Spreadsheet: 0c277106-eac5-4fda-8e62-e2702df55563
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 | 2010-04-30 00:00:00 | 1101079 | 1000000 | 101079 | 0 | 0
2 | ADM INVESTOR SERVICES INC | N | CBOT | 2010-04-30 00:00:00 | 187741313 | 105427375 | 82313938 | 2006856600 | 77326045
3 | ADVANCED MARKETS LLC | N | NFA | 2010-04-30 00:00:00 | 20129134 | 20000000 | 129134 | 0 | 0
4 | ADVANTAGE FUTURES LLC | N | CME | 2010-04-30 00:00:00 | 18057897 | 8752701 | 9305196 | 320364034 | 37601602
5 | ADVANTAGE SECURITIES LLC | Y | NFA | 2010-04-30 00:00:00 | 3992715 | 1000000 | 2992715 | 3179410 | 0
6 | AIG CLEARING CORPORATION | N | NYME | 2010-04-30 00:00:00 | 224878033 | 1000000 | 223878033 | 0 | 0
7 | ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC* | Y | NFA | 2010-03-31 00:00:00 | 31950881 | 8179981 | 23770900 | 0 | 0
8 | [NAME] (US) LLC | N | NFA | 2010-04-30 00:00:00 | 20938516 | 20000000 | 938516 | 0 | 0
9 | AMERIPRISE FINANCIAL SERVICES INC | Y | NFA | 2010-04-30 00:00:00 | 112868929 | 1000000 | 111868929 | 0 | 0
10 | BANC OF AMERICA SECURITIES LLC | Y | CME | 2010-04-30 00:00:00 | 2331750056 | 188277652 | 2143472404 | 0 | 0
11 | BARCLAYS CAPITAL INC | Y | NYME | 2010-04-30 00:00:00 | 5086385517 | 753264268 | 4333121249 | 4337180783 | 2256094356
12 | BGC FINANCIAL LP | Y | NFA | 2010-04-30 00:00:00 | 28384625 | 1000000 | 27384625 | 0 | 0
13 | BNP PARIBAS COMMODITY FUTURES INC | N | NYME | 2010-04-30 00:00:00 | 347509332 | 195752585 | 151756747 | 1096213032 | 512350139
14 | BNP PARIBAS SECURITIES CORP | Y | CBOT | 2010-04-30 00:00:00 | 2112109660 | 70972952 | 2041136708 | 348902009 | 0
15 | BNY MELLON CLEARING LLC | N | NFA | 2010-04-30 00:00:00 | 8407774 | 1000000 | 7407774 | 0 | 0
16 | CANTOR FITZGERALD & CO | Y | CBOT | 2010-04-30 00:00:00 | 143311585 | 5384656 | 137926929 | 11564472 | 0
17 | CAPITAL MARKET SERVICES LLC | N | NFA | 2010-04-30 00:00:00 | 25988456 | 21107941 | 4880515 | 0 | 0
18 | CIBC WORLD MARKETS CORP | Y | CME | 2010-04-30 00:00:00 | 1419435898 | 1500000 | 1417935898 | 0 | 0
19 | CITADEL SECURITIES LLC | Y | CME | 2010-04-30 00:00:00 | 102538521 | 19139147 | 83399374 | 0 | 0
20 | CITIGROUP GLOBAL MARKETS INC | Y | CBOT | 2010-04-30 00:00:00 | 7999154983 | 696479940 | 7302675043 | 9991731347 | 2390012539
21 | COMMONWEALTH FOREIGN EXCHANGE INC | N | NFA | 2010-04-30 00:00:00 | 1239025 | 1000000 | 239025 | 0 | 0
22 | COMPASS PROFESSIONAL SERVICES LLC | Y | NFA | 2010-04-30 00:00:00 | 3423813 | 1000000 | 2423813 | 0 | 0
23 | COUNTRY HEDGING INC | N | NFA | 2010-04-30 00:00:00 | 16625923 | 7970731 | 8655192 | 86171077 | 37526
24 | CREDIT SUISSE SECURITIES (USA) LLC | Y | CBOT | 2010-04-30 00:00:00 | 10147736372 | 920956279 | 9226780093 | 4153415573 | 1508100593
25 | CROSSLAND LLC | N | CBOT | 2010-04-30 00:00:00 | 8672864 | 5291854 | 3381010 | 62263399 | 41483590
26 | CUNNINGHAM COMMODITIES LLC | N | CBOT | 2010-04-30 00:00:00 | 3622431 | 1530615 | 2091816 | 45163831 | 23233
27 | CX CAPITAL MARKETS LLC | N | NFA | 2010-04-30 00:00:00 | 2179475 | 1000000 | 1179475 | 23536678 | 0
28 | DAIWA CAPITAL MARKETS AMERICA INC | Y | CME | 2010-04-30 00:00:00 | 263791474 | 1802704 | 261988770 | 6953724 | 40979
29 | DEUTSCHE BANK SECURITIES INC | Y | CBOT | 2010-04-30 00:00:00 | 6631128764 | 583361349 | 6047767415 | 13257332800 | 1384226981
30 | DORMAN TRADING LLC | N | CME | 2010-04-30 00:00:00 | 7822415 | 1000000 | 6822415 | 89791578 | 83890
31 | EAGLE MARKET MAKERS INC | N | CBOT | 2010-04-30 00:00:00 | 6107496 | 1000000 | 5107496 | 5911565 | 0
32 | EASY FOREX US LTD | N | NFA | 2010-04-30 00:00:00 | 20222350 | 20000000 | 222350 | 0 | 0
33 | ELECTRONIC BROKERAGE SYSTEMS LLC | Y | NFA | 2010-04-30 00:00:00 | 8462825 | 1000000 | 7462825 | 0 | 0
34 | ENSKILDA FUTURES LTD | N | CME | 2010-04-30 00:00:00 | 25199293 | 19433491 | 5765802 | 353163444 | 0
35 | FARR FINANCIAL INC | N | NFA | 2010-04-30 00:00:00 | 1977430 | 1000000 | 977430 | 39705843 | 15984
36 | FCSTONE LLC | N | CME | 2010-04-30 00:00:00 | 79210548 | 37571468 | 41639080 | 929604422 | 11279563
37 | FOREX CAPITAL MARKETS LLC | N | NFA | 2010-04-30 00:00:00 | 69253442 | 24752877 | 44500565 | 0 | 0
38 | FOREX CLUB FINANCIAL COMPANY INC | N | NFA | 2010-04-30 00:00:00 | 20764874 | 20000000 | 764874 | 0 | 0
39 | FORTIS CLEARING AMERICAS LLC | Y | CBOT | 2010-04-30 00:00:00 | 217751511 | 62592299 | 155159212 | 1102069979 | 120251090
40 | FRIEDBERG MERCANTILE GROUP INC | N | NFA | 2010-04-30 00:00:00 | 3353400 | 1000000 | 2353400 | 4678411 | 288851
41 | FRONTIER FUTURES INC | N | NFA | 2010-04-30 00:00:00 | 1564060 | 1000000 | 564060 | 22678718 | 3836
42 | FUTURES TECH LLC | N | NFA | 2010-04-30 00:00:00 | 1601435 | 1000000 | 601435 | 0 | 0
43 | FX SOLUTIONS LLC | N | NFA | 2010-04-30 00:00:00 | 37726291 | 20416022 | 17310269 | 0 | 0
44 | FXDIRECTDEALER LLC | N | NFA | 2010-04-30 00:00:00 | 34519603 | 21882307 | 12637296 | 0 | 0
45 | GAIN CAPITAL GROUP LLC | N | NFA | 2010-04-30 00:00:00 | 75419999 | 26300140 | 49119859 | 0 | 0
46 | GENESIS FUTURES LLC | N | NFA | 2010-04-30 00:00:00 | 1515333 | 1000000 | 515333 | 0 | 0
47 | GILDER GAGNON HOWE & CO LLC | Y | NFA | 2010-04-30 00:00:00 | 15840319 | 1000000 | 14840319 | 0 | 0
48 | GLOBAL FUTURES & FOREX LTD | N | NFA | 2010-04-30 00:00:00 | 83354274 | 25831571 | 57522703 | 273797 | 209034
49 | GOLDMAN SACHS & CO | Y | CBOT | 2010-04-30 00:00:00 | 11974209919 | 2112532315 | 9861677604 | 18151237560 | 6202415638
50 | GOLDMAN SACHS EXECUTION & CLEARING LP | Y | CME | 2010-04-30 00:00:00 | 1707890973 | 114102034 | 1593788939 | 1339153115 | 25317002
51 | HG CLEARING SERVICES LLC | N | NFA | 2010-04-30 00:00:00 | 1002262 | 1000000 | 2262 | 0 | 0
52 | HSBC SECURITIES USA INC | Y | CME | 2010-04-30 00:00:00 | 1141967687 | 98839926 | 1043127761 | 656631472 | 107213929
53 | ICAP FUTURES LLC | N | NFA | 2010-04-30 00:00:00 | 11427253 | 1000000 | 10427253 | 0 | 0
54 | IG MARKETS INC | N | NFA | 2010-04-30 00:00:00 | 14019709 | 7500000 | 6519709 | 48541 | 0
55 | IKON GLOBAL MARKETS INC | N | NFA | 2010-04-30 00:00:00 | 21678953 | 20468178 | 1210775 | 4013706 | 308434
56 | INSTINET LLC | Y | NFA | 2010-04-30 00:00:00 | 85540369 | 2141435 | 83398934 | 0 | 0
57 | INTEGRATED BROKERAGE SERVICES LLC | N | NFA | 2010-04-30 00:00:00 | 1725368 | 1000000 | 725368 | 0 | 0
58 | INTERACTIVE BROKERS LLC | Y | NFA | 2010-04-30 00:00:00 | 954038267 | 118309729 | 835728538 | 530139063 | 170398699
59 | INTERBANK FX LLC | N | NFA | 2010-04-30 00:00:00 | 30491110 | 21558357 | 8932753 | 0 | 0
60 | ITG DERIVATIVES LLC | Y | NFA | 2010-04-30 00:00:00 | 3651179 | 1000000 | 2651179 | 0 | 0
61 | JP MORGAN CLEARING CORP | Y | CME | 2010-04-30 00:00:00 | 5225672919 | 1589041218 | 3636631701 | 465053002 | 231486503
62 | JP MORGAN FUTURES INC | N | NYME | 2010-04-30 00:00:00 | 2097310028 | 1114018259 | 983291769 | 14068193331 | 1644978592
63 | JP MORGAN SECURITIES INC | Y | NFA | 2010-04-30 00:00:00 | 9222539616 | 537564376 | 8684975240 | 0 | 0
64 | LEK SECURITIES CORPORATION | Y | NFA | 2010-04-30 00:00:00 | 12346560 | 1500000 | 10846560 | 336129 | 0
65 | LIMESTONE TRADING LLC | N | NFA | 2010-04-30 00:00:00 | 5686222 | 1000000 | 4686222 | 0 | 0
66 | LINN GROUP THE | N | NFA | 2010-04-30 00:00:00 | 2178662 | 1000000 | 1178662 | 32115496 | 104003
67 | LPL FINANCIAL CORPORATION | Y | NFA | 2010-04-30 00:00:00 | 125261197 | 5409609 | 119851588 | 0 | 0
68 | MACQUARIE FUTURES USA INC | N | CBOT | 2010-04-30 00:00:00 | 86533457 | 42370748 | 44162709 | 678542812 | 819479
69 | MAREX USA LIMITED | N | NFA | 2010-04-30 00:00:00 | 3730567 | 1000000 | 2730567 | 0 | 0
70 | MB TRADING FUTURES INC | N | NFA | 2010-04-30 00:00:00 | 24324618 | 20000000 | 4324618 | 0 | 0
71 | MBF CLEARING CORP | N | NYME | 2010-04-30 00:00:00 | 11624817 | 1606536 | 10018281 | 83158227 | 6511895
72 | MCVEAN TRADING & INVESTMENTS LLC | N | NFA | 2010-04-30 00:00:00 | 9931934 | 2146139 | 7785795 | 580144924 | 0
73 | MERRILL LYNCH PIERCE FENNER & SMITH | Y | CBOT | 2010-04-30 00:00:00 | 5222403661 | 678469337 | 4543934324 | 8671635363 | 2088496220
74 | MERRILL LYNCH PROFESSIONAL CLEARING CORP | Y | NFA | 2010-04-30 00:00:00 | 1641778529 | 174277734 | 1467500795 | 1201833885 | 34943033
75 | MF GLOBAL INC | Y | CME | 2010-04-30 00:00:00 | 569174484 | 373458656 | 195715828 | 7486158431 | 536820845
76 | MG FINANCIAL LLC | N | NFA | 2010-04-30 00:00:00 | 4493541 | 1000000 | 3493541 | 0 | 0
77 | MID CO COMMODITIES INC | N | NFA | 2010-04-30 00:00:00 | 9459531 | 3424311 | 6035220 | 22697701 | 0
78 | MITSUBISHI UFJ SECURITIES USA INC | Y | NFA | 2010-04-30 00:00:00 | 92354633 | 2114202 | 90240431 | 0 | 0
79 | MITSUI BUSSAN COMMODITIES USA INC | N | NYME | 2010-04-30 00:00:00 | 8006479 | 6042268 | 1964211 | 0 | 0
80 | MIZUHO SECURITIES USA INC | Y | CME | 2010-04-30 00:00:00 | 499262628 | 59838515 | 439424113 | 667369117 | 267074724
81 | MORGAN KEEGAN & COMPANY INC | Y | NFA | 2010-04-30 00:00:00 | 424602796 | 10932928 | 413669868 | 0 | 0
82 | MORGAN STANLEY & CO INCORPORATED | Y | CME | 2010-04-30 00:00:00 | 7702739486 | 1159827326 | 6542912160 | 4680009856 | 3212837820
83 | MORGAN STANLEY SMITH BARNEY LLC | Y | NFA | 2010-04-30 00:00:00 | 929917974 | 1000000 | 928917974 | 0 | 0
84 | NATIXIS SECURITIES NORTH AMERICA INC | Y | NFA | 2010-04-30 00:00:00 | 219196899 | 1000000 | 218196899 | 0 | 0
85 | NEUBERGER BERMAN LLC | Y | NFA | 2010-04-30 00:00:00 | 69515177 | 1500000 | 68015177 | 0 | 0
86 | NEWEDGE USA LLC | Y | NYME | 2010-04-30 00:00:00 | 2446433962 | 1365953651 | 1080480311 | 18676546668 | 6979273070
87 | NOMURA SECURITIES INTERNATIONAL INC | Y | CBOT | 2010-04-30 00:00:00 | 1278117809 | 20658266 | 1257459543 | 56685504 | 102207
88 | OANDA CORPORATION | N | NFA | 2010-04-30 00:00:00 | 170299469 | 29180107 | 141119362 | 0 | 0
89 | OPEN E CRY LLC | N | NFA | 2010-04-30 00:00:00 | 3874164 | 1031907 | 2842257 | 98719251 | 782283
90 | OPPENHEIMER & CO INC | Y | NFA | 2010-04-30 00:00:00 | 167670497 | 24473345 | 143197152 | 20372455 | 0
91 | OPTIONSXPRESS INC | Y | NFA | 2010-04-30 00:00:00 | 109167800 | 12107165 | 97060635 | 105586130 | 694852
92 | [NAME] | N | CBOT | 2010-04-30 00:00:00 | 23186273 | 19482852 | 3703421 | 507141376 | 15921560
93 | PEREGRINE FINANCIAL GROUP INC | N | NFA | 2010-04-30 00:00:00 | 32332718 | 20000000 | 12332718 | 397408265 | 30728904
94 | PIONEER FUTURES INC | N | NYME | 2010-04-30 00:00:00 | 1435315 | 1000000 | 435315 | 0 | 0
95 | PRUDENTIAL BACHE COMMODITIES LLC | N | CBOT | 2010-04-30 00:00:00 | 214097000 | 157962480 | 56134520 | 2512590000 | 233313000
96 | RAND FINANCIAL SERVICES INC | N | CME | 2010-04-30 00:00:00 | 68914315 | 13412671 | 55501644 | 133061000 | 37156300
97 | RAYMOND JAMES & ASSOCIATES INC | Y | NFA | 2010-04-30 00:00:00 | 367131156 | 28645947 | 338485209 | 0 | 0
98 | RBC CAPITAL MARKETS CORPORATION | Y | CME | 2010-04-30 00:00:00 | 1032398275 | 82566786 | 949831489 | 703965822 | 157973146
99 | RBS SECURITIES INC | Y | CBOT | 2010-04-30 00:00:00 | 1502336000 | 207827000 | 1294509000 | 1419567000 | 86276000
100 | RJ OBRIEN ASSOCIATES LLC | N | CME | 2010-04-30 00:00:00 | 118024039 | 71493107 | 46530932 | 1734947397 | 37239562
101 | ROSENTHAL COLLINS GROUP LLC | N | CME | 2010-04-30 00:00:00 | 63795747 | 36393430 | 27402317 | 1195016716 | 18209393
102 | ROSENTHAL GLOBAL SECURITIES LLC | Y | NFA | 2010-04-30 00:00:00 | 51251342 | 1000000 | 50251342 | 0 | 0
103 | SANFORD C BERNSTEIN & CO LLC | Y | NFA | 2010-04-30 00:00:00 | 172818632 | 12230142 | 160588490 | 0 | 0
104 | SANTANDER INVESTMENT SECURITIES INC | Y | NFA | 2010-04-30 00:00:00 | 287876970 | 1420564 | 286456406 | 0 | 0
105 | SHAY GRAIN CLEARING COMPANY | N | KCBT | 2010-04-30 00:00:00 | 2578875 | 1000000 | 1578875 | 12318558 | 0
106 | SMW TRADING COMPANY INC | N | CME | 2010-04-30 00:00:00 | 26916554 | 1000000 | 25916554 | 3946973 | 0
107 | STATE STREET GLOBAL MARKETS LLC | Y | CME | 2010-04-30 00:00:00 | 350178945 | 1305977 | 348872968 | 149457839 | 465420
108 | STEPHENS | Y | NFA | 2010-04-30 00:00:00 | 63838079 | 10861267 | 52976812 | 0 | 0
109 | STERLING COMMODITIES CORP | N | NYME | 2010-04-30 00:00:00 | 7677634 | 1605294 | 6072340 | 43845496 | 404448
110 | TCA FUTURES LLC | N | NFA | 2010-04-30 00:00:00 | 1596840 | 1000000 | 596840 | 0 | 0
111 | TD AMERITRADE INC | Y | NFA | 2010-04-30 00:00:00 | 313642725 | 1000000 | 312642725 | 0 | 0
112 | TENCO INC | N | CBOT | 2010-04-30 00:00:00 | 50574538 | 6431202 | 44143336 | 185929294 | 0
113 | TERRA NOVA FINANCIAL LLC | Y | NFA | 2010-04-30 00:00:00 | 9700267 | 1500000 | 8200267 | 0 | 0
114 | TIMBER HILL LLC | Y | CME | 2010-04-30 00:00:00 | 718601069 | 39011750 | 679589319 | 537374153 | 0
115 | TOWER RESEARCH CAPITAL EUROPE LLC | N | NFA | 2010-04-30 00:00:00 | 5801542 | 1000000 | 4801542 | 0 | 0
116 | TRADELINK LLC | Y | CBOT | 2010-04-30 00:00:00 | 24929702 | 1000000 | 23929702 | 0 | 0
117 | TRADESTATION SECURITIES INC | Y | NFA | 2010-04-30 00:00:00 | 79556489 | 2132833 | 77423656 | 356051207 | 455574
118 | TRADITION SECURITIES AND FUTURES INC | N | NFA | 2010-04-30 00:00:00 | 1571425 | 1000000 | 571425 | 0 | 0
119 | TRANSMARKET GROUP LLC | Y | CBOT | 2010-04-30 00:00:00 | 5512363 | 1000000 | 4512363 | 0 | 0
120 | TRILAND USA INC | N | NYME | 2010-04-30 00:00:00 | 28468897 | 18366990 | 10101907 | 150187068 | 16398739
121 | UBS FINANCIAL SERVICES INC | Y | NFA | 2010-04-30 00:00:00 | 1280739488 | 91594688 | 1189144800 | 180657091 | 1177615
122 | UBS SECURITIES LLC | Y | CBOT | 2010-04-30 00:00:00 | 11281312998 | 939239628 | 10342073370 | 9701895008 | 4427711104
123 | VELOCITY FUTURES LLC | N | NFA | 2010-04-30 00:00:00 | 1632088 | 1000000 | 632088 | 45668635 | 3405715
124 | VISION FINANCIAL MARKETS LLC | Y | CME | 2010-04-30 00:00:00 | 19349848 | 9716536 | 9633312 | 371397859 | 4435008
125 | WELLS FARGO ADVISORS FINANCIAL NETWORK LLC | Y | NFA | 2010-04-30 00:00:00 | 25903140 | 4168511 | 21734629 | 0 | 0
126 | WELLS FARGO ADVISORS LLC | Y | NFA | 2010-04-30 00:00:00 | 465914741 | 1500000 | 464414741 | 0 | 0
127 | WELLS FARGO SECURITIES LLC | Y | CME | 2010-04-30 00:00:00 | 1302282194 | 5719604 | 1296562590 | 0 | 0
128 | WHITE COMMERCIAL CORPORATION | N | NFA | 2010-04-30 00:00:00 | 2352262 | 1000000 | 1352262 | 0 | 0
129 | WSD FINANCIAL USA INC | N | NFA | 2010-04-30 00:00:00 | 1210985 | 1000000 | 210985 | 0 | 0
130 | YORK BUSINESS ASSOCIATES LLC | N | NFA | 2010-04-30 00:00:00 | 1971607 | 1000000 | 971607 | 55051927 | 1133228
 | Totals |  |  |  |  |  |  | 136972566949 | 34922413775 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0
 | March Web Page Update | 131
 | Additions
 | Deletions
 | LADENBURG THALMANN & CO INC | 1
 | Name Change
 | FROM DAIWA SECURITIES AMERICA INC TO DAIWA CAPITAL MARKETS AMERICA INC.
 | April Web Page Update | 130
 | *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) $1,000,000; or
 | (2) risk based capital requirement, the sum of 8% of total customer risk maintenance margin and 8% 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].