 108434 | 0
48 | INSTINET LLC | FCM BD | NFA | 2011-11-30 00:00:00 | 124327925 | 1239053 | 123088872 | 0 | 0 | 0
49 | INSTITUTIONAL LIQUIDITY LLC | FCMRFD | NFA | 2011-11-30 00:00:00 | 20106026 | 20000000 | 106026 | 0 | 0 | 8671301
50 | INTEGRATED BROKERAGE SERVICES LLC | FCM | NFA | 2011-11-30 00:00:00 | 1590922 | 1000000 | 590922 | 0 | 0 | 0
51 | INTERACTIVE BROKERS LLC | FCM BD | NFA | 2011-11-30 00:00:00 | 1308128360 | 157862197 | 1150266163 | 690947654 | 196052867 | 0
52 | INTERBANK FX LLC | FCMRFD | NFA | 2011-11-30 00:00:00 | 26031349 | 21035694 | 4995655 | 0 | 0 | 30713888
53 | IRONBEAM INC | FCM | NFA | 2011-11-30 00:00:00 | 2947826 | 1000000 | 1947826 | 38002463 | 107168 | 0
54 | ITG DERIVATIVES LLC | FCM BD | NFA | 2011-11-30 00:00:00 | 2967936 | 1000000 | 1967936 | 0 | 0 | 0
55 | JEFFERIES & COMPANY INC | FCM BD | NFA | 2011-11-30 00:00:00 | 931335818 | 47808162 | 883527656 | 0 | 0 | 0
56 | JEFFERIES BACHE LLC | FCM | CBOT | 2011-11-30 00:00:00 | 264392000 | 152042240 | 112349760 | 1988640000 | 235030000 | 0
57 | JP MORGAN CLEARING CORP | FCM BD | NFA | 2011-11-30 00:00:00 | 7446458364 | 1911481684 | 5534976680 | 431136987 | 356849668 | 0
58 | JP MORGAN SECURITIES LLC | FCM BD | CEI | 2011-11-30 00:00:00 | 10617479650 | 1589017977 | 9028461673 | 17597688893 | 3673177328 | 0
59 | LEK SECURITIES CORPORATION | FCM BD | NFA | 2011-11-30 00:00:00 | 9006459 | 1500000 | 7506459 | 2224217 | 0 | 0
60 | LINN GROUP THE | FCM | NFA | 2011-11-30 00:00:00 | 2578568 | 1000000 | 1578568 | 38223221 | 223904 | 0
61 | LPL FINANCIAL LLC | FCM BD | NFA | 2011-11-30 00:00:00 | 132838601 | 6372529 | 126466072 | 0 | 0 | 0
62 | MACQUARIE FUTURES USA LLC | FCM | CBOT | 2011-11-30 00:00:00 | 133003158 | 70597326 | 62405832 | 928979880 | 81987516 | 0
63 | MAREX NORTH AMERICA LLC | FCM | CME | 2011-11-30 00:00:00 | 17263683 | 6577556 | 10686127 | 78679337 | 3581996 | 0
64 | MAREX USA LIMITED | FCM | NFA | 2011-11-30 00:00:00 | 2749405 | 1000000 | 1749405 | 0 | 0 | 0
65 | MB TRADING FUTURES INC | FCMRFD | NFA | 2011-11-30 00:00:00 | 26365070 | 21199527 | 5165543 | 0 | 0 | 33990537
66 | MBF CLEARING CORP | FCM | NYME | 2011-11-30 00:00:00 | 6019671 | 1000000 | 5019671 | 59112754 | 3182005 | 0
67 | MCVEAN TRADING & INVESTMENTS LLC | FCM | NFA | 2011-11-30 00:00:00 | 14296473 | 2114763 | 12181710 | 852955083 | 0 | 0
68 | MERRILL LYNCH PIERCE FENNER & SMITH | FCM BD | CBOT | 2011-11-30 00:00:00 | 11085882531 | 839516351 | 10246366180 | 8979493824 | 2187580845 | 0
69 | MERRILL LYNCH PROFESSIONAL CLEARING CORP | FCM BD | NFA | 2011-11-30 00:00:00 | 3158771537 | 179125869 | 2979645668 | 1057407777 | 57458605 | 0
70 | MID CO COMMODITIES INC | FCM | NFA | 2011-11-30 00:00:00 | 12695729 | 5278132 | 7417597 | 38423771 | 452455 | 0
71 | MITSUBISHI UFJ SECURITIES USA INC | FCM BD | NFA | 2011-11-30 00:00:00 | 222857106 | 1715279 | 221141827 | 0 | 0 | 0
72 | MITSUI BUSSAN COMMODITIES USA INC | FCM | NFA | 2011-11-30 00:00:00 | 2909506 | 1000000 | 1909506 | 0 | 0 | 0
73 | MIZUHO SECURITIES USA INC | FCM BD | CME | 2011-11-30 00:00:00 | 401183043 | 121391652 | 279791391 | 965033645 | 702199083 | 0
74 | MORGAN KEEGAN & COMPANY INC | FCM BD | NFA | 2011-11-30 00:00:00 | 464446965 | 7739353 | 456707612 | 0 | 0 | 0
75 | MORGAN STANLEY & CO LLC | FCM BD | CME | 2011-11-30 00:00:00 | 8591866644 | 1009953539 | 7581913105 | 4993122133 | 2019561867 | 0
76 | MORGAN STANLEY SMITH BARNEY LLC | FCM BD | NFA | 2011-11-30 00:00:00 | 1546874143 | 38329410 | 1508544733 | 593887004 | 1778300507 | 0
77 | NATIXIS SECURITIES AMERICAS LLC | FCM BD | NFA | 2011-11-30 00:00:00 | 338992955 | 1500000 | 337492955 | 0 | 0 | 0
78 | NEUBERGER BERMAN LLC | FCM BD | NFA | 2011-11-30 00:00:00 | 91905210 | 1500000 | 90405210 | 0 | 0 | 0
79 | NEWEDGE USA LLC | FCM BD | NYME | 2011-11-30 00:00:00 | 2310660524 | 1347598261 | 963062263 | 17447120827 | 5953059441 | 0
80 | NOMURA SECURITIES INTERNATIONAL INC | FCM BD | CBOT | 2011-11-30 00:00:00 | 2026051200 | 23337870 | 2002713330 | 81422190 | 208600 | 0
81 | OANDA CORPORATION | FCMRFD | NFA | 2011-11-30 00:00:00 | 147715952 | 27177395 | 120538557 | 0 | 0 | 153547893
82 | OPEN E CRY LLC | FCM | NFA | 2011-11-30 00:00:00 | 3081818 | 1000000 | 2081818 | 83601661 | 2284080 | 0
83 | OPPENHEIMER & CO INC | FCM BD | NFA | 2011-11-30 00:00:00 | 137973279 | 22000202 | 115973077 | 19120470 | 0 | 0
84 | OPTIONSXPRESS INC | FCM BD | NFA | 2011-11-30 00:00:00 | 79933162 | 5736444 | 74196718 | 87443115 | 2856776 | 0
85 | PENSON FINANCIAL SERVICES INC | FCM BD | CBOT | 2011-11-30 00:00:00 | 158183713 | 29726370 | 128457343 | 579235894 | 84676294 | 0
86 | PEREGRINE FINANCIAL GROUP INC | FCM | NFA | 2011-11-30 00:00:00 | 34332676 | 21153258 | 13179418 | 388254035 | 24220173 | 33065159
87 | PHILLIP FUTURES INC | FCM | CME | 2011-11-30 00:00:00 | 9410736 | 2234410 | 7176326 | 56822562 | 0 | 0
88 | PIONEER FUTURES INC | FCM | NFA | 2011-11-30 00:00:00 | 2941592 | 1000000 | 1941592 | 0 | 0 | 0
89 | RAND FINANCIAL SERVICES INC | FCM | CME | 2011-11-30 00:00:00 | 74310681 | 16478723 | 57831958 | 115310800 | 31447800 | 0
90 | RAYMOND JAMES & ASSOCIATES INC | FCM BD | NFA | 2011-11-30 00:00:00 | 407948344 | 30791333 | 377157011 | 0 | 0 | 0
91 | RBC CAPITAL MARKETS LLC | FCM BD | CME | 2011-11-30 00:00:00 | 1244307848 | 98489197 | 1145818651 | 581657165 | 44846068 | 0
92 | RBS SECURITIES INC | FCM BD | CBOT | 2011-11-30 00:00:00 | 3236247503 | 306930344 | 2929317159 | 2506583103 | 120411033 | 0
93 | RJ OBRIEN ASSOCIATES LLC | FCM | CME | 2011-11-30 00:00:00 | 209543743 | 122542353 | 87001390 | 3375322392 | 137628897 | 2963082
94 | ROSENTHAL COLLINS GROUP LLC | FCM | CME | 2011-11-30 00:00:00 | 97514794 | 70122443 | 27392351 | 1734653771 | 32951334 | 0
95 | ROSENTHAL GLOBAL SECURITIES LLC | FCM BD | NFA | 2011-11-30 00:00:00 | 48578730 | 1000000 | 47578730 | 0 | 0 | 0
96 | SANFORD C BERNSTEIN & CO LLC | FCM BD | NFA | 2011-11-30 00:00:00 | 174393284 | 14283171 | 160110113 | 0 | 0 | 0
97 | SANTANDER INVESTMENT SECURITIES INC | FCM BD | NYME | 2011-11-30 00:00:00 | 225594447 | 11638803 | 213955644 | 463946002 | 0 | 0
98 | STATE STREET GLOBAL MARKETS LLC | FCM BD | CME | 2011-11-30 00:00:00 | 427506758 | 11994305 | 415512453 | 148407317 | 7484184 | 0
99 | STEPHENS | FCM BD | NFA | 2011-11-30 00:00:00 | 83873531 | 13831027 | 70042504 | 0 | 0 | 0
100 | STERLING COMMODITIES CORP | FCM | NFA | 2011-11-30 00:00:00 | 2322597 | 1000000 | 1322597 | 0 | 0 | 0
101 | STRAITS FINANCIAL LLC | FCM | CME | 2011-11-30 00:00:00 | 7695071 | 1468622 | 6226449 | 39601549 | 1862508 | 0
102 | TD AMERITRADE INC | FCM BD | NFA | 2011-11-30 00:00:00 | 321221316 | 1000000 | 320221316 | 0 | 0 | 0
103 | TENCO INC | FCM | CBOT | 2011-11-30 00:00:00 | 62847271 | 6145590 | 56701681 | 220299439 | 30301 | 0
104 | TIMBER HILL LLC | FCM BD | CME | 2011-11-30 00:00:00 | 889321926 | 41219499 | 848102427 | 744081369 | 0 | 0
105 | TRADELINK LLC | FCM BD | CBOT | 2011-11-30 00:00:00 | 33347711 | 1000000 | 32347711 | 0 | 0 | 0
106 | TRADESTATION FOREX INC | RFED | NFA | 2011-11-30 00:00:00 | 26471890 | 21560819 | 4911071 | 0 | 0 | 41216375
107 | TRADESTATION SECURITIES INC | FCM BD | NFA | 2011-11-30 00:00:00 | 55035715 | 2604433 | 52431282 | 428408360 | 11105350 | 0
108 | TRADITION SECURITIES AND FUTURES INC | FCM | NFA | 2011-11-30 00:00:00 | 1517157 | 1000000 | 517157 | 0 | 0 | 0
109 | UBS FINANCIAL SERVICES INC | FCM BD | NFA | 2011-11-30 00:00:00 | 1298260962 | 139159307 | 1159101655 | 158060824 | 345530 | 0
110 | UBS SECURITIES LLC | FCM BD | CBOT | 2011-11-30 00:00:00 | 11917172307 | 1003706599 | 10913465708 | 9014511798 | 5089664537 | 0
111 | VELOCITY FUTURES LLC | FCM | NFA | 2011-11-30 00:00:00 | 1793441 | 1000000 | 793441 | 79179421 | 15740045 | 0
112 | VISION FINANCIAL MARKETS LLC | FCM BD | CME | 2011-11-30 00:00:00 | 31011072 | 7766121 | 23244951 | 371609904 | 6511626 | 0
113 | WELLS FARGO ADVISORS FINANCIAL NETWORK LLC | FCM BD | NFA | 2011-11-30 00:00:00 | 34297402 | 3924845 | 30372557 | 0 | 0 | 0
114 | WELLS FARGO ADVISORS LLC | FCM BD | NFA | 2011-11-30 00:00:00 | 602602298 | 1500000 | 601102298 | 0 | 0 | 0
115 | WELLS FARGO SECURITIES LLC | FCM BD | CME | 2011-11-30 00:00:00 | 1836962836 | 10699155 | 1826263681 | 0 | 0 | 0
116 | WHITE COMMERCIAL CORPORATION | FCM | NFA | 2011-11-30 00:00:00 | 2740413 | 1000000 | 1740413 | 0 | 0 | 0
117 | XPRESSTRADE LLC | RFED | NFA | 2011-11-30 00:00:00 | 22990403 | 20000000 | 2990403 | 0 | 0 | 840943
118 | YORK BUSINESS ASSOCIATES LLC | FCM | NFA | 2011-11-30 00:00:00 | 1186692 | 1000000 | 186692 | 75573654 | 1525262 | 0
 | Totals
 | October Web Page Update | 120
 | Additions | 1
 | GH FINANCIALS LLC
 | Deletions | 3
 | PENSON FUTURES
 | TOWER RESEARCH CAPITAL EUROPE LLC
 | LIMESTONE TRADING LLC
 | Name Change
 | MACQUARIE FUTURES USA INC to
 | MACQUARIE FUTURES USA LLC
 | November Web Page Update | 118
 | *Allianz Global Investors Distributors LLC files financial statements quarterly.
 | (a):  FCM:         Futures Commission Merchant that is registered with the Commodity Futures Trading Commission;
 | BD:           The FCM is also registered with the Securities and Exchange Commission as a securities broker or dealer;
 | RFED:       Retail Foreign Exchange Dealer that is registered with the Commodity Futures Trading Commission;
 | FCMRFD:  The FCM is also registered with the Commodity Futures Trading Commission as a Retail Foreign Exchange Dealer.
 | (b):  DSRO: Designated Self-Regulatory Organization.
 | (c):  A firm's net capital requirement is the greater of:
 | •  FCM minimum dollar amount ($1,000,000); or
 | •  risk based capital requirement, the sum of 8% of total customer risk maintenance margin and 8% of total non-customer risk maintenance margin; or
 | •  the amount of capital required by a registered futures association (currently NFA is the only such association); or
 | •  for securities brokers and dealers, the amount of net capital required by Rule 15c3-1(a) of the Securities and Exchange Commission; or
 | •  minimum dollar amount for FCM’s offering or engaged in retail forex transactions and RFEDs ($20,000,000); or
 | •  minimum dollar amount for FCM’s offering or engaged in retail forex transactions and RFEDs ($20,000,000) plus five percent of the FCM’s or RFED’s total retail forex obligation in excess of $10,000,000.
 | (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.
 | (g):  This represents the total amount of funds at an FCM, RFED, or FCMRFD that would be obtained by combining all money, securities and property deposited by a retail forex customer into a retail forex account or accounts, adjusted for the realized and unrealized net profit or loss.