Spreadsheet: 15025dbd-9ba1-4a7c-bb2c-594f11ed76d7
Sheet: Sheet1

Unnamed: 0 | Unnamed: 1 | Unnamed: 2 | Unnamed: 3 | 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 | B/D? | DSRO | Date | Net Capital | Requirement | Net Capital | Seg Required | Amount
 |  |  |  |  |  |  |  | 4d(a)(2) | Pt. 30 Required
 |  | (a) | (b) |  |  | (c) | (d) | (e) | (f)
1 | 3DFOREX LLC | N | NFA | 2009-10-31 00:00:00 | 5018448 | 500000 | 4518448 | 0 | 0
2 | ACM USA LLC | N | NFA | 2009-10-31 00:00:00 | 773210 | 500000 | 273210 | 0 | 0
3 | ADM INVESTOR SERVICES INC | N | CBOT | 2009-10-31 00:00:00 | 169156501 | 95118168 | 74038333 | 2051211637 | 88092617
4 | ADVANCED MARKETS LLC | N | NFA | 2009-10-31 00:00:00 | 20582254 | 20000000 | 582254 | 0 | 0
5 | ADVANTAGE FUTURES LLC | N | CME | 2009-10-30 00:00:00 | 18537325 | 9211544 | 9325781 | 275209561 | 19803120
6 | AIG CLEARING CORPORATION | N | NYME | 2009-10-31 00:00:00 | 227628621 | 568426 | 227060195 | 0 | 0
7 | ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC* | Y | NFA | 2009-09-30 00:00:00 | 20468279 | 7257790 | 13210489 | 0 | 0
8 | [NAME] (US) LLC | N | NFA | 2009-10-30 00:00:00 | 20917062 | 20000000 | 917062 | 0 | 0
9 | AMERIPRISE ADVISOR SERVICES INC | Y | NFA | 2009-10-31 00:00:00 | 20488571 | 500000 | 19988571 | 0 | 0
10 | AMERIPRISE FINANCIAL SERVICES, INC. | Y | NFA | 2009-10-30 00:00:00 | 52420496 | 500000 | 51920496 | 0 | 0
11 | BANC OF AMERICA SECURITIES LLC | Y | CME | 2009-10-30 00:00:00 | 2323526860 | 131285014 | 2192241846 | 0 | 0
12 | BARCLAYS CAPITAL INC | Y | NYME | 2009-10-30 00:00:00 | 5505961169 | 612737897 | 4893223272 | 4289735371 | 1928270402
13 | BGC FINANCIAL LP | Y | NFA | 2009-10-31 00:00:00 | 28889788 | 500000 | 28389788 | 0 | 0
14 | BNP PARIBAS COMMODITY FUTURES INC | N | NYME | 2009-10-31 00:00:00 | 305100341 | 190695161 | 114405180 | 2017964165 | 599488485
15 | BNP PARIBAS SECURITIES CORP | Y | CBOT | 2009-10-31 00:00:00 | 1832887737 | 74827369 | 1758060368 | 345075800 | 0
16 | CADENT FINANCIAL SERVICES LLC | N | NFA | 2009-10-31 00:00:00 | 3006416 | 500000 | 2506416 | 290327 | 0
17 | CANTOR FITZGERALD & CO | Y | CBOT | 2009-10-31 00:00:00 | 143716505 | 4088898 | 139627607 | 11118509 | 0
18 | CAPITAL MARKET SERVICES LLC | N | NFA | 2009-10-31 00:00:00 | 24293726 | 20000000 | 4293726 | 0 | 0
19 | CIBC WORLD MARKETS CORP | Y | CME | 2009-10-30 00:00:00 | 1362511002 | 1500000 | 1361011002 | 0 | 0
20 | CITADEL SECURITIES LLC | Y | CME | 2009-10-31 00:00:00 | 324775467 | 1000000 | 323775467 | 0 | 0
21 | CITIGROUP GLOBAL MARKETS INC | Y | CBOT | 2009-10-30 00:00:00 | 8907918611 | 715312769 | 8192605842 | 10686178262 | 1102827144
22 | COMMONWEALTH FOREIGN EXCHANGE INC | N | NFA | 2009-10-31 00:00:00 | 960888 | 500000 | 460888 | 0 | 0
23 | COMPASS PROFESSIONAL SERVICES LLC | Y | NFA | 2009-10-31 00:00:00 | 3334737 | 500000 | 2834737 | 0 | 0
24 | COUNTRY HEDGING INC | N | NFA | 2009-10-31 00:00:00 | 14125370 | 7064278 | 7061092 | 124422745 | 50691
25 | CREDIT SUISSE SECURITIES (USA) LLC | Y | CBOT | 2009-10-30 00:00:00 | 9063849309 | 701253755 | 8362595554 | 3867328474 | 1589778565
26 | CROSSLAND LLC | N | CBOT | 2009-10-31 00:00:00 | 7695953 | 6120284 | 1575669 | 77486012 | 29499746
27 | CUNNINGHAM COMMODITIES LLC | N | CBOT | 2009-10-31 00:00:00 | 3270652 | 695278 | 2575374 | 36637852 | 29040
28 | CX CAPITAL MARKETS LLC | N | NFA | 2009-10-31 00:00:00 | 766654 | 500000 | 266654 | 8270109 | 0
29 | DAIWA SECURITIES AMERICA INC | Y | CME | 2009-10-31 00:00:00 | 277880769 | 1068743 | 276812026 | 3443687 | 46698
30 | DEUTSCHE BANK SECURITIES INC | Y | CBOT | 2009-10-30 00:00:00 | 8187943756 | 503663118 | 7684280638 | 12336926264 | 1113274638
31 | DORMAN TRADING LLC | N | CME | 2009-10-31 00:00:00 | 8214126 | 617245 | 7596881 | 86179150 | 96143
32 | EAGLE MARKET MAKERS INC | N | CBOT | 2009-10-31 00:00:00 | 5505256 | 500000 | 5005256 | 4969143 | 0
33 | EASY FOREX US LTD | N | NFA | 2009-10-31 00:00:00 | 20741481 | 20000000 | 741481 | 0 | 0
34 | ELECTRONIC BROKERAGE SYSTEMS LLC | Y | NFA | 2009-10-31 00:00:00 | 8449884 | 561412 | 7888472 | 0 | 0
35 | ENSKILDA FUTURES LTD | N | CME | 2009-10-31 00:00:00 | 26877854 | 18270018 | 8607836 | 275978631 | 0
36 | FARR FINANCIAL INC | N | NFA | 2009-10-31 00:00:00 | 948246 | 508955 | 439291 | 33505572 | 14273
37 | FCSTONE LLC | N | CME | 2009-10-31 00:00:00 | 71130909 | 34284455 | 36846454 | 901885966 | 7062491
38 | FOREX CAPITAL MARKETS LLC | N | NFA | 2009-10-31 00:00:00 | 58476917 | 20000000 | 38476917 | 0 | 0
39 | FOREX CLUB FINANCIAL COMPANY INC | N | NFA | 2009-10-31 00:00:00 | 23265616 | 20000000 | 3265616 | 0 | 0
40 | FORTIS CLEARING AMERICAS LLC | Y | CBOT | 2009-10-30 00:00:00 | 194811233 | 47530346 | 147280887 | 1090407137 | 48387028
41 | FRIEDBERG MERCANTILE GROUP INC | N | NFA | 2009-10-31 00:00:00 | 3363497 | 500000 | 2863497 | 4932231 | 0
42 | FRONTIER FUTURES INC | N | NFA | 2009-10-31 00:00:00 | 1388191 | 812356 | 575835 | 29086557 | 0
43 | FUTURES TECH LLC | N | NFA | 2009-10-31 00:00:00 | 829834 | 500000 | 329834 | 0 | 0
44 | FX SOLUTIONS LLC | N | NFA | 2009-10-31 00:00:00 | 51363406 | 20000000 | 31363406 | 0 | 0
45 | GAIN CAPITAL GROUP LLC | N | NFA | 2009-10-31 00:00:00 | 88480392 | 20000000 | 68480392 | 0 | 0
46 | GENESIS FUTURES LLC | N | NFA | 2009-10-31 00:00:00 | 762217 | 500000 | 262217 | 0 | 0
47 | GFS FOREX & FUTURES INC | N | NFA | 2009-10-31 00:00:00 | 3344534 | 500000 | 2844534 | 0 | 0
48 | GILDER GAGNON HOWE & CO LLC | Y | NFA | 2009-10-31 00:00:00 | 17342879 | 500000 | 16842879 | 0 | 0
49 | GLOBAL FUTURES & FOREX LTD | N | NFA | 2009-10-31 00:00:00 | 72387067 | 20000000 | 52387067 | 297559 | 215506
50 | GOLDMAN SACHS & CO | Y | CBOT | 2009-10-31 00:00:00 | 12967754549 | 1818122992 | 11149631557 | 16291493811 | 6787548538
51 | GOLDMAN SACHS EXECUTION & CLEARING LP | Y | CME | 2009-10-30 00:00:00 | 1864218375 | 103952992 | 1760265383 | 1272002551 | 20597630
52 | HOTSPOT FXR LLC | N | NFA | 2009-10-31 00:00:00 | 6608657 | 500000 | 6108657 | 0 | 0
53 | HSBC SECURITIES USA INC | Y | CME | 2009-10-30 00:00:00 | 1476512068 | 70363915 | 1406148153 | 744991310 | 110815037
54 | I TRADE FX LLC | N | NFA | 2009-10-31 00:00:00 | 1572484 | 500000 | 1072484 | 0 | 0
55 | ICAP FUTURES LLC | N | NFA | 2009-10-31 00:00:00 | 13262459 | 500000 | 12762459 | 0 | 0
56 | IG MARKETS INC | N | NFA | 2009-10-31 00:00:00 | 30879366 | 20000000 | 10879366 | 0 | 0
57 | IKON GLOBAL MARKETS INC | N | NFA | 2009-10-31 00:00:00 | 21934409 | 20000000 | 1934409 | 2791654 | 740115
58 | INSTINET LLC | Y | NFA | 2009-10-30 00:00:00 | 113797139 | 1500000 | 112297139 | 0 | 0
59 | INTEGRATED BROKERAGE SERVICES LLC | N | NFA | 2009-10-31 00:00:00 | 1275305 | 500000 | 775305 | 0 | 0
60 | INTERACTIVE BROKERS LLC | Y | NFA | 2009-10-31 00:00:00 | 717067516 | 78358228 | 638709288 | 389739372 | 143427041
61 | INTERBANK FX LLC | N | NFA | 2009-10-31 00:00:00 | 34157710 | 20000000 | 14157710 | 0 | 0
62 | ITG DERIVATIVES LLC | Y | NFA | 2009-10-31 00:00:00 | 3509646 | 526729 | 2982917 | 0 | 0
63 | JP MORGAN CLEARING CORP | Y | CME | 2009-10-31 00:00:00 | 4895466187 | 1539141452 | 3356324735 | 508358508 | 276421594
64 | JP MORGAN FUTURES INC | N | NYME | 2009-10-31 00:00:00 | 2216498601 | 1104850944 | 1111647657 | 14140187312 | 1867905720
65 | JP MORGAN SECURITIES INC | Y | NFA | 2009-10-31 00:00:00 | 8500495186 | 539283137 | 7961212049 | 0 | 0
66 | LADENBURG THALMANN & CO INC | Y | NFA | 2009-10-31 00:00:00 | 2773571 | 500000 | 2273571 | 0 | 0
67 | LEK SECURITIES CORPORATION | Y | NFA | 2009-10-31 00:00:00 | 13458667 | 1500000 | 11958667 | 209264 | 0
68 | LIMESTONE TRADING LLC | N | NFA | 2009-10-31 00:00:00 | 13057346 | 500000 | 12557346 | 0 | 0
69 | LINN GROUP THE | N | NFA | 2009-10-31 00:00:00 | 2824550 | 690908 | 2133642 | 33231708 | 1020
70 | LPL FINANCIAL CORPORATION | Y | NFA | 2009-10-30 00:00:00 | 95784784 | 5933457 | 89851327 | 0 | 0
71 | MACQUARIE FUTURES USA INC | N | CBOT | 2009-10-30 00:00:00 | 67662414 | 42885187 | 24777227 | 735997500 | 699418
72 | MAREX USA LIMITED | N | NFA | 2009-10-31 00:00:00 | 1463244 | 500000 | 963244 | 0 | 0
73 | MB TRADING FUTURES INC | N | NFA | 2009-10-31 00:00:00 | 22950790 | 20000000 | 2950790 | 0 | 0
74 | MBF CLEARING CORP | N | NYME | 2009-10-31 00:00:00 | 10979055 | 1509734 | 9469321 | 81994896 | 6496867
75 | MCVEAN TRADING & INVESTMENTS LLC | N | NFA | 2009-10-31 00:00:00 | 8504928 | 2301322 | 6203606 | 536508699 | 0
76 | MERRILL LYNCH PIERCE FENNER & SMITH | Y | CBOT | 2009-10-31 00:00:00 | 5456487605 | 606505782 | 4849981823 | 8215483732 | 829087730
77 | MERRILL LYNCH PROFESSIONAL CLEARING CORP | Y | NFA | 2009-10-31 00:00:00 | 1411995342 | 100850748 | 1311144594 | 1232025946 | 29020704
78 | MF GLOBAL INC | Y | CME | 2009-10-30 00:00:00 | 627325972 | 370322213 | 257003759 | 7919452806 | 433445933
79 | MG FINANCIAL LLC | N | NFA | 2009-10-31 00:00:00 | 5025247 | 500000 | 4525247 | 0 | 0
80 | MID CO COMMODITIES INC | N | NFA | 2009-10-31 00:00:00 | 11247246 | 1953642 | 9293604 | 28269120 | 0
81 | MITSUBISHI UFJ SECURITIES USA INC | Y | NFA | 2009-10-31 00:00:00 | 70483154 | 1359029 | 69124125 | 0 | 0
82 | MITSUI BUSSAN COMMODITIES USA INC | N | NYME | 2009-10-31 00:00:00 | 7841230 | 2680621 | 5160609 | 0 | 0
83 | MIZUHO SECURITIES USA INC | Y | CME | 2009-10-30 00:00:00 | 331959992 | 37569917 | 294390075 | 624502301 | 251008641
84 | MORGAN KEEGAN & COMPANY INC | Y | NFA | 2009-10-31 00:00:00 | 395340547 | 9971324 | 385369223 | 0 | 0
85 | MORGAN STANLEY & CO INCORPORATED | Y | CME | 2009-10-30 00:00:00 | 9630591564 | 932853457 | 8697738107 | 4382889484 | 3393938749
86 | MORGAN STANLEY SMITH BARNEY LLC | Y | NFA | 2009-10-30 00:00:00 | 488891939 | 500000 | 488391939 | 0 | 0
87 | NATIXIS SECURITIES NORTH AMERICA INC | Y | NFA | 2009-10-30 00:00:00 | 211796118 | 500000 | 211296118 | 0 | 0
88 | NEUBERGER BERMAN LLC | Y | NFA | 2009-10-31 00:00:00 | 99904399 | 1500000 | 98404399 | 0 | 0
89 | NEWEDGE USA LLC | Y | NYME | 2009-10-31 00:00:00 | 2364720485 | 1302715831 | 1062004654 | 19185392530 | 7501020400
90 | NOMURA SECURITIES INTERNATIONAL INC | Y | CBOT | 2009-10-30 00:00:00 | 753057404 | 4038125 | 749019279 | 0 | 0
91 | OANDA CORPORATION | N | NFA | 2009-10-31 00:00:00 | 162232690 | 20000000 | 142232690 | 0 | 0
92 | OPEN E CRY LLC | N | NFA | 2009-10-31 00:00:00 | 3327725 | 560783 | 2766942 | 71462543 | 781755
93 | OPPENHEIMER & CO INC | Y | NFA | 2009-10-30 00:00:00 | 159824688 | 21094326 | 138730362 | 22809941 | 0
94 | OPTIONSXPRESS INC | Y | NFA | 2009-10-30 00:00:00 | 92718307 | 11624722 | 81093585 | 56097722 | 1111347
95 | [NAME] | N | CBOT | 2009-10-31 00:00:00 | 21078408 | 14767830 | 6310578 | 417865565 | 25705804
96 | PEREGRINE FINANCIAL GROUP INC | N | NFA | 2009-10-31 00:00:00 | 32753161 | 20000000 | 12753161 | 341626545 | 32202414
97 | PIONEER FUTURES INC | N | NYME | 2009-10-31 00:00:00 | 1511451 | 500000 | 1011451 | 0 | 0
98 | PRUDENTIAL BACHE COMMODITIES LLC | N | CBOT | 2009-10-31 00:00:00 | 221208000 | 180519680 | 40688320 | 3030797000 | 316198000
99 | RAND FINANCIAL SERVICES INC | N | CME | 2009-10-31 00:00:00 | 59990812 | 9625082 | 50365730 | 89861000 | 39902900
100 | RAYMOND JAMES & ASSOCIATES INC | Y | NFA | 2009-10-31 00:00:00 | 402571122 | 25802762 | 376768360 | 0 | 0
101 | RBC CAPITAL MARKETS CORPORATION | Y | CME | 2009-10-30 00:00:00 | 1084624191 | 105478517 | 979145674 | 765339940 | 831332837
102 | RBS SECURITIES INC | Y | CBOT | 2009-10-31 00:00:00 | 1354132000 | 184650000 | 1169482000 | 1325222000 | 113111000
103 | RJ OBRIEN ASSOCIATES LLC | N | CME | 2009-10-31 00:00:00 | 112011810 | 61589834 | 50421976 | 2012149864 | 34229967
104 | ROBBINS FUTURES INC | N | NFA | 2009-10-31 00:00:00 | 560383 | 500000 | 60383 | 2422245 | 0
105 | ROSENTHAL COLLINS GROUP LLC | N | CME | 2009-10-31 00:00:00 | 56153626 | 34512146 | 21641480 | 1246272363 | 17238772
106 | ROSENTHAL GLOBAL SECURITIES LLC | Y | NFA | 2009-10-31 00:00:00 | 30004982 | 805696 | 29199286 | 0 | 0
107 | SANFORD C BERNSTEIN & CO LLC | Y | NFA | 2009-10-30 00:00:00 | 158319897 | 10844081 | 147475816 | 0 | 0
108 | SANTANDER INVESTMENT SECURITIES INC | Y | NFA | 2009-10-31 00:00:00 | 83279837 | 963421 | 82316416 | 0 | 0
109 | SHAY GRAIN CLEARING COMPANY | N | KCBT | 2009-10-31 00:00:00 | 2561219 | 500000 | 2061219 | 12742972 | 0
110 | SMW TRADING COMPANY INC | N | CME | 2009-10-31 00:00:00 | 33193196 | 500000 | 32693196 | 4395114 | 0
111 | STATE STREET GLOBAL MARKETS LLC | Y | NFA | 2009-10-31 00:00:00 | 278689635 | 500000 | 278189635 | 0 | 0
112 | STEPHENS INC | Y | NFA | 2009-10-31 00:00:00 | 57651235 | 11461417 | 46189818 | 0 | 0
113 | STERLING COMMODITIES CORP | N | NYME | 2009-10-31 00:00:00 | 8043816 | 713399 | 7330417 | 28801553 | 813427
114 | TCA FUTURES LLC | N | NFA | 2009-10-31 00:00:00 | 861177 | 500000 | 361177 | 0 | 0
115 | TD AMERITRADE INC | Y | NFA | 2009-10-31 00:00:00 | 297070337 | 500000 | 296570337 | 0 | 0
116 | TENCO INC | N | CBOT | 2009-10-31 00:00:00 | 47184063 | 6883030 | 40301033 | 188932133 | 0
117 | TERRA NOVA FINANCIAL LLC | Y | NFA | 2009-10-31 00:00:00 | 11329636 | 1500000 | 9829636 | 0 | 0
118 | TIMBER HILL LLC | Y | CME | 2009-10-31 00:00:00 | 1026813621 | 26707931 | 1000105690 | 291569314 | 0
119 | TOWER RESEARCH CAPITAL EUROPE LLC | N | NFA | 2009-10-31 00:00:00 | 3108467 | 500000 | 2608467 | 0 | 0
120 | TRADELINK LLC | Y | CBOT | 2009-10-31 00:00:00 | 23454317 | 500000 | 22954317 | 0 | 0
121 | TRADESTATION SECURITIES INC | Y | NFA | 2009-10-31 00:00:00 | 89526799 | 1778802 | 87747997 | 0 | 0
122 | TRADITION SECURITIES AND FUTURES INC | N | NFA | 2009-10-31 00:00:00 | 770389 | 500000 | 270389 | 0 | 0
123 | TRANSMARKET GROUP LLC | Y | CBOT | 2009-10-31 00:00:00 | 12871501 | 500000 | 12371501 | 0 | 0
124 | TRILAND USA INC | N | NYME | 2009-10-31 00:00:00 | 30990975 | 12368627 | 18622348 | 186872401 | 38785450
125 | UBS FINANCIAL SERVICES INC | Y | NFA | 2009-10-30 00:00:00 | 934601902 | 87242133 | 847359769 | 122100887 | 1278567
126 | UBS SECURITIES LLC | Y | CBOT | 2009-10-30 00:00:00 | 13142775009 | 925932890 | 12216842119 | 9142059437 | 6026706228
127 | VELOCITY FUTURES LLC | N | NFA | 2009-10-31 00:00:00 | 1305848 | 500000 | 805848 | 35359395 | 1043821
128 | VISION FINANCIAL MARKETS LLC | Y | CME | 2009-10-31 00:00:00 | 21501297 | 6692825 | 14808472 | 293478584 | 1047606
129 | WELLS FARGO ADVISORS FINANCIAL NETWORK LLC | Y | NFA | 2009-10-31 00:00:00 | 22860647 | 3486845 | 19373802 | 0 | 0
130 | WELLS FARGO ADVISORS LLC | Y | NFA | 2009-10-30 00:00:00 | 557375870 | 1500000 | 555875870 | 0 | 0
131 | WELLS FARGO SECURITIES LLC | Y | CME | 2009-10-30 00:00:00 | 1938811579 | 1000000 | 1937811579 | 0 | 0
132 | WHITE COMMERCIAL CORPORATION | N | NFA | 2009-10-31 00:00:00 | 2381707 | 500000 | 1881707 | 0 | 0
133 | WSD FINANCIAL USA INC | N | NFA | 2009-10-31 00:00:00 | 1239308 | 500000 | 739308 | 0 | 0
134 | YORK BUSINESS ASSOCIATES LLC | N | NFA | 2009-10-31 00:00:00 | 1730784 | 500000 | 1230784 | 49124544 | 1375252
 | Totals |  |  |  |  |  |  | 134621426287 | 35661976871 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0
 | September Web Page Update | 132
 | Additions
 | AMERIPRISE FINANCIAL SERVICES, INC. | 2
 | STATE STREET GLOBAL MARKETS LLC
 | Deletions | 0
 | NONE
 | Name Change
 | NONE
 | October Web Page Update | 134
 | *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], [EMAIL].