Spreadsheet: 26ee27f4-f3e7-4532-a7c2-6ded0bc34f84
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 | 3DFOREX LLC | N | NFA | 2009-07-31 00:00:00 | 9150558 | 500000 | 8650558 | 0 | 0
2 | ACM USA LLC | N | NFA | 2009-07-31 00:00:00 | 780486 | 500000 | 280486 | 0 | 0
3 | ADM INVESTOR SERVICES INC | N | CBOT | 2009-07-31 00:00:00 | 163715027 | 78606337 | 85108690 | 1889912022 | 59751417
4 | ADVANCED MARKETS LLC | N | NFA | 2009-07-31 00:00:00 | 20695075 | 20000000 | 695075 | 0 | 0
5 | ADVANTAGE FUTURES LLC | N | CME | 2009-07-31 00:00:00 | 15263515 | 5730678 | 9532837 | 312184693 | 20843654
6 | AIG CLEARING CORPORATION | N | NYME | 2009-07-31 00:00:00 | 225385974 | 1079100 | 224306874 | 0 | 0
7 | ALARON TRADING CORPORATION | N | NFA | 2009-07-31 00:00:00 | 1431448 | 500000 | 931448 | 0 | 0
8 | ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC* | Y | NFA | 2009-06-30 00:00:00 | 20380910 | 6459884 | 13921026 | 0 | 0
9 | [NAME] (US) LLC | N | NFA | 2009-07-31 00:00:00 | 21245007 | 20000000 | 1245007 | 0 | 0
10 | AMERIPRISE ADVISOR SERVICES INC | Y | NFA | 2009-07-31 00:00:00 | 77724296 | 6178874 | 71545422 | 0 | 0
11 | BANC OF AMERICA SECURITIES LLC | Y | CME | 2009-07-31 00:00:00 | 2554401591 | 97240581 | 2457161010 | 0 | 0
12 | BARCLAYS CAPITAL INC | Y | NYME | 2009-07-31 00:00:00 | 6059885217 | 506660722 | 5553224495 | 5249738044 | 1645161660
13 | BGC FINANCIAL LP | Y | NFA | 2009-07-31 00:00:00 | 47774033 | 500000 | 47274033 | 0 | 0
14 | BNP PARIBAS COMMODITY FUTURES INC | N | NYME | 2009-07-31 00:00:00 | 272186335 | 222664492 | 49521843 | 2024107071 | 556333665
15 | BNP PARIBAS SECURITIES CORP | Y | CBOT | 2009-07-31 00:00:00 | 1388952446 | 81884487 | 1307067959 | 311774707 | 0
16 | CADENT FINANCIAL SERVICES LLC | N | CME | 2009-07-31 00:00:00 | 2384593 | 2374351 | 10242 | 85914416 | 1524018
17 | CANTOR FITZGERALD & CO | Y | CBOT | 2009-07-31 00:00:00 | 197920230 | 3402679 | 194517551 | 16515370 | 0
18 | CAPITAL MARKET SERVICES LLC | N | NFA | 2009-07-31 00:00:00 | 25682836 | 20000000 | 5682836 | 0 | 0
19 | CIBC WORLD MARKETS CORP | Y | CME | 2009-07-31 00:00:00 | 1270370697 | 1500000 | 1268870697 | 0 | 0
20 | CITIGROUP GLOBAL MARKETS INC | Y | CBOT | 2009-07-31 00:00:00 | 9190137529 | 732109188 | 8458028341 | 11200671383 | 705794586
21 | COMMONWEALTH FOREIGN EXCHANGE INC | N | NFA | 2009-07-31 00:00:00 | 970102 | 500000 | 470102 | 0 | 0
22 | COUNTRY HEDGING INC | N | NFA | 2009-07-31 00:00:00 | 14564702 | 7720097 | 6844605 | 94169810 | 22158
23 | CREDIT SUISSE SECURITIES (USA) LLC | Y | CBOT | 2009-07-31 00:00:00 | 9688953070 | 606794421 | 9082158649 | 3339937771 | 1357452030
24 | CROSSLAND LLC | N | CBOT | 2009-07-31 00:00:00 | 5787623 | 4453878 | 1333745 | 46349781 | 39112511
25 | CUNNINGHAM COMMODITIES LLC | N | CBOT | 2009-07-31 00:00:00 | 3408769 | 500000 | 2908769 | 23296678 | 24216
26 | CX CAPITAL MARKETS LLC | N | NFA | 2009-07-31 00:00:00 | 786449 | 500000 | 286449 | 5993805 | 0
27 | DAIWA SECURITIES AMERICA INC | Y | CME | 2009-07-31 00:00:00 | 260192145 | 1056951 | 259135194 | 8555941 | 46698
28 | DEUTSCHE BANK SECURITIES INC | Y | CBOT | 2009-07-31 00:00:00 | 7417945774 | 456365534 | 6961580240 | 10093672214 | 1376233644
29 | DORMAN TRADING LLC | N | CME | 2009-07-31 00:00:00 | 8151998 | 804911 | 7347087 | 83007360 | 42213
30 | EAGLE MARKET MAKERS INC | N | CBOT | 2009-07-31 00:00:00 | 6379226 | 500000 | 5879226 | 4173402 | 0
31 | EASY FOREX US LTD | N | NFA | 2009-07-31 00:00:00 | 20712028 | 20000000 | 712028 | 0 | 0
32 | ELECTRONIC BROKERAGE SYSTEMS LLC | Y | NFA | 2009-07-31 00:00:00 | 9565058 | 542598 | 9022460 | 0 | 0
33 | ENSKILDA FUTURES LTD | N | CME | 2009-07-31 00:00:00 | 23744716 | 11512933 | 12231783 | 190044620 | 0
34 | FARR FINANCIAL INC | N | NFA | 2009-07-31 00:00:00 | 933016 | 582277 | 350739 | 32050426 | 17180
35 | FCSTONE LLC | N | CME | 2009-07-31 00:00:00 | 74822456 | 36371187 | 38451269 | 793270452 | 8379549
36 | FOREX CAPITAL MARKETS LLC | N | NFA | 2009-07-31 00:00:00 | 65161426 | 20000000 | 45161426 | 0 | 0
37 | FOREX CLUB FINANCIAL COMPANY INC | N | NFA | 2009-07-31 00:00:00 | 24640392 | 20000000 | 4640392 | 0 | 0
38 | FORTIS CLEARING AMERICAS LLC | Y | CBOT | 2009-07-31 00:00:00 | 200776925 | 50215133 | 150561792 | 1029726530 | 87642533
39 | FRIEDBERG MERCANTILE GROUP INC | N | NFA | 2009-07-31 00:00:00 | 3371710 | 500000 | 2871710 | 4054244 | 0
40 | FRONTIER FUTURES INC | N | NFA | 2009-07-31 00:00:00 | 1183270 | 646924 | 536346 | 23482480 | 0
41 | FUTURES TECH LLC | N | NFA | 2009-07-31 00:00:00 | 875052 | 500000 | 375052 | 0 | 0
42 | FX SOLUTIONS LLC | N | NFA | 2009-07-31 00:00:00 | 47266539 | 20000000 | 27266539 | 0 | 0
43 | GAIN CAPITAL GROUP LLC | N | NFA | 2009-07-31 00:00:00 | 87048766 | 20000000 | 67048766 | 0 | 0
44 | GENESIS FUTURES LLC | N | NFA | 2009-07-31 00:00:00 | 762958 | 500000 | 262958 | 0 | 0
45 | GFS FOREX & FUTURES INC | N | NFA | 2009-07-31 00:00:00 | 3719623 | 500000 | 3219623 | 0 | 0
46 | GILDER GAGNON HOWE & CO LLC | Y | NFA | 2009-07-31 00:00:00 | 16159429 | 500000 | 15659429 | 0 | 0
47 | GLOBAL FUTURES & FOREX LTD | N | NFA | 2009-07-31 00:00:00 | 85132157 | 20000000 | 65132157 | 365680 | 191706
48 | GOLDMAN SACHS & CO | Y | CBOT | 2009-07-31 00:00:00 | 13728990587 | 1864711393 | 11864279194 | 19101728396 | 7885802393
49 | GOLDMAN SACHS EXECUTION & CLEARING LP | Y | CME | 2009-07-31 00:00:00 | 1877564819 | 92714872 | 1784849947 | 1003346452 | 27376298
50 | HOTSPOT FXR LLC | N | NFA | 2009-07-31 00:00:00 | 6224997 | 500000 | 5724997 | 0 | 0
51 | HSBC SECURITIES USA INC | Y | CME | 2009-07-31 00:00:00 | 1410634952 | 76245328 | 1334389624 | 809541602 | 101973778
52 | I TRADE FX LLC | N | NFA | 2009-07-31 00:00:00 | 1156672 | 500000 | 656672 | 0 | 0
53 | ICAP FUTURES LLC | N | NFA | 2009-07-31 00:00:00 | 14614291 | 500000 | 14114291 | 0 | 0
54 | IG MARKETS INC | N | NFA | 2009-07-31 00:00:00 | 30938067 | 20000000 | 10938067 | 0 | 0
55 | IKON GLOBAL MARKETS INC | N | NFA | 2009-07-31 00:00:00 | 20391084 | 20000000 | 391084 | 1458613 | 272387
56 | INSTINET LLC | Y | NFA | 2009-07-31 00:00:00 | 112626631 | 1500000 | 111126631 | 0 | 0
57 | INTEGRATED BROKERAGE SERVICES LLC | N | NFA | 2009-07-31 00:00:00 | 1385438 | 500000 | 885438 | 0 | 0
58 | INTERACTIVE BROKERS LLC | Y | NFA | 2009-07-31 00:00:00 | 734800532 | 68757865 | 666042667 | 355131972 | 118024805
59 | INTERBANK FX LLC | N | NFA | 2009-07-31 00:00:00 | 35183101 | 20000000 | 15183101 | 0 | 0
60 | ITG DERIVATIVES LLC | Y | NFA | 2009-07-31 00:00:00 | 2970158 | 500000 | 2470158 | 0 | 0
61 | JP MORGAN CLEARING CORP | Y | CME | 2009-07-31 00:00:00 | 5307290278 | 1483978002 | 3823312276 | 638914071 | 141738570
62 | JP MORGAN FUTURES INC | N | NYME | 2009-07-31 00:00:00 | 2186583338 | 1158959673 | 1027623665 | 15538939691 | 2139075372
63 | JP MORGAN SECURITIES INC | Y | NFA | 2009-07-31 00:00:00 | 7706741123 | 558684484 | 7148056639 | 0 | 0
64 | LADENBURG THALMANN & CO INC | Y | NFA | 2009-07-31 00:00:00 | 4025344 | 500000 | 3525344 | 0 | 0
65 | LEK SECURITIES CORPORATION | Y | NFA | 2009-07-31 00:00:00 | 12958476 | 1515362 | 11443114 | 167319 | 0
66 | LIMESTONE TRADING LLC | N | NFA | 2009-07-31 00:00:00 | 14049789 | 500000 | 13549789 | 0 | 0
67 | LINN GROUP THE | N | NFA | 2009-07-31 00:00:00 | 2165607 | 630702 | 1534905 | 32661201 | 824
68 | LPL FINANCIAL CORPORATION | Y | NFA | 2009-07-31 00:00:00 | 111840204 | 5707288 | 106132916 | 0 | 0
69 | MACQUARIE FUTURES USA INC | N | CBOT | 2009-07-31 00:00:00 | 75176527 | 37547436 | 37629091 | 647603962 | 894165
70 | MAREX USA LIMITED | N | NFA | 2009-07-31 00:00:00 | 746851 | 500000 | 246851 | 0 | 0
71 | MB TRADING FUTURES INC | N | NFA | 2009-07-31 00:00:00 | 21703719 | 20000000 | 1703719 | 0 | 0
72 | MBF CLEARING CORP | N | NYME | 2009-07-31 00:00:00 | 8156719 | 1555579 | 6601140 | 88300662 | 7572034
73 | MCVEAN TRADING & INVESTMENTS LLC | N | NFA | 2009-07-31 00:00:00 | 7924370 | 1998523 | 5925847 | 570454328 | 0
74 | MERRILL LYNCH PIERCE FENNER & SMITH | Y | CBOT | 2009-07-31 00:00:00 | 5085068038 | 618747908 | 4466320130 | 8522236593 | 1236369879
75 | MERRILL LYNCH PROFESSIONAL CLEARING CORP | Y | NFA | 2009-07-31 00:00:00 | 1144037691 | 84483927 | 1059553764 | 901321179 | 59061879
76 | MF GLOBAL INC | Y | CME | 2009-07-31 00:00:00 | 617952547 | 351070339 | 266882208 | 7180533948 | 448483088
77 | MG FINANCIAL LLC | N | NFA | 2009-07-31 00:00:00 | 5025929 | 500000 | 4525929 | 0 | 0
78 | MID CO COMMODITIES INC | N | NFA | 2009-07-31 00:00:00 | 11404290 | 2274038 | 9130252 | 18789352 | 0
79 | MITSUBISHI UFJ SECURITIES USA INC | Y | NFA | 2009-07-31 00:00:00 | 70147053 | 1177661 | 68969392 | 0 | 0
80 | MITSUI BUSSAN COMMODITIES USA INC | N | NYME | 2009-07-31 00:00:00 | 7307819 | 2377990 | 4929829 | 0 | 0
81 | MIZUHO SECURITIES USA INC | Y | CME | 2009-07-31 00:00:00 | 320780134 | 49477809 | 271302325 | 710230653 | 336355375
82 | MORGAN KEEGAN & COMPANY INC | Y | NFA | 2009-07-31 00:00:00 | 375925539 | 9005807 | 366919732 | 0 | 0
83 | MORGAN STANLEY & CO INCORPORATED | Y | CME | 2009-07-31 00:00:00 | 9960598769 | 919001329 | 9041597440 | 4646807576 | 3653847874
84 | MORGAN STANLEY SMITH BARNEY LLC | Y | NFA | 2009-07-31 00:00:00 | 165422344 | 500000 | 164922344 | 0 | 0
85 | NATIXIS SECURITIES NORTH AMERICA INC | Y | NFA | 2009-07-31 00:00:00 | 220048279 | 500000 | 219548279 | 0 | 0
86 | NEUBERGER BERMAN LLC | Y | NFA | 2009-07-31 00:00:00 | 55328306 | 1500000 | 53828306 | 0 | 0
87 | NEWEDGE USA LLC | Y | NYME | 2009-07-31 00:00:00 | 2424571690 | 1297396911 | 1127174779 | 18370148204 | 7476416948
88 | NOMURA SECURITIES INTERNATIONAL INC | Y | CBOT | 2009-07-31 00:00:00 | 727478473 | 5593441 | 721885032 | 0 | 0
89 | OANDA CORPORATION | N | NFA | 2009-07-31 00:00:00 | 162004186 | 20000000 | 142004186 | 0 | 0
90 | OPEN E CRY LLC | N | NFA | 2009-07-31 00:00:00 | 2980470 | 853522 | 2126948 | 68060521 | 824185
91 | OPPENHEIMER & CO INC | Y | NFA | 2009-07-31 00:00:00 | 165333265 | 20939800 | 144393465 | 19566949 | 0
92 | OPTIONSXPRESS INC | Y | NFA | 2009-07-31 00:00:00 | 82502206 | 9513273 | 72988933 | 54193204 | 843620
93 | [NAME] | N | CBOT | 2009-07-31 00:00:00 | 21279749 | 14124041 | 7155708 | 385886422 | 23189783
94 | PEREGRINE FINANCIAL GROUP INC | N | NFA | 2009-07-31 00:00:00 | 32496349 | 20000000 | 12496349 | 315010556 | 32916514
95 | PIONEER FUTURES INC | N | NYME | 2009-07-31 00:00:00 | 1246834 | 500000 | 746834 | 0 | 0
96 | PRUDENTIAL BACHE COMMODITIES LLC | N | CBOT | 2009-07-31 00:00:00 | 236027000 | 178321040 | 57705960 | 2798030000 | 367493000
97 | PUMA FINANCIAL LLC | N | NFA | 2009-07-31 00:00:00 | 1174210 | 750000 | 424210 | 5418644 | 0
98 | RAND FINANCIAL SERVICES INC | N | CME | 2009-07-31 00:00:00 | 57213294 | 7527430 | 49685864 | 118097500 | 30840900
99 | RAYMOND JAMES & ASSOCIATES INC | Y | NFA | 2009-07-31 00:00:00 | 304820076 | 25442851 | 279377225 | 0 | 0
100 | RBC CAPITAL MARKETS CORPORATION | Y | CME | 2009-07-31 00:00:00 | 1098264149 | 111978675 | 986285474 | 843782711 | 724693443
101 | RBS SECURITIES INC | Y | CBOT | 2009-07-31 00:00:00 | 2082426000 | 173846000 | 1908580000 | 1326298000 | 77424000
102 | RJ OBRIEN ASSOCIATES LLC | N | CME | 2009-07-31 00:00:00 | 108548310 | 61853318 | 46694992 | 1949950592 | 31939107
103 | ROBBINS FUTURES INC | N | NFA | 2009-07-31 00:00:00 | 573830 | 500000 | 73830 | 2742227 | 0
104 | ROSENTHAL COLLINS GROUP LLC | N | CME | 2009-07-31 00:00:00 | 56169174 | 34645912 | 21523262 | 1140643395 | 28668825
105 | ROSENTHAL GLOBAL SECURITIES LLC | Y | NFA | 2009-07-31 00:00:00 | 46536001 | 988526 | 45547475 | 0 | 0
106 | SANFORD C BERNSTEIN & CO LLC | Y | NFA | 2009-07-31 00:00:00 | 145884392 | 9421451 | 136462941 | 0 | 0
107 | SANTANDER INVESTMENT SECURITIES INC | Y | NFA | 2009-07-31 00:00:00 | 79492485 | 821239 | 78671246 | 0 | 0
108 | SHAY GRAIN CLEARING COMPANY | N | KCBT | 2009-07-31 00:00:00 | 2570117 | 704343 | 1865774 | 13183953 | 0
109 | SMW TRADING COMPANY INC | N | CME | 2009-07-31 00:00:00 | 32491391 | 500000 | 31991391 | 4113391 | 0
110 | STEPHENS INC | Y | NFA | 2009-07-31 00:00:00 | 59289832 | 11364782 | 47925050 | 0 | 0
111 | STERLING COMMODITIES CORP | N | NYME | 2009-07-31 00:00:00 | 8208936 | 634123 | 7574813 | 29219266 | 916674
112 | TCA FUTURES LLC | N | NFA | 2009-07-31 00:00:00 | 849962 | 500000 | 349962 | 0 | 0
113 | TD AMERITRADE INC | Y | NFA | 2009-07-31 00:00:00 | 160610462 | 500000 | 160110462 | 0 | 0
114 | TENCO INC | N | CBOT | 2009-07-31 00:00:00 | 45995057 | 7117550 | 38877507 | 141017929 | 0
115 | TERRA NOVA FINANCIAL LLC | Y | NFA | 2009-07-31 00:00:00 | 11837510 | 1500000 | 10337510 | 0 | 0
116 | TIMBER HILL LLC | Y | CME | 2009-07-31 00:00:00 | 1191266821 | 20061539 | 1171205282 | 238637722 | 0
117 | TOWER RESEARCH CAPITAL EUROPE LLC | N | NFA | 2009-07-31 00:00:00 | 2546049 | 500000 | 2046049 | 0 | 0
118 | TRADELINK LLC | Y | CBOT | 2009-07-31 00:00:00 | 24723951 | 500000 | 24223951 | 0 | 0
119 | TRADESTATION SECURITIES INC | Y | NFA | 2009-07-31 00:00:00 | 93642589 | 1647072 | 91995517 | 0 | 0
120 | TRADITION SECURITIES AND FUTURES INC | N | NFA | 2009-07-31 00:00:00 | 801825 | 500000 | 301825 | 0 | 0
121 | TRANSMARKET GROUP LLC | Y | CBOT | 2009-07-31 00:00:00 | 14711435 | 500000 | 14211435 | 0 | 0
122 | TRILAND USA INC | N | NYME | 2009-07-31 00:00:00 | 41890773 | 10830395 | 31060378 | 122595012 | 9738855
123 | UBS FINANCIAL SERVICES INC | Y | NFA | 2009-07-31 00:00:00 | 911229296 | 89681792 | 821547504 | 150064941 | 2319308
124 | UBS SECURITIES LLC | Y | CBOT | 2009-07-31 00:00:00 | 12886163035 | 993767282 | 11892395753 | 11809477175 | 7235495404
125 | VELOCITY FUTURES LLC | N | NFA | 2009-07-31 00:00:00 | 1005681 | 500000 | 505681 | 33323034 | 1102541
126 | VISION FINANCIAL MARKETS LLC | Y | CME | 2009-07-31 00:00:00 | 23705519 | 7792300 | 15913219 | 264193445 | 888749
127 | WELLS FARGO ADVISORS FINANCIAL NETWORK LLC | Y | NFA | 2009-07-31 00:00:00 | 17598304 | 2854295 | 14744009 | 0 | 0
128 | WELLS FARGO ADVISORS LLC | Y | NFA | 2009-07-31 00:00:00 | 695490095 | 1500000 | 693990095 | 0 | 0
129 | WELLS FARGO SECURITIES LLC | Y | CME | 2009-07-31 00:00:00 | 2144580876 | 1000000 | 2143580876 | 0 | 0
130 | WHITE COMMERCIAL CORPORATION | N | NFA | 2009-07-31 00:00:00 | 2249695 | 500000 | 1749695 | 0 | 0
131 | WSD FINANCIAL USA INC | N | NFA | 2009-07-31 00:00:00 | 1251620 | 500000 | 751620 | 0 | 0
132 | YORK BUSINESS ASSOCIATES LLC | N | NFA | 2009-07-31 00:00:00 | 1489601 | 500000 | 989601 | 46749918 | 1226517
 | Totals |  |  |  |  |  |  | 137881541181 | 38062360532 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0
 | June Web Page Update | 133
 | Additions | 0
 | Deletions
 | ODL SECURITIES INC | 1
 | Name Change
 | FROM WACHOVIA CAPITAL MARKETS LLC TO WELLS FARGO SECURTIES LLC
 | July Web Page Update | 132
 | *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], [EMAIL].