Spreadsheet: 081270d3-d5b8-49d3-b3a4-df42b221e060
Sheet: Sheet1

Unnamed: 0 | Unnamed: 1 | B/D? | DSRO | A/O | Adjusted | Net Capital | Excess | Customers' | Customer
 | 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 | 3D FOREX, LLC | N | NFA | 2008-04-30 00:00:00 | 10249808 | 500000 | 9749808 | 0 | 0
2 | ABBEY NATIONAL SECURITIES INC | Y | NFA | 2008-04-30 00:00:00 | 61552352 | 500000 | 61052352 | 0 | 0
3 | ADM INVESTOR SERVICES INC | N | CBOT | 2008-04-30 00:00:00 | 165144468 | 95142911 | 70001557 | 1710007437 | 53658473
4 | ADVANCED MARKETS INC | N | NFA | 2008-04-30 00:00:00 | 5041923 | 5000000 | 41923 | 0 | 0
5 | ADVANTAGE FUTURES LLC | N | CME | 2008-04-30 00:00:00 | 20819600 | 4716845 | 16102755 | 159530897 | 20329353
6 | AIG CLEARING CORPORATION | N | NYME | 2008-04-30 00:00:00 | 312019413 | 62284495 | 249734918 | 6427312 | 0
7 | ALARON TRADING CORPORATION | N | CME | 2008-04-30 00:00:00 | 7850814 | 4189404 | 3661410 | 213643226 | 10400497
8 | [NAME] (US) LLC | N | NFA | 2008-04-30 00:00:00 | 11766448 | 5000000 | 6766448 | 0 | 0
9 | BACERA CORPORATION | N | NFA | 2008-04-30 00:00:00 | 5370002 | 5000000 | 370002 | 0 | 0
10 | BANC OF AMERICA SECURITIES LLC | Y | CME | 2008-04-30 00:00:00 | 3488380383 | 436370390 | 3052009993 | 1460089745 | 25753716
11 | BARCLAYS CAPITAL INC | Y | NYME | 2008-04-30 00:00:00 | 1516160674 | 460452898 | 1055707776 | 4572084604 | 3051692788
12 | BEAR STEARNS & CO INC | Y | NFA | 2008-04-30 00:00:00 | (g) | 636844227 | (g) | 0 | 0
13 | BEAR STEARNS SECURITIES CORP | Y | CME | 2008-04-30 00:00:00 | 4615771679 | 1030992127 | 3584779552 | 2193238845 | 446801829
14 | BGC SECURITIES | Y | NFA | 2008-04-30 00:00:00 | 3687059 | 500000 | 3187059 | 0 | 0
15 | BNP PARIBAS COMMODITY FUTURES INC | N | NYME | 2008-04-30 00:00:00 | 164395750 | 137104247 | 27291503 | 1763476892 | 404506666
16 | BNP PARIBAS SECURITIES CORP | Y | CBOT | 2008-04-30 00:00:00 | 795252755 | 36920188 | 758332567 | 302638193 | 0
17 | CADENT FINANCIAL SERVICES LLC | N | CME | 2008-04-30 00:00:00 | 8924827 | 5675635 | 3249192 | 222892573 | 2125146
18 | CANTOR FITZGERALD & CO | Y | CBOT | 2008-04-30 00:00:00 | 254638276 | 22285957 | 232352319 | 7017368 | 76087
19 | CAPITAL MARKET SERVICES LLC | N | NFA | 2008-04-30 00:00:00 | 14085398 | 5000000 | 9085398 | 0 | 0
20 | CIBC WORLD MARKETS CORP | Y | CME | 2008-04-30 00:00:00 | 932784414 | 19014303 | 913770111 | 0 | 0
21 | CITIGROUP GLOBAL MARKETS INC | Y | CBOT | 2008-04-30 00:00:00 | (g) | 830162961 | (g) | 13765354704 | 467363119
22 | CLIFF LARSON COMPANY THE | N | NFA | 2008-04-30 00:00:00 | 3496640 | 970264 | 2526376 | 22789510 | 0
23 | CMC MARKETS (US) LLC | N | NFA | 2008-04-30 00:00:00 | 7089069 | 5000000 | 2089069 | 0 | 0
24 | COMMONWEALTH FOREIGN EXCHANGE INC | N | NFA | 2008-04-30 00:00:00 | 1110004 | 500000 | 610004 | 0 | 0
25 | COMTRUST INC | N | NFA | 2008-04-30 00:00:00 | 1038901 | 500000 | 538901 | 5836150 | 0
26 | COUNTRY HEDGING INC | N | NFA | 2008-04-30 00:00:00 | 23718294 | 15046627 | 8671667 | 179680900 | 60363
27 | CREDIT SUISSE SECURITIES (USA) LLC | Y | CBOT | 2008-04-30 00:00:00 | 6368825008 | 330011506 | 6038813502 | 2652463414 | 1837278981
28 | CROSSLAND LLC | N | CBOT | 2008-04-30 00:00:00 | 3691962 | 808258 | 2883704 | 24274089 | 0
29 | CSC FUTURES INC | N | CME | 2008-04-30 00:00:00 | 7016859 | 500000 | 6516859 | 0 | 0
30 | CUNNINGHAM COMMODITIES LLC | N | CBOT | 2008-04-30 00:00:00 | 3557038 | 1023204 | 2533834 | 32144573 | 233901
31 | DAIWA SECURITIES AMERICA INC | Y | CME | 2008-04-30 00:00:00 | 231072961 | 2682727 | 228390234 | 16604798 | 524505
32 | DEUTSCHE BANK SECURITIES INC | Y | CBOT | 2008-04-30 00:00:00 | 5166790495 | 405804374 | 4760986121 | 9619923431 | 1017739022
33 | DIRECT FOREX LLC | N | NFA | 2008-04-30 00:00:00 | 641153 | 500000 | 141153 | 0 | 0
34 | DORMAN TRADING LLC | N | CME | 2008-04-30 00:00:00 | 9088224 | 702799 | 8385425 | 66040381 | 57754
35 | DUNAVANT COMMODITY CORP | N | NFA | 2008-04-30 00:00:00 | 44162460 | 1642734 | 42519726 | 0 | 0
36 | EAGLE MARKET MAKERS INC | N | CBOT | 2008-04-30 00:00:00 | 7732127 | 500000 | 7232127 | 9868633 | 0
37 | EASY FOREX US LTD | N | NFA | 2008-04-30 00:00:00 | 7741690 | 5000000 | 2741690 | 0 | 0
38 | ED &F MAN COMMODITY ADVISORS INC | N | NFA | 2008-04-30 00:00:00 | 1340171 | 500000 | 840171 | 0 | 0
39 | ELECTRONIC BROKERAGE SYSTEMS LLC | Y | NFA | 2008-04-30 00:00:00 | 12860631 | 500000 | 12360631 | 0 | 0
40 | ENSKILDA FUTURES LTD | N | CME | 2008-04-30 00:00:00 | 20936198 | 9028032 | 11908166 | 238251516 | 0
41 | FARR FINANCIAL INC | N | NFA | 2008-04-30 00:00:00 | 1621925 | 852117 | 769808 | 48511610 | 64644
42 | FC STONE LLC | N | CME | 2008-04-30 00:00:00 | 119103309 | 74102936 | 45000373 | 1476591963 | 16167553
43 | FIRST CAPITOL GROUP LLC | N | NFA | 2008-04-30 00:00:00 | 5378105 | 2577597 | 2800508 | 97994385 | 200002
44 | FOREX CAPITAL MARKETS LLC | N | NFA | 2008-04-30 00:00:00 | 73603911 | 14038671 | 59565240 | 0 | 0
45 | FOREX CLUB FINANCIAL COMPANY INC | N | NFA | 2008-04-30 00:00:00 | 7562699 | 5000000 | 2562699 | 0 | 0
46 | FOREX LLC | N | NFA | 2008-04-30 00:00:00 | 733932 | 500000 | 233932 | 0 | 0
47 | FORTIS CLEARING AMERICAS LLC | Y | CBOT | 2008-04-30 00:00:00 | 177934088 | 54903276 | 123030812 | 1125858869 | 22791843
48 | FRIEDBERG MERCANTILE GROUP INC | N | NFA | 2008-04-30 00:00:00 | 8053290 | 5000000 | 3053290 | 4143845 | 48598
49 | FRONTIER FUTURES INC | N | NFA | 2008-04-30 00:00:00 | 2541714 | 1374646 | 1167068 | 39484544 | 0
50 | FUTURES TECH LLC | N | NFA | 2008-04-30 00:00:00 | 841789 | 500000 | 341789 | 0 | 0
51 | FX SOLUTIONS LLC | N | NFA | 2008-04-30 00:00:00 | 17628006 | 5000000 | 12628006 | 0 | 0
52 | GAIN CAPITAL GROUP LLC | N | NFA | 2008-04-30 00:00:00 | 66314151 | 7220588 | 59093563 | 0 | 0
53 | GATEWAY CAPITAL L.L.C. | N | NFA | 2008-04-30 00:00:00 | 820210 | 500000 | 320210 | 0 | 0
54 | GELBER GROUP LLC | N | CBOT | 2008-04-30 00:00:00 | 64838375 | 500000 | 64338375 | 59647916 | 2500
55 | GFS FOREX & FUTURES INC | N | NFA | 2008-04-30 00:00:00 | 11376581 | 5000000 | 6376581 | 0 | 0
56 | GILDER GAGNON HOWE AND CO LLC | Y | NFA | 2008-04-30 00:00:00 | 16571382 | 500000 | 16071382 | 0 | 0
57 | GLOBAL FUTURES &  FOREX LTD | N | NFA | 2008-04-30 00:00:00 | 64288253 | 5979746 | 58308507 | 489891 | 0
58 | GOLDMAN SACHS & CO | Y | CBOT | 2008-04-25 00:00:00 | (g) | 2796247708 | (g) | 18849931695 | 9992024571
59 | GOLDMAN SACHS EXECUTION & CLEARING LP | Y | CME | 2008-04-25 00:00:00 | 1492926361 | 82045798 | 1410880563 | 1278139533 | 20209250
60 | H & R BLOCK FINANCIAL ADVISORS INC | Y | NFA | 2008-04-30 00:00:00 | 73145683 | 9134020 | 64011663 | 0 | 0
61 | HOTSPOT FXR LLC | N | NFA | 2008-04-30 00:00:00 | 7783637 | 5000000 | 2783637 | 0 | 0
62 | HSBC SECURITIES USA INC | Y | CME | 2008-04-30 00:00:00 | 807917347 | 82795821 | 725121526 | 1061040601 | 38007838
63 | I TRADE FX LLC | N | NFA | 2008-04-30 00:00:00 | 16054896 | 5000000 | 11054896 | 0 | 0
64 | ICAP FUTURES LLC | N | CBOT | 2008-04-30 00:00:00 | 5774507 | 500000 | 5274507 | 0 | 0
65 | IFX MARKETS INC | N | NFA | 2008-04-30 00:00:00 | 12362054 | 5000000 | 7362054 | 0 | 0
66 | IG MARKETS INC. | N | NFA | 2008-04-30 00:00:00 | 11618974 | 5000000 | 6618974 | 0 | 0
67 | IKON GLOBAL MARKETS INC. | N | NFA | 2008-04-30 00:00:00 | 9418664 | 5000000 | 4418664 | 1974765 | 160280
68 | INSTINET LLC | Y | NFA | 2008-04-30 00:00:00 | 93497105 | 5982085 | 87515020 | 0 | 0
69 | INTEGRATED BROKERAGE SERVICES LLC | N | NFA | 2008-04-30 00:00:00 | 2152517 | 500000 | 1652517 | 390350 | 0
70 | INTERACTIVE BROKERS LLC | Y | EUXUS | 2008-04-30 00:00:00 | 419944595 | 54347900 | 365596695 | 463547822 | 79625073
71 | INTERBANK FX LLC | N | NFA | 2008-04-30 00:00:00 | 21367369 | 5000000 | 16367369 | 0 | 0
72 | IOWA GRAIN CO | N | CBOT | 2008-04-30 00:00:00 | 25921442 | 9867126 | 16054316 | 340808483 | 1391178
73 | ITAU SECURITIES INC | Y | NFA | 2008-04-30 00:00:00 | 150925091 | 500000 | 150425091 | 0 | 0
74 | ITG DERIVATIVES, LLC | Y | NFA | 2008-04-30 00:00:00 | 2479701 | 500000 | 1979701 | 0 | 0
75 | JP MORGAN FUTURES INC | N | NYME | 2008-04-30 00:00:00 | 1251153800 | 873280387 | 377873413 | 12243636996 | 2084402562
76 | KOTTKE ASSOCIATES LLC | N | CBOT | 2008-04-30 00:00:00 | 19829219 | 514422 | 19314797 | 35655604 | 23161
77 | LADENBURG THALMANN & CO INC | Y | NFA | 2008-04-30 00:00:00 | 25153921 | 500000 | 24653921 | 0 | 0
78 | LBS LIMITED PARTNERSHIP | N | CBOT | 2008-04-30 00:00:00 | 789725 | 500000 | 289725 | 0 | 0
79 | LEHMAN BROTHERS INC | Y | CBOT | 2008-04-30 00:00:00 | (g) | 671406000 | (g) | 6431180000 | 1622419000
80 | LEK SECURITIES CORPORATION | Y | NFA | 2008-04-30 00:00:00 | 10894756 | 1500000 | 9394756 | 0 | 0
81 | LIMESTONE TRADING LLC | N | NFA | 2008-04-30 00:00:00 | 11320591 | 500000 | 10820591 | 0 | 0
82 | LINN GROUP  ( THE ) | N | NFA | 2008-04-30 00:00:00 | 1890090 | 500000 | 1390090 | 9929370 | 3747
83 | LOEB PARTNERS CORPORATION | Y | NFA | 2008-04-30 00:00:00 | 15116612 | 500000 | 14616612 | 0 | 0
84 | LPL FINANCIAL CORPORATION | Y | NFA | 2008-04-30 00:00:00 | 71620447 | 8751024 | 62869423 | 0 | 0
85 | MACQUARIE FUTURES USA INC | N | NFA | 2008-04-30 00:00:00 | 23383321 | 6159165 | 17224156 | 48031112 | 104528
86 | MB TRADING FUTURES INC. | N | NFA | 2008-04-30 00:00:00 | 8381881 | 5000000 | 3381881 | 0 | 0
87 | MBF CLEARING CORP | N | NYME | 2008-04-30 00:00:00 | 28913497 | 1096045 | 27817452 | 88099049 | 2767769
88 | MCVEAN TRADING AND INVESTMENTS LLC | N | NFA | 2008-04-30 00:00:00 | 11713572 | 4623191 | 7090381 | 740402381 | 1724780
89 | MERRILL LYNCH PIERCE FENNER & SMITH | Y | CBOT | 2008-05-02 00:00:00 | (g) | 653741440 | (g) | 9235295158 | 1558748263
90 | MERRILL LYNCH PROFESSIONAL CLEARING CORP | Y | NFA | 2008-05-02 00:00:00 | 1363218234 | 140819372 | 1222398862 | 1684638359 | 58082302
91 | MF GLOBAL INC. | Y | CME | 2008-04-30 00:00:00 | 789342900 | 413500791 | 375842109 | 9452818760 | 656574477
92 | MG FINANCIAL LLC | N | NFA | 2008-04-30 00:00:00 | 5886698 | 5000000 | 886698 | 0 | 0
93 | MID-CO COMMODITIES INC | N | NFA | 2008-04-30 00:00:00 | 13143056 | 6174034 | 6969022 | 56219306 | 0
94 | MITSUI BUSSAN COMMODITIES USA INC | N | NYME | 2008-04-30 00:00:00 | 6870452 | 1653384 | 5217068 | 0 | 0
95 | MIZUHO SECURITIES USA INC | Y | CME | 2008-04-30 00:00:00 | 157762729 | 62892357 | 94870372 | 667030523 | 249877432
96 | MORGAN KEEGAN & COMPANY INC | Y | NFA | 2008-04-30 00:00:00 | 326276741 | 10070261 | 316206480 | 0 | 0
97 | MORGAN STANLEY & CO INCORPORATED | Y | CME | 2008-04-30 00:00:00 | (g) | 3030730442 | (g) | 5422332840 | 4953781763
98 | NATIXIS SECURITIES NORTH AMERICA INC | Y | NFA | 2008-04-30 00:00:00 | 110671498 | 500000 | 110171498 | 0 | 0
99 | NEUBERGER BERMAN LLC | Y | NFA | 2008-04-30 00:00:00 | 265753827 | 5000000 | 260753827 | 0 | 0
100 | NEWEDGE  FINANCIAL INC. | Y | CME | 2008-04-30 00:00:00 | 827596797 | 575495638 | 252101159 | 9050773440 | 1861025860
101 | NEWEDGE USA LLC. | Y | NYME | 2008-04-30 00:00:00 | 810144749 | 618543868 | 191600881 | 10123539174 | 2378160901
102 | NOMURA SECURITIES INTERNATIONAL INC | Y | CBOT | 2008-04-30 00:00:00 | 718218773 | 1000000 | 717218773 | 0 | 0
103 | OANDA CORPORATION | N | NFA | 2008-04-30 00:00:00 | 163136499 | 8664556 | 154471943 | 0 | 0
104 | ODL SECURITIES INC | N | NFA | 2008-04-30 00:00:00 | 12995458 | 5000000 | 7995458 | 0 | 0
105 | OPEN E CRY LLC | N | NFA | 2008-04-30 00:00:00 | 1434358 | 660150 | 774208 | 46315701 | 604865
106 | OPPENHEIMER & CO  INC | Y | NFA | 2008-04-30 00:00:00 | 191293888 | 23025339 | 168268549 | 28980700 | 0
107 | OPTIONSXPRESS INC | Y | NFA | 2008-04-30 00:00:00 | 70013361 | 6486769 | 63526592 | 51813568 | 2492626
108 | [NAME] | N | CBOT | 2008-04-30 00:00:00 | 13036544 | 9529829 | 3506715 | 294231994 | 6683229
109 | PEREGRINE FINANCIAL GROUP INC | N | NFA | 2008-04-30 00:00:00 | 19369716 | 5153995 | 14215721 | 232734300 | 28239645
110 | PIONEER FUTURES INC | N | NYME | 2008-04-30 00:00:00 | 1440133 | 500000 | 940133 | 0 | 0
111 | PRUDENTIAL BACHE COMMODITIES LLC | N | CBOT | 2008-04-30 00:00:00 | 226053000 | 198264440 | 27788560 | 3267520000 | 364972000
112 | PUMA FINANCIAL LLC | N | NFA | 2008-04-30 00:00:00 | 1316714 | 500000 | 816714 | 13950385 | 0
113 | RAND FINANCIAL SERVICES INC | N | CME | 2008-04-30 00:00:00 | 57581274 | 17373995 | 40207279 | 309391300 | 27175700
114 | RAYMOND JAMES & ASSOCIATES INC | Y | NFA | 2008-04-30 00:00:00 | 340462560 | 30250224 | 310212336 | 0 | 0
115 | RBC CAPITAL MARKETS CORPORATION | Y | CME | 2008-04-30 00:00:00 | 739854828 | 112714900 | 627139928 | 1039734032 | 376185944
116 | RBS GREENWICH CAPITAL INC | Y | CBOT | 2008-04-30 00:00:00 | 1620723000 | 159544000 | 1461179000 | 1492789000 | 40221000
117 | RJ OBRIEN & ASSOCIATES LLC | N | CME | 2008-04-30 00:00:00 | 110732764 | 85696950 | 25035814 | 2482378586 | 26976228
118 | ROBBINS FUTURES INC | N | NFA | 2008-04-30 00:00:00 | 540182 | 500000 | 40182 | 4506307 | 0
119 | ROSENTHAL COLLINS GROUP LLC | N | CME | 2008-04-30 00:00:00 | 76571963 | 44763617 | 31808346 | 1193460043 | 11407641
120 | ROSENTHAL GLOBAL SECURITIES LLC | Y | CBOT | 2008-04-30 00:00:00 | 17910595 | 979397 | 16931198 | 0 | 0
121 | SANFORD C BERNSTEIN & CO LLC | Y | NFA | 2008-04-30 00:00:00 | 166143423 | 10770450 | 155372973 | 0 | 0
122 | SANTANDER INVESTMENT SECURITIES INC. | Y | NFA | 2008-04-30 00:00:00 | 72474749 | 541309 | 71933440 | 0 | 0
123 | SHATKIN ARBOR INC | N | CBOT | 2008-04-30 00:00:00 | 5374922 | 1164153 | 4210769 | 54161053 | 52579
124 | SHAY GRAIN CLEARING COMPANY | N | KCBT | 2008-04-30 00:00:00 | 2799558 | 965818 | 1833740 | 21885351 | 0
125 | SMW TRADING COMPANY INC | N | CME | 2008-04-30 00:00:00 | 24870900 | 500000 | 24370900 | 6488886 | 1129
126 | SNC INVESTMENTS INC | N | NFA | 2008-04-30 00:00:00 | 509192 | 500000 | 9192 | 0 | 0
127 | STEPHENS INC | Y | NFA | 2008-04-25 00:00:00 | 82122472 | 9579768 | 72542704 | 0 | 0
128 | STERLING COMMODITIES CORP | N | NYME | 2008-04-30 00:00:00 | 9084008 | 1106287 | 7977721 | 33810848 | 319481
129 | TCA FUTURES LLC | N | NFA | 2008-04-30 00:00:00 | 804703 | 500000 | 304703 | 0 | 0
130 | TENCO INC | N | CBOT | 2008-04-30 00:00:00 | 38098171 | 12780342 | 25317829 | 175868378 | 0
131 | TERRA NOVA FINANCIAL, LLC | Y | NFA | 2008-04-30 00:00:00 | 13506020 | 1500000 | 12006020 | 0 | 0
132 | TIMBER HILL LLC | Y | CME | 2008-04-30 00:00:00 | 957456466 | 21394905 | 936061561 | 292171458 | 0
133 | TOWER RESEARCH CAPITAL EUROPE LLC | N | NFA | 2008-04-30 00:00:00 | 1903212 | 500000 | 1403212 | 0 | 0
134 | TRADELINK LLC | Y | CBOT | 2008-04-30 00:00:00 | 31638399 | 500000 | 31138399 | 0 | 0
135 | TRADEMAVEN CLEARING LLC | N | NFA | 2008-04-30 00:00:00 | 839413 | 500000 | 339413 | 4422483 | 33085
136 | TRADESTATION SECURITIES INC | Y | NFA | 2008-04-30 00:00:00 | 82657281 | 2445128 | 80212153 | 0 | 0
137 | TRADITION SECURITIES AND FUTURES INC | N | NFA | 2008-04-30 00:00:00 | 785770 | 500000 | 285770 | 0 | 0
138 | TRANSMARKET GROUP LLC | Y | CBOT | 2008-04-30 00:00:00 | 8141048 | 500000 | 7641048 | 0 | 0
139 | TRILAND USA INC | N | NYME | 2008-04-30 00:00:00 | 40934566 | 13164386 | 27770180 | 284767972 | 0
140 | UBS FINANCIAL SERVICES INC | Y | CBOT | 2008-04-30 00:00:00 | 887471535 | 130470588 | 757000947 | 386750978 | 2847527
141 | UBS SECURITIES LLC | Y | CBOT | 2008-04-30 00:00:00 | 10569880230 | 1233759259 | 9336120971 | 17149106010 | 6683291554
142 | VELOCITY FUTURES LP | N | NFA | 2008-04-30 00:00:00 | 1042869 | 500000 | 542869 | 29009519 | 1260154
143 | VISION FINANCIAL MARKETS LLC | Y | NFA | 2008-04-30 00:00:00 | 25223506 | 9227312 | 15996194 | 386957203 | 125853
144 | WACHOVIA CAPITAL MARKETS LLC | Y | CME | 2008-04-30 00:00:00 | 1696497364 | 3616966 | 1692880398 | 0 | 0
145 | WACHOVIA SECURITIES FINANCIAL NETWORK, LLC | Y | NFA | 2008-04-30 00:00:00 | 20269492 | 3076803 | 17192689 | 0 | 0
146 | WACHOVIA SECURITIES LLC | Y | CBOT | 2008-04-30 00:00:00 | 700672322 | 33759708 | 666912614 | 489177806 | 974844
147 | WHITE COMMERCIAL CORPORATION | N | NFA | 2008-04-30 00:00:00 | 2459388 | 500000 | 1959388 | 0 | 0
148 | WSD FINANCIAL USA, INC | N | NFA | 2008-04-30 00:00:00 | 1320165 | 500000 | 820165 | 0 | 0
149 | YORK BUSINESS ASSOCIATES LLC | N | NFA | 2008-04-30 00:00:00 | 1048003 | 500000 | 548003 | 34970483 | 630834
 | Total |  |  |  |  |  |  | 159189771879 | 40511487993
 | March Web Page Update | 150
 | Additions | 1
 | SANTANDER INVESTMENT SECURITIES INC.
 | Deletions | 2
 | ALLIANZ GLOBAL INVESTOR DISTRIBUTORS LLC
 | HAGERTY GRAIN CO INC.
 | Name Change
 | April Web Page Update | 149
 | (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) The minimum capital requirement that each FCM must maintain is determined under CFTC Regulation 1.17 (a)(1)(i)
 | (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 FCM/BD’s ultimate parent company is regulated by the SEC as a consolidated supervised entity.  The firm has elected to compute its minimum capital requirement in accordance with the “Alternative Net Capital Requirement” as permitted by Appendix E to SEC Rule 15c3-1.  As of this reporting date, the firm had net capital in excess of its minimum capital requirements.  In addition to the alternative minimum net capital requirements, the firm is required to hold tentative net capital in excess of $1 billion and net capital in excess of $500 million in accordance with the market and credit risk standards of Appendix E of Rule 15c3-1.  The firm also is required to notify the Commission and SEC in the event its tentative net capital is less than $5 billion.  As of this reporting date, the firm had tentative net capital and net capital in excess of both the minimum and notification requirements.
 | 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], [EMAIL]  or [EMAIL]