Spreadsheet: 09e469e9-7c6b-47fc-93a8-4ed6ec788093
Sheet: FCM Data March 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 | 2011-03-31 00:00:00 | 200418426 | 102873727 | 97544699 | 1786382780 | 276931570 | 0
2 | ADM INVESTOR SERVICES INC | FCM | CBOT | 2011-03-31 00:00:00 | 291886079 | 162710262 | 129175817 | 2486938778 | 56063140 | 0
3 | ADVANCED MARKETS LLC | RFED | NFA | 2011-03-31 00:00:00 | 20089303 | 20000000 | 89303 | 0 | 0 | 2592470
4 | ADVANTAGE FUTURES LLC | FCM | CME | 2011-03-31 00:00:00 | 21784462 | 13081358 | 8703104 | 461897699 | 38620326 | 0
5 | ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC * | FCM BD | NFA | 2011-03-31 00:00:00 | 106652708 | 6172937 | 100479771 | 0 | 0 | 0
6 | [NAME] (US) LLC | RFED | NFA | 2011-03-31 00:00:00 | 20652028 | 20000000 | 652028 | 0 | 0 | 6210223
7 | AMERIPRISE FINANCIAL SERVICES INC | FCM BD | NFA | 2011-03-31 00:00:00 | 108614794 | 1000000 | 107614794 | 0 | 0 | 0
8 | AMP GLOBAL CLEARING LLC | FCM | NFA | 2011-03-31 00:00:00 | 1428237 | 1000000 | 428237 | 26832762 | 49655 | 0
9 | BARCLAYS CAPITAL INC | FCM BD | NYME | 2011-03-31 00:00:00 | 6090810729 | 736451718 | 5354359011 | 5512110026 | 2197487661 | 0
10 | BGC FINANCIAL LP | FCM BD | NFA | 2011-03-31 00:00:00 | 60876006 | 1000000 | 59876006 | 0 | 0 | 0
11 | BNP PARIBAS COMMODITY FUTURES INC | FCM | NYME | 2011-03-31 00:00:00 | 373325490 | 232163876 | 141161614 | 1531762736 | 470813936 | 0
12 | BNP PARIBAS SECURITIES CORP | FCM BD | CBOT | 2011-03-31 00:00:00 | 1556440271 | 103397884 | 1453042387 | 612171378 | 0 | 0
13 | BNY MELLON CLEARING LLC | FCM | CME | 2011-03-31 00:00:00 | 128279112 | 3457118 | 124821994 | 1553085 | 26 | 0
14 | CANTOR FITZGERALD & CO | FCM BD | CBOT | 2011-03-31 00:00:00 | 172666387 | 6581710 | 166084677 | 1455392 | 0 | 0
15 | CAPITAL MARKET SERVICES LLC | RFED | NFA | 2011-03-31 00:00:00 | 2604568 | 1000000 | 1604568 | 0 | 0 | 0
16 | CIBC WORLD MARKETS CORP | FCM BD | CME | 2011-03-31 00:00:00 | 470824446 | 1500000 | 469324446 | 0 | 0 | 0
17 | CITADEL SECURITIES LLC | FCM BD | CME | 2011-03-31 00:00:00 | 343453113 | 1000000 | 342453113 | 0 | 0 | 0
18 | CITIGROUP GLOBAL MARKETS INC | FCM BD | CBOT | 2011-03-31 00:00:00 | 7875144300 | 659266658 | 7215877642 | 10066221125 | 1489002482 | 0
19 | COMMONWEALTH FOREIGN EXCHANGE INC | FCM | NFA | 2011-03-31 00:00:00 | 1508702 | 1000000 | 508702 | 0 | 0 | 0
20 | COMPASS PROFESSIONAL SERVICES LLC | FCM BD | NFA | 2011-03-31 00:00:00 | 3787130 | 1000000 | 2787130 | 0 | 0 | 0
21 | COUNTRY HEDGING INC | FCM | NFA | 2011-03-31 00:00:00 | 26336507 | 21305534 | 5030973 | 116236067 | 183248 | 0
22 | CREDIT SUISSE SECURITIES (USA) LLC | FCM BD | CBOT | 2011-03-31 00:00:00 | 7795713905 | 1055060653 | 6740653252 | 5614260540 | 1788660965 | 0
23 | CROSSLAND LLC | FCM | CBOT | 2011-03-31 00:00:00 | 10982212 | 4639866 | 6342346 | 75226388 | 30395191 | 0
24 | CUNNINGHAM COMMODITIES LLC | FCM | CBOT | 2011-03-31 00:00:00 | 3580741 | 1000000 | 2580741 | 40348048 | 38572 | 0
25 | CX CAPITAL MARKETS LLC | FCM | NFA | 2011-03-31 00:00:00 | 2308838 | 1000000 | 1308838 | 26087524 | 0 | 0
26 | DAIWA CAPITAL MARKETS AMERICA INC | FCM BD | CME | 2011-03-31 00:00:00 | 305231051 | 1454999 | 303776052 | 4300058 | 40979 | 0
27 | DEUTSCHE BANK SECURITIES INC | FCM BD | CBOT | 2011-03-31 00:00:00 | 6753993203 | 631276054 | 6122717149 | 16365066676 | 1412958976 | 0
28 | DORMAN TRADING LLC | FCM | CME | 2011-03-31 00:00:00 | 7632179 | 1000000 | 6632179 | 95315926 | 1438021 | 0
29 | EAGLE MARKET MAKERS INC | FCM | CBOT | 2011-03-31 00:00:00 | 7022081 | 1000000 | 6022081 | 4993681 | 0 | 0
30 | EASY FOREX US LTD | FCM | NFA | 2011-03-31 00:00:00 | 1930380 | 1000000 | 930380 | 0 | 0 | 0
31 | ELECTRONIC BROKERAGE SYSTEMS LLC | FCM BD | NFA | 2011-03-31 00:00:00 | 4942384 | 1000000 | 3942384 | 0 | 0 | 0
32 | ENSKILDA FUTURES LTD | FCM | CME | 2011-03-31 00:00:00 | 27969165 | 21318934 | 6650231 | 364012783 | 0 | 0
33 | FARR FINANCIAL INC | FCM | NFA | 2011-03-31 00:00:00 | 1570844 | 1000000 | 570844 | 0 | 0 | 0
34 | FCSTONE LLC | FCM | CME | 2011-03-31 00:00:00 | 109558865 | 71924964 | 37633901 | 1227964576 | 14155113 | 5240772
35 | FOREX CAPITAL MARKETS LLC | RFED | NFA | 2011-03-31 00:00:00 | 80939785 | 26294357 | 54645428 | 0 | 0 | 135887130
36 | FOREX CLUB LLC | RFED | NFA | 2011-03-31 00:00:00 | 20455549 | 20000000 | 455549 | 0 | 0 | 2473440
37 | FRIEDBERG MERCANTILE GROUP INC | FCM | NFA | 2011-03-31 00:00:00 | 3431419 | 1000000 | 2431419 | 9580650 | 834656 | 0
38 | FRONTIER FUTURES INC | FCM | NFA | 2011-03-31 00:00:00 | 1839422 | 1317371 | 522051 | 28239356 | 0 | 0
39 | FUTURES TECH LLC | FCM | NFA | 2011-03-31 00:00:00 | 1607896 | 1000000 | 607896 | 0 | 0 | 0
40 | FX SOLUTIONS LLC | RFED | NFA | 2011-03-31 00:00:00 | 34877023 | 20444496 | 14432527 | 0 | 0 | 18889924
41 | FXDIRECTDEALER LLC | RFED | NFA | 2011-03-31 00:00:00 | 22576150 | 21398527 | 1177623 | 0 | 0 | 37970559
42 | GAIN CAPITAL GROUP LLC | RFED | NFA | 2011-03-31 00:00:00 | 39587898 | 26676008 | 12911890 | 0 | 0 | 143520157
43 | GLOBAL FUTURES & FOREX LTD | RFED | NFA | 2011-03-31 00:00:00 | 82765538 | 23990187 | 58775351 | 629983 | 210478 | 89803740
44 | GOLDMAN SACHS & CO | FCM BD | CBOT | 2011-03-31 00:00:00 | 10505347097 | 1952024726 | 8553322371 | 21764949000 | 7569408827 | 0
45 | GOLDMAN SACHS EXECUTION & CLEARING LP | FCM BD | CME | 2011-03-31 00:00:00 | 1784323336 | 125388883 | 1658934453 | 1262050109 | 24214807 | 0
46 | HSBC SECURITIES USA INC | FCM BD | CME | 2011-03-31 00:00:00 | 1075406774 | 93747232 | 981659542 | 974564160 | 122682233 | 0
47 | ICAP CORPORATES LLC | FCM BD | NFA | 2011-03-31 00:00:00 | 43666169 | 3615959 | 40050210 | 0 | 0 | 0
48 | ICAP FUTURES LLC | FCM | NFA | 2011-03-31 00:00:00 | 8300851 | 1000000 | 7300851 | 0 | 0 | 0
49 | IG MARKETS INC | FCM | NFA | 2011-03-31 00:00:00 | 28935338 | 20000000 | 8935338 | 239823 | 0 | 1513884
50 | IKON GLOBAL MARKETS INC | FCM | NFA | 2011-03-31 00:00:00 | 17178679 | 1000000 | 16178679 | 22082147 | 108434 | 0
51 | INSTINET LLC | FCM BD | NFA | 2011-03-31 00:00:00 | 115078522 | 1770195 | 113308327 | 0 | 0 | 0
52 | INSTITUTIONAL LIQUIDITY LLC | FCM | NFA | 2011-03-31 00:00:00 | 21000847 | 20000000 | 1000847 | 0 | 0 | 0
53 | INTEGRATED BROKERAGE SERVICES LLC | FCM | NFA | 2011-03-31 00:00:00 | 1643462 | 1000000 | 643462 | 0 | 0 | 0
54 | INTERACTIVE BROKERS LLC | FCM BD | NFA | 2011-03-31 00:00:00 | 1225839821 | 202217460 | 1023622361 | 728922719 | 285913147 | 0
55 | INTERBANK FX LLC | RFED | NFA | 2011-03-31 00:00:00 | 24237622 | 21254063 | 2983559 | 0 | 0 | 35081264
56 | IRONBEAM INC | FCM | NFA | 2011-03-31 00:00:00 | 2070089 | 1097248 | 972841 | 51373529 | 369902 | 0
57 | ITG DERIVATIVES LLC | FCM BD | NFA | 2011-03-31 00:00:00 | 3226619 | 1000000 | 2226619 | 0 | 0 | 0
58 | JEFFERIES & COMPANY INC | FCM BD | NFA | 2011-03-31 00:00:00 | 486328907 | 84413601 | 401915306 | 0 | 0 | 0
59 | JP MORGAN CLEARING CORP | FCM BD | CME | 2011-03-31 00:00:00 | 6092471903 | 1911754709 | 4180717194 | 502881860 | 368012655 | 0
60 | JP MORGAN FUTURES INC | FCM | NYME | 2011-03-31 00:00:00 | 2532593354 | 1449298139 | 1083295215 | 16821242735 | 2341708526 | 0
61 | JP MORGAN SECURITIES LLC | FCM BD | NFA | 2011-03-31 00:00:00 | 7850479654 | 576411749 | 7274067905 | 0 | 0 | 0
62 | LEK SECURITIES CORPORATION | FCM BD | NFA | 2011-03-31 00:00:00 | 10419910 | 1500000 | 8919910 | 247635 | 0 | 0
63 | LIMESTONE TRADING LLC | FCM | NFA | 2011-03-31 00:00:00 | 3795604 | 1000000 | 2795604 | 0 | 0 | 0
64 | LINN GROUP THE | FCM | NFA | 2011-03-31 00:00:00 | 2536913 | 1000000 | 1536913 | 35676779 | 58265 | 0
65 | LPL FINANCIAL LLC | FCM BD | NFA | 2011-03-31 00:00:00 | 130284087 | 5756387 | 124527700 | 0 | 0 | 0
66 | MACQUARIE FUTURES USA INC | FCM | CBOT | 2011-03-31 00:00:00 | 131501934 | 57623508 | 73878426 | 735384573 | 25960074 | 0
67 | MAREX NORTH AMERICA LLC | FCM | CME | 2011-03-31 00:00:00 | 11036848 | 4072242 | 6964606 | 48269147 | 1778604 | 0
68 | MAREX USA LIMITED | FCM | NFA | 2011-03-31 00:00:00 | 2620841 | 1000000 | 1620841 | 0 | 0 | 0
69 | MB TRADING FUTURES INC | RFED | NFA | 2011-03-31 00:00:00 | 24860991 | 21221391 | 3639600 | 0 | 0 | 34427812
70 | MBF CLEARING CORP | FCM | NYME | 2011-03-31 00:00:00 | 9240976 | 1480050 | 7760926 | 103701836 | 2879261 | 0
71 | MCVEAN TRADING & INVESTMENTS LLC | FCM | NFA | 2011-03-31 00:00:00 | 11096110 | 3965327 | 7130783 | 831065826 | 0 | 0
72 | MERRILL LYNCH PIERCE FENNER & SMITH | FCM BD | CBOT | 2011-03-31 00:00:00 | 10161569475 | 833406047 | 9328163428 | 9581310967 | 2590803840 | 0
73 | MERRILL LYNCH PROFESSIONAL CLEARING CORP | FCM BD | NFA | 2011-03-31 00:00:00 | 2256306248 | 192924138 | 2063382110 | 941107835 | 52078934 | 0
74 | MF GLOBAL INC | FCM BD | CME | 2011-03-31 00:00:00 | 562509559 | 437172057 | 125337502 | 8077773388 | 768393822 | 0
75 | MID CO COMMODITIES INC | FCM | NFA | 2011-03-31 00:00:00 | 14797411 | 8388341 | 6409070 | 21761575 | 0 | 0
76 | MITSUBISHI UFJ SECURITIES USA INC | FCM BD | NFA | 2011-03-31 00:00:00 | 96468256 | 1303512 | 95164744 | 0 | 0 | 0
77 | MITSUI BUSSAN COMMODITIES USA INC | FCM | NFA | 2011-03-31 00:00:00 | 3034647 | 1000000 | 2034647 | 0 | 0 | 0
78 | MIZUHO SECURITIES USA INC | FCM BD | CME | 2011-03-31 00:00:00 | 407136165 | 74871666 | 332264499 | 840667647 | 432813651 | 0
79 | MORGAN KEEGAN & COMPANY INC | FCM BD | NFA | 2011-03-31 00:00:00 | 443230087 | 9412019 | 433818068 | 0 | 0 | 0
80 | MORGAN STANLEY & CO INCORPORATED | FCM BD | CME | 2011-03-31 00:00:00 | 7305943892 | 1193275140 | 6112668752 | 4695017336 | 1836913206 | 0
81 | MORGAN STANLEY SMITH BARNEY LLC | FCM BD | NFA | 2011-03-31 00:00:00 | 1334030555 | 39936293 | 1294094262 | 623604905 | 1491504820 | 0
82 | NATIXIS SECURITIES NORTH AMERICA INC | FCM BD | NFA | 2011-03-31 00:00:00 | 218354179 | 1000000 | 217354179 | 0 | 0 | 0
83 | NEUBERGER BERMAN LLC | FCM BD | NFA | 2011-03-31 00:00:00 | 71838212 | 1500000 | 70338212 | 0 | 0 | 0
84 | NEWEDGE USA LLC | FCM BD | NYME | 2011-03-31 00:00:00 | 2185804237 | 1524995436 | 660808801 | 23498617555 | 7079589368 | 0
85 | NOMURA SECURITIES INTERNATIONAL INC | FCM BD | CBOT | 2011-03-31 00:00:00 | 2344986510 | 27589575 | 2317396935 | 78282758 | 26120036 | 0
86 | OANDA CORPORATION | RFED | NFA | 2011-03-31 00:00:00 | 158959834 | 28381939 | 130577895 | 0 | 0 | 177638790
87 | OPEN E CRY LLC | FCM | NFA | 2011-03-31 00:00:00 | 3489621 | 1111212 | 2378409 | 85690372 | 870561 | 0
88 | OPPENHEIMER & CO INC | FCM BD | NFA | 2011-03-31 00:00:00 | 172278614 | 26131715 | 146146899 | 26787156 | 0 | 0
89 | OPTIONSXPRESS INC | FCM BD | NFA | 2011-03-31 00:00:00 | 88392705 | 20000000 | 68392705 | 143420138 | 2414209 | 0
90 | PENSON FUTURES | FCM | CBOT | 2011-03-31 00:00:00 | 38406333 | 30962339 | 7443994 | 788900533 | 49399577 | 0
91 | PEREGRINE FINANCIAL GROUP INC | FCM | NFA | 2011-03-31 00:00:00 | 35945153 | 21417884 | 14527269 | 528261749 | 31583698 | 38357674
92 | PHILLIP FUTURES INC | FCM | NFA | 2011-03-31 00:00:00 | 6979239 | 1000000 | 5979239 | 0 | 0 | 0
93 | PIONEER FUTURES INC | FCM | NFA | 2011-03-31 00:00:00 | 2823991 | 1000000 | 1823991 | 0 | 0 | 0
94 | PRUDENTIAL BACHE COMMODITIES LLC | FCM | CBOT | 2011-03-31 00:00:00 | 246693000 | 202984560 | 43708440 | 3168872000 | 231828000 | 4299000
95 | RAND FINANCIAL SERVICES INC | FCM | CME | 2011-03-31 00:00:00 | 71073560 | 17083192 | 53990368 | 303922200 | 17509800 | 0
96 | RAYMOND JAMES & ASSOCIATES INC | FCM BD | NFA | 2011-03-31 00:00:00 | 369578430 | 30123625 | 339454805 | 0 | 0 | 0
97 | RBC CAPITAL MARKETS LLC | FCM BD | CME | 2011-03-31 00:00:00 | 1146376525 | 101728211 | 1044648314 | 398295089 | 18609093 | 0
98 | RBS SECURITIES INC | FCM BD | CBOT | 2011-03-31 00:00:00 | 1962624000 | 257631000 | 1704993000 | 1991801000 | 34486000 | 0
99 | RJ OBRIEN ASSOCIATES LLC | FCM | CME | 2011-03-31 00:00:00 | 137242069 | 118320441 | 18921628 | 2473650360 | 67097635 | 3630585
100 | ROSENTHAL COLLINS GROUP LLC | FCM | CME | 2011-03-31 00:00:00 | 70205344 | 54700334 | 15505010 | 1608379814 | 43100580 | 0
101 | ROSENTHAL GLOBAL SECURITIES LLC | FCM BD | NFA | 2011-03-31 00:00:00 | 29817541 | 1000000 | 28817541 | 0 | 0 | 0
102 | SANFORD C BERNSTEIN & CO LLC | FCM BD | NFA | 2011-03-31 00:00:00 | 174384403 | 13638715 | 160745688 | 0 | 0 | 0
103 | SANTANDER INVESTMENT SECURITIES INC | FCM BD | NYME | 2011-03-31 00:00:00 | 195457081 | 7971703 | 187485378 | 507910112 | 0 | 0
104 | STATE STREET GLOBAL MARKETS LLC | FCM BD | CME | 2011-03-31 00:00:00 | 400114303 | 5344373 | 394769930 | 46991798 | 5648374 | 0
105 | STEPHENS | FCM BD | NFA | 2011-03-31 00:00:00 | 78938689 | 13363211 | 65575478 | 0 | 0 | 0
106 | STERLING COMMODITIES CORP | FCM | NYME | 2011-03-31 00:00:00 | 8513438 | 1000000 | 7513438 | 32655939 | 248440 | 0
107 | STRAITS FINANCIAL LLC | FCM | CME | 2011-03-31 00:00:00 | 7231228 | 1000000 | 6231228 | 5000 | 0 | 0
108 | TCA FUTURES LLC | FCM | NFA | 2011-03-31 00:00:00 | 1619347 | 1000000 | 619347 | 0 | 0 | 0
109 | TD AMERITRADE INC | FCM BD | NFA | 2011-03-31 00:00:00 | 301337055 | 1000000 | 300337055 | 0 | 0 | 0
110 | TENCO INC | FCM | CBOT | 2011-03-31 00:00:00 | 57612691 | 12778021 | 44834670 | 354411817 | 0 | 0
111 | TIMBER HILL LLC | FCM BD | CME | 2011-03-31 00:00:00 | 1030344979 | 49357077 | 980987902 | 549868907 | 0 | 0
112 | TOWER RESEARCH CAPITAL EUROPE LLC | FCM | NFA | 2011-03-31 00:00:00 | 3412878 | 1000000 | 2412878 | 0 | 0 | 0
113 | TRADELINK LLC | FCM BD | CBOT | 2011-03-31 00:00:00 | 21428846 | 1000000 | 20428846 | 0 | 0 | 0
114 | TRADESTATION FOREX INC. | RFED | NFA | 2011-03-31 00:00:00 | 22219402 | 20000000 | 2219402 | 0 | 0 | 0
115 | TRADESTATION SECURITIES INC | FCM BD | NFA | 2011-03-31 00:00:00 | 60186849 | 3241402 | 56945447 | 406530768 | 6022034 | 0
116 | TRADITION SECURITIES AND FUTURES INC | FCM | NFA | 2011-03-31 00:00:00 | 1541602 | 1000000 | 541602 | 0 | 0 | 0
117 | TRILAND USA INC | FCM | NYME | 2011-03-31 00:00:00 | 30707932 | 15229855 | 15478077 | 201176565 | 14960781 | 0
118 | UBS FINANCIAL SERVICES INC | FCM BD | NFA | 2011-03-31 00:00:00 | 1295635862 | 102491711 | 1193144151 | 212494431 | 1558702 | 0
119 | UBS SECURITIES LLC | FCM BD | CBOT | 2011-03-31 00:00:00 | 11592109893 | 940311520 | 10651798373 | 9967622476 | 4148538750 | 0
120 | VELOCITY FUTURES LLC | FCM | NFA | 2011-03-31 00:00:00 | 1701763 | 1000000 | 701763 | 67813907 | 14336980 | 0
121 | VISION FINANCIAL MARKETS LLC | FCM BD | CME | 2011-03-31 00:00:00 | 19464000 | 10861315 | 8602685 | 415144536 | 6375300 | 0
122 | WALL STREET DERIVATIVES INC | FCM | NFA | 2011-03-31 00:00:00 | 1500568 | 1000000 | 500568 | 0 | 0 | 0
123 | WELLS FARGO ADVISORS FINANCIAL NETWORK LLC | FCM BD | NFA | 2011-03-31 00:00:00 | 41844748 | 2688793 | 39155955 | 0 | 0 | 0
124 | WELLS FARGO ADVISORS LLC | FCM BD | NFA | 2011-03-31 00:00:00 | 680324429 | 1500000 | 678824429 | 0 | 0 | 0
125 | WELLS FARGO SECURITIES LLC | FCM BD | CME | 2011-03-31 00:00:00 | 796573318 | 16976878 | 779596440 | 0 | 0 | 0
126 | WHITE COMMERCIAL CORPORATION | FCM | NFA | 2011-03-31 00:00:00 | 2425278 | 1000000 | 1425278 | 0 | 0 | 0
127 | YORK BUSINESS ASSOCIATES LLC | FCM | NFA | 2011-03-31 00:00:00 | 2960661 | 1000000 | 1960661 | 71690300 | 2004323 | 0
 | Totals
 | February Web Page Update | 125
 | Additions | 2
 | ICAP CORPORATES LLC
 | STRAITS FINANCIAL LLC
 | Deletions | 0
 | None
 | Name Change
 | None
 | March Web Page Update | 127
 | *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.
 | (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 or RFED 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.
 | Note:  Any comments regarding information contained in this table may be brought to the attention of the CFTC's Division of Clearing and Intermediary Oversight via e-mail: [EMAIL]