Spreadsheet: 0b89dbc8-91cf-43e9-8307-300f04501f06
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 | 2008-12-31 00:00:00 | 18931722 | 500000 | 18431722 | 0 | 0
2 | ACM USA LLC | N | NFA | 2008-12-31 00:00:00 | 11575482 | 10000000 | 1575482 | 0 | 0
3 | ADM INVESTOR SERVICES INC | N | CBOT | 2008-12-31 00:00:00 | 154941097 | 74632265 | 80308832 | 1864327056 | 72071646
4 | ADVANCED MARKETS LLC | N | NFA | 2008-12-31 00:00:00 | 10071373 | 10000000 | 71373 | 0 | 0
5 | ADVANTAGE FUTURES LLC | N | CME | 2008-12-31 00:00:00 | 25081866 | 6446918 | 18634948 | 188738579 | 32311026
6 | AIG CLEARING CORPORATION | N | NYME | 2008-12-31 00:00:00 | 321823187 | 11903795 | 309919392 | 0 | 0
7 | ALARON TRADING CORPORATION | N | NFA | 2008-12-31 00:00:00 | 3711574 | 500000 | 3211574 | 0 | 0
8 | ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC * | Y | NFA | 2008-12-31 00:00:00 | 27457078 | 6847647 | 20609431 | 0 | 0
9 | [NAME] (US) LLC | N | NFA | 2008-12-31 00:00:00 | 17497095 | 10000000 | 7497095 | 0 | 0
10 | AMERIPRISE ADVISOR SERVICES INC | Y | NFA | 2008-12-31 00:00:00 | 22077618 | 5346567 | 16731051 | 0 | 0
11 | BANC OF AMERICA SECURITIES LLC | Y | CME | 2008-12-31 00:00:00 | 3171801285 | 166357841 | 3005443444 | 1007978026 | 16837469
12 | BARCLAYS CAPITAL INC | Y | NYME | 2008-12-31 00:00:00 | 7878067153 | 500000000 | 7378067153 | 5993650575 | 2976258742
13 | BGC SECURITIES | Y | NFA | 2008-12-31 00:00:00 | 8855236 | 500000 | 8355236 | 0 | 0
14 | BNP PARIBAS COMMODITY FUTURES INC | N | NYME | 2008-12-31 00:00:00 | 322615874 | 242242565 | 80373309 | 2668759643 | 445566495
15 | BNP PARIBAS SECURITIES CORP | Y | CBOT | 2008-12-31 00:00:00 | 1215323818 | 117565995 | 1097757823 | 257921126 | 0
16 | CADENT FINANCIAL SERVICES LLC | N | CME | 2008-12-31 00:00:00 | 11083763 | 5024120 | 6059643 | 197028798 | 1603167
17 | CANTOR FITZGERALD & CO | Y | CBOT | 2008-12-31 00:00:00 | 338495337 | 10098215 | 328397122 | 18554208 | 0
18 | CAPITAL MARKET SERVICES LLC | N | NFA | 2008-12-31 00:00:00 | 28021844 | 10000000 | 18021844 | 0 | 0
19 | CIBC WORLD MARKETS CORP | Y | CME | 2008-12-31 00:00:00 | 1034556133 | 4487601 | 1030068532 | 0 | 0
20 | CITIGROUP GLOBAL MARKETS INC | Y | CBOT | 2008-12-31 00:00:00 | 2489756047 | 850665429 | 1639090618 | 15736421042 | 1639443343
21 | CLIFF LARSON COMPANY THE | N | NFA | 2008-12-31 00:00:00 | 2121913 | 784525 | 1337388 | 15211923 | 0
22 | COMMONWEALTH FOREIGN EXCHANGE INC | N | NFA | 2008-12-31 00:00:00 | 1130173 | 500000 | 630173 | 0 | 0
23 | COUNTRY HEDGING INC | N | NFA | 2008-12-31 00:00:00 | 14870211 | 8414822 | 6455389 | 89954785 | 143113
24 | CREDIT SUISSE SECURITIES (USA) LLC | Y | CBOT | 2008-12-31 00:00:00 | 10824230618 | 699238193 | 10124992425 | 3107519933 | 1620774129
25 | CROSSLAND LLC | N | CBOT | 2008-12-31 00:00:00 | 3175961 | 558944 | 2617017 | 27508582 | 379003
26 | CUNNINGHAM COMMODITIES LLC | N | CBOT | 2008-12-31 00:00:00 | 3251188 | 500000 | 2751188 | 15651679 | 108689
27 | DAIWA SECURITIES AMERICA INC | Y | CME | 2008-12-31 00:00:00 | 226179261 | 5580479 | 220598782 | 27155770 | 1838213
28 | DEUTSCHE BANK SECURITIES INC | Y | CBOT | 2008-12-31 00:00:00 | 4600968840 | 433798493 | 4167170347 | 6282995014 | 1072615235
29 | DORMAN TRADING LLC | N | CME | 2008-12-31 00:00:00 | 7795161 | 500000 | 7295161 | 67123606 | 0
30 | DUNAVANT COMMODITY CORP | N | NFA | 2008-12-31 00:00:00 | 28733539 | 606504 | 28127035 | 0 | 0
31 | EAGLE MARKET MAKERS INC | N | CBOT | 2008-12-31 00:00:00 | 5853143 | 500000 | 5353143 | 7517057 | 0
32 | EASY FOREX US LTD | N | NFA | 2008-12-31 00:00:00 | 13094241 | 10000000 | 3094241 | 0 | 0
33 | ELECTRONIC BROKERAGE SYSTEMS LLC | Y | NFA | 2008-12-31 00:00:00 | 9697601 | 500000 | 9197601 | 0 | 0
34 | ENSKILDA FUTURES LTD | N | CME | 2008-12-31 00:00:00 | 22834362 | 10769097 | 12065265 | 171759518 | 0
35 | FARR FINANCIAL INC | N | NFA | 2008-12-31 00:00:00 | 1399721 | 500000 | 899721 | 33113014 | 0
36 | FC STONE LLC | N | CME | 2008-12-31 00:00:00 | 76991590 | 42680438 | 34311152 | 925472155 | 11946471
37 | FOREX CAPITAL MARKETS LLC | N | NFA | 2008-12-31 00:00:00 | 115260994 | 10000000 | 105260994 | 0 | 0
38 | FOREX CLUB FINANCIAL COMPANY INC | N | NFA | 2008-12-31 00:00:00 | 15982737 | 10000000 | 5982737 | 0 | 0
39 | FORTIS CLEARING AMERICAS LLC | Y | CBOT | 2008-12-31 00:00:00 | 190900255 | 52836885 | 138063370 | 883423029 | 160262303
40 | FRIEDBERG MERCANTILE GROUP INC | N | NFA | 2008-12-31 00:00:00 | 4207548 | 500000 | 3707548 | 3908454 | 48571
41 | FRONTIER FUTURES INC | N | NFA | 2008-12-31 00:00:00 | 1179830 | 749159 | 430671 | 30896278 | 0
42 | FUTURES TECH LLC | N | NFA | 2008-12-31 00:00:00 | 840513 | 500000 | 340513 | 0 | 0
43 | FX SOLUTIONS LLC | N | NFA | 2008-12-31 00:00:00 | 44618870 | 10000000 | 34618870 | 0 | 0
44 | GAIN CAPITAL GROUP LLC | N | NFA | 2008-12-31 00:00:00 | 107167948 | 10000000 | 97167948 | 0 | 0
45 | GATEWAY CAPITAL L.L.C. | N | NFA | 2008-12-31 00:00:00 | 525752 | 500000 | 25752 | 0 | 0
46 | GELBER GROUP LLC | N | CBOT | 2008-12-31 00:00:00 | 140457252 | 1444818 | 139012434 | 72793333 | 0
47 | GFS FOREX & FUTURES INC | N | NFA | 2008-12-31 00:00:00 | 12888692 | 10000000 | 2888692 | 0 | 0
48 | GILDER GAGNON HOWE AND CO LLC | Y | NFA | 2008-12-31 00:00:00 | 12273502 | 500000 | 11773502 | 0 | 0
49 | GLOBAL FUTURES &  FOREX LTD | N | NFA | 2008-12-31 00:00:00 | 75215155 | 10000000 | 65215155 | 711813 | 0
50 | GOLDMAN SACHS & CO | Y | CBOT | 2008-12-26 00:00:00 | 12009773855 | 1865184526 | 10144589329 | 22594034044 | 9536541402
51 | GOLDMAN SACHS EXECUTION & CLEARING LP | Y | CME | 2008-12-26 00:00:00 | 1491507812 | 73336186 | 1418171626 | 1674320331 | 18899766
52 | HOTSPOT FXR LLC | N | NFA | 2008-12-31 00:00:00 | 10387563 | 10000000 | 387563 | 0 | 0
53 | HSBC SECURITIES USA INC | Y | CME | 2008-12-31 00:00:00 | 1116456796 | 73276387 | 1043180409 | 1311779397 | 57771922
54 | I TRADE FX LLC | N | NFA | 2008-12-31 00:00:00 | 15254112 | 10000000 | 5254112 | 0 | 0
55 | ICAP FUTURES LLC | N | NFA | 2008-12-31 00:00:00 | 6031335 | 500000 | 5531335 | 0 | 0
56 | IG MARKETS INC. | N | NFA | 2008-12-31 00:00:00 | 16764133 | 10000000 | 6764133 | 0 | 0
57 | IKON GLOBAL MARKETS INC. | N | NFA | 2008-12-31 00:00:00 | 14249188 | 10000000 | 4249188 | 2289055 | 175419
58 | INSTINET LLC | Y | NFA | 2008-12-31 00:00:00 | 99739108 | 1572532 | 98166576 | 0 | 0
59 | INTEGRATED BROKERAGE SERVICES LLC | N | NFA | 2008-12-31 00:00:00 | 2202160 | 500000 | 1702160 | 313339 | 0
60 | INTERACTIVE BROKERS LLC | Y | EUXUS | 2008-12-31 00:00:00 | 606402472 | 38550036 | 567852436 | 192436161 | 112705479
61 | INTERBANK FX LLC | N | NFA | 2008-12-31 00:00:00 | 43669367 | 15000000 | 28669367 | 0 | 0
62 | ITG DERIVATIVES, LLC | Y | NFA | 2008-12-31 00:00:00 | 1989593 | 500000 | 1489593 | 0 | 0
63 | JP MORGAN CLEARING CORP | Y | CME | 2008-12-31 00:00:00 | 4958212990 | 1399468621 | 3558744369 | 1020408180 | 397358995
64 | JP MORGAN FUTURES INC | N | NYME | 2008-12-31 00:00:00 | 2214066520 | 1471879130 | 742187390 | 19870559358 | 2891848278
65 | JP MORGAN SECURITIES INC | Y | NFA | 2008-12-31 00:00:00 | 7539421286 | 609648990 | 6929772296 | 0 | 0
66 | LADENBURG THALMANN & CO INC | Y | NFA | 2008-12-31 00:00:00 | 5414829 | 500000 | 4914829 | 0 | 0
67 | LBS LIMITED PARTNERSHIP | N | NFA | 2008-12-31 00:00:00 | 778068 | 500000 | 278068 | 0 | 0
68 | LEK SECURITIES CORPORATION | Y | NFA | 2008-12-31 00:00:00 | 12801790 | 1500000 | 11301790 | 165061 | 0
69 | LIMESTONE TRADING LLC | N | NFA | 2008-12-31 00:00:00 | 6501509 | 500000 | 6001509 | 0 | 0
70 | LINN GROUP  ( THE ) | N | NFA | 2008-12-31 00:00:00 | 3668314 | 500000 | 3168314 | 13144735 | 0
71 | LPL FINANCIAL CORPORATION | Y | NFA | 2008-12-31 00:00:00 | 86062408 | 7227981 | 78834427 | 0 | 0
72 | MACQUARIE FUTURES USA INC | N | CBOT | 2008-12-31 00:00:00 | 50720934 | 26350821 | 24370113 | 538590994 | 1808023
73 | MAREX CARLTON LIMITED | N | NFA | 2008-12-31 00:00:00 | 733525 | 500000 | 233525 | 0 | 0
74 | MB TRADING FUTURES INC. | N | NFA | 2008-12-31 00:00:00 | 14779756 | 10000000 | 4779756 | 0 | 0
75 | MBF CLEARING CORP | N | NYME | 2008-12-31 00:00:00 | 26960668 | 1470160 | 25490508 | 87825240 | 5462691
76 | MCVEAN TRADING AND INVESTMENTS LLC | N | NFA | 2008-12-31 00:00:00 | 14426377 | 1360608 | 13065769 | 663076442 | 0
77 | MERRILL LYNCH PIERCE FENNER & SMITH | Y | CBOT | 2008-12-26 00:00:00 | 4127927399 | 603962370 | 3523965029 | 10429695890 | 1444805494
78 | MERRILL LYNCH PROFESSIONAL CLEARING CORP | Y | NFA | 2008-12-26 00:00:00 | 1576605011 | 67119448 | 1509485563 | 956692407 | 40189743
79 | MF GLOBAL INC. | Y | CME | 2008-12-31 00:00:00 | 706655086 | 320034510 | 386620576 | 7429554145 | 492276670
80 | MG FINANCIAL LLC | N | NFA | 2008-12-31 00:00:00 | 5563827 | 500000 | 5063827 | 0 | 0
81 | MID-CO COMMODITIES INC | N | NFA | 2008-12-31 00:00:00 | 13859385 | 3050553 | 10808832 | 23745608 | 0
82 | MITSUI BUSSAN COMMODITIES USA INC | N | NYME | 2008-12-31 00:00:00 | 7551757 | 1400992 | 6150765 | 0 | 0
83 | MIZUHO SECURITIES USA INC | Y | CME | 2008-12-31 00:00:00 | 314734807 | 69190572 | 245544235 | 643244519 | 250554851
84 | MORGAN KEEGAN & COMPANY INC | Y | NFA | 2008-12-31 00:00:00 | 326740887 | 9046307 | 317694580 | 0 | 0
85 | MORGAN STANLEY & CO INCORPORATED | Y | CME | 2008-12-31 00:00:00 | 9216304057 | 850257759 | 8366046298 | 4982674544 | 4231157665
86 | NATIXIS SECURITIES NORTH AMERICA INC | Y | NFA | 2008-12-31 00:00:00 | 205242286 | 500000 | 204742286 | 0 | 0
87 | NEUBERGER BERMAN LLC | Y | NFA | 2008-12-31 00:00:00 | 94710937 | 5000000 | 89710937 | 0 | 0
88 | NEWEDGE USA LLC. | Y | NYME | 2008-12-31 00:00:00 | 2363924939 | 1528363551 | 835561388 | 20363888012 | 7425738043
89 | NOMURA SECURITIES INTERNATIONAL INC | Y | CBOT | 2008-12-31 00:00:00 | 741104649 | 1000000 | 740104649 | 0 | 0
90 | OANDA CORPORATION | N | NFA | 2008-12-31 00:00:00 | 169722476 | 10000000 | 159722476 | 0 | 0
91 | ODL SECURITIES INC | N | NFA | 2008-12-31 00:00:00 | 17921698 | 10000000 | 7921698 | 0 | 0
92 | OPEN E CRY LLC | N | NFA | 2008-12-31 00:00:00 | 2433212 | 622554 | 1810658 | 53891057 | 600053
93 | OPPENHEIMER & CO  INC | Y | NFA | 2008-12-31 00:00:00 | 180520404 | 16857177 | 163663227 | 15444982 | 0
94 | OPTIONSXPRESS INC | Y | NFA | 2008-12-31 00:00:00 | 76019260 | 8944927 | 67074333 | 41542962 | 252796
95 | [NAME] | N | CBOT | 2008-12-31 00:00:00 | 20309382 | 10680113 | 9629269 | 419265887 | 24584771
96 | PEREGRINE FINANCIAL GROUP INC | N | NFA | 2008-12-31 00:00:00 | 27395262 | 10000000 | 17395262 | 217784516 | 20624204
97 | PIONEER FUTURES INC | N | NYME | 2008-12-31 00:00:00 | 1724778 | 500000 | 1224778 | 0 | 0
98 | PRUDENTIAL BACHE COMMODITIES LLC | N | CBOT | 2008-12-31 00:00:00 | 260927000 | 199949680 | 60977320 | 3101633000 | 432540000
99 | PUMA FINANCIAL LLC | N | NFA | 2008-12-31 00:00:00 | 1539411 | 500000 | 1039411 | 3894156 | 0
100 | RAND FINANCIAL SERVICES INC | N | CME | 2008-12-31 00:00:00 | 68894350 | 6968856 | 61925494 | 81784100 | 20639800
101 | RAYMOND JAMES & ASSOCIATES INC | Y | NFA | 2008-12-31 00:00:00 | 275490640 | 23885475 | 251605165 | 0 | 0
102 | RBC CAPITAL MARKETS CORPORATION | Y | CME | 2008-12-31 00:00:00 | 676480861 | 127298054 | 549182807 | 1067694053 | 888857107
103 | RBS GREENWICH CAPITAL INC | Y | CBOT | 2008-12-31 00:00:00 | 2165756000 | 196499000 | 1969257000 | 1714234000 | 82584000
104 | RJ OBRIEN  &  ASSOCIATES LLC | N | CME | 2008-12-31 00:00:00 | 109932227 | 55006189 | 54926038 | 1854991988 | 32546239
105 | ROBBINS FUTURES INC | N | NFA | 2008-12-31 00:00:00 | 533242 | 500000 | 33242 | 5112514 | 0
106 | ROSENTHAL COLLINS GROUP LLC | N | CME | 2008-12-31 00:00:00 | 83097216 | 28324913 | 54772303 | 976326801 | 27405390
107 | ROSENTHAL GLOBAL SECURITIES LLC | Y | NFA | 2008-12-31 00:00:00 | 51050279 | 2367215 | 48683064 | 0 | 0
108 | SANFORD C BERNSTEIN & CO LLC | Y | NFA | 2008-12-31 00:00:00 | 175150307 | 7845885 | 167304422 | 0 | 0
109 | SANTANDER INVESTMENT SECURITIES INC. | Y | NFA | 2008-12-31 00:00:00 | 59836554 | 500000 | 59336554 | 0 | 0
110 | SHAY GRAIN CLEARING COMPANY | N | KCBT | 2008-12-31 00:00:00 | 2582183 | 873754 | 1708429 | 16611299 | 0
111 | SMW TRADING COMPANY INC | N | CME | 2008-12-31 00:00:00 | 22002340 | 500000 | 21502340 | 7448687 | 0
112 | STEPHENS INC | Y | NFA | 2008-12-31 00:00:00 | 78594025 | 10157542 | 68436483 | 0 | 0
113 | STERLING COMMODITIES CORP | N | NYME | 2008-12-31 00:00:00 | 8864517 | 500000 | 8364517 | 39370901 | 748721
114 | TCA FUTURES LLC | N | NFA | 2008-12-31 00:00:00 | 805133 | 500000 | 305133 | 0 | 0
115 | TD AMERITRADE INC. | Y | NFA | 2008-12-31 00:00:00 | 63048503 | 500000 | 62548503 | 0 | 0
116 | TENCO INC | N | CBOT | 2008-12-31 00:00:00 | 42971904 | 6288299 | 36683605 | 119110869 | 0
117 | TERRA NOVA FINANCIAL, LLC | Y | NFA | 2008-12-31 00:00:00 | 11467226 | 1500000 | 9967226 | 0 | 0
118 | TIMBER HILL LLC | Y | CME | 2008-12-31 00:00:00 | 1200561930 | 8285446 | 1192276484 | 182078297 | 0
119 | TOWER RESEARCH CAPITAL EUROPE LLC | N | NFA | 2008-12-31 00:00:00 | 3772431 | 500000 | 3272431 | 0 | 0
120 | TRADELINK LLC | Y | CBOT | 2008-12-31 00:00:00 | 28834794 | 500000 | 28334794 | 0 | 0
121 | TRADESTATION SECURITIES INC | Y | NFA | 2008-12-31 00:00:00 | 94293640 | 1014258 | 93279382 | 0 | 0
122 | TRADITION SECURITIES AND FUTURES INC | N | NFA | 2008-12-31 00:00:00 | 837292 | 500000 | 337292 | 0 | 0
123 | TRANSMARKET GROUP LLC | Y | CBOT | 2008-12-31 00:00:00 | 19710071 | 500000 | 19210071 | 0 | 0
124 | TRILAND USA INC | N | NYME | 2008-12-31 00:00:00 | 47092334 | 11489620 | 35602714 | 145466595 | 1268053
125 | UBS FINANCIAL SERVICES INC | Y | NFA | 2008-12-31 00:00:00 | 976707642 | 98398990 | 878308652 | 232969109 | 195997
126 | UBS SECURITIES LLC | Y | CBOT | 2008-12-31 00:00:00 | 14285280810 | 1055916433 | 13229364377 | 15420748125 | 5412811537
127 | VELOCITY FUTURES LP | N | NFA | 2008-12-31 00:00:00 | 1018211 | 500000 | 518211 | 37528105 | 279118
128 | VISION FINANCIAL MARKETS LLC | Y | CME | 2008-12-31 00:00:00 | 27738484 | 4287296 | 23451188 | 244361912 | 96939
129 | WACHOVIA CAPITAL MARKETS LLC | Y | CME | 2008-12-31 00:00:00 | 1716813180 | 1000000 | 1715813180 | 0 | 0
130 | WACHOVIA SECURITIES FINANCIAL NETWORK, LLC | Y | NFA | 2008-12-31 00:00:00 | 32876585 | 2524604 | 30351981 | 0 | 0
131 | WACHOVIA SECURITIES LLC | Y | NFA | 2008-12-31 00:00:00 | 672941666 | 21820999 | 651120667 | 0 | 0
132 | WHITE COMMERCIAL CORPORATION | N | NFA | 2008-12-31 00:00:00 | 2764293 | 500000 | 2264293 | 0 | 0
133 | WSD FINANCIAL USA, INC | N | NFA | 2008-12-31 00:00:00 | 1285821 | 500000 | 785821 | 0 | 0
134 | YORK BUSINESS ASSOCIATES LLC | N | NFA | 2008-12-31 00:00:00 | 1215756 | 500000 | 715756 | 40204221 | 1525363
 | TOTAL |  |  |  |  |  |  | 158534030594 | 41907062144
 | November Web Page Update | 136
 | Additions | 1
 | MAREX CARLTON LIMITED
 | Deletions | 3
 | BACERA CORPORATION
 | COMTRUST INC
 | KOTTKE ASSOCIATES LLC
 | Name Change
 | FROM ADVANCED MARKETS INC TO ADVANCED MARKETS LLC
 | December Web Page Update | 134
 | *Allianz Global Investors Distributions 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);
 | (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] or [EMAIL]