Spreadsheet: 049866d8-aa4e-4699-b479-f10d46e46d76
Sheet: Sheet1

Unnamed: 0 | Unnamed: 1 | [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 | 2010-10-31 00:00:00 | 227996311 | 82064479 | 145931832 | 1490608031 | 212801563 | 0
2 | ADM INVESTOR SERVICES INC | FCM | CBOT | 2010-10-31 00:00:00 | 296781516 | 151423388 | 145358128 | 2501637951 | 56749060 | 3768899
3 | ADVANCED MARKETS LLC | RFED | NFA | 2010-10-31 00:00:00 | 20558887 | 20000000 | 558887 | 0 | 0 | 1868394
4 | ADVANTAGE FUTURES LLC | FCM | CME | 2010-10-29 00:00:00 | 21105825 | 10630523 | 10475302 | 282647464 | 40798702 | 0
5 | ADVANTAGE SECURITIES LLC | FCM BD | NFA | 2010-10-31 00:00:00 | 4037140 | 1000000 | 3037140 | 0 | 0 | 0
6 | ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC* | FCM | NFA | 2010-09-30 00:00:00 | 62728255 | 10405027 | 52323228 | 0 | 0
7 | [NAME] (US) LLC | RFED | NFA | 2010-10-31 00:00:00 | 20528986 | 20000000 | 528986 | 0 | 0 | 4931654
8 | AMERIPRISE FINANCIAL SERVICES INC | FCM BD | NFA | 2010-10-31 00:00:00 | 157764177 | 1000000 | 156764177 | 0 | 0 | 0
9 | AMP GLOBAL CLEARING LLC | FCM | NFA | 2010-10-31 00:00:00 | 1373191 | 1000000 | 373191 | 21421343 | 72202 | 0
10 | BARCLAYS CAPITAL INC | FCM BD | NYME | 2010-10-31 00:00:00 | 6009682979 | 668685062 | 5340997917 | 4654601753 | 1811372950 | 0
11 | BGC FINANCIAL LP | FCM BD | NFA | 2010-10-31 00:00:00 | 41905030 | 1000000 | 40905030 | 0 | 0 | 0
12 | BNP PARIBAS COMMODITY FUTURES INC | FCM | NYME | 2010-10-31 00:00:00 | 346196164 | 165164454 | 181031710 | 1449477483 | 423812327 | 0
13 | BNP PARIBAS SECURITIES CORP | FCM BD | CBOT | 2010-10-31 00:00:00 | 1845270169 | 73460975 | 1771809194 | 449798136 | 0 | 0
14 | BNY MELLON CLEARING LLC | FCM | CME | 2010-10-31 00:00:00 | 78623905 | 4724684 | 73899221 | 976437 | 0 | 0
15 | CANTOR FITZGERALD & CO | FCM BD | CBOT | 2010-10-31 00:00:00 | 204141291 | 1589955 | 202551336 | 6613259 | 0 | 0
16 | CAPITAL MARKET SERVICES LLC | RFED | NFA | 2010-10-31 00:00:00 | 22661289 | 20000000 | 2661289 | 0 | 0 | 4906398
17 | CIBC WORLD MARKETS CORP | FCM BD | CME | 2010-10-31 00:00:00 | 672505051 | 4678200 | 667826851 | 0 | 0 | 0
18 | CITADEL SECURITIES LLC | FCM BD | CME | 2010-10-31 00:00:00 | 343882933 | 1000000 | 342882933 | 0 | 0 | 0
19 | CITIGROUP GLOBAL MARKETS INC | FCM BD | CBOT | 2010-10-31 00:00:00 | 9112631863 | 746749469 | 8365882394 | 10317314991 | 1390820123 | 0
20 | COMMONWEALTH FOREIGN EXCHANGE INC | FCM | NFA | 2010-10-31 00:00:00 | 1714103 | 1000000 | 714103 | 0 | 0 | 0
21 | COMPASS PROFESSIONAL SERVICES LLC | FCM BD | NFA | 2010-10-31 00:00:00 | 3322611 | 1000000 | 2322611 | 0 | 0 | 0
22 | COUNTRY HEDGING INC | FCM | NFA | 2010-10-31 00:00:00 | 28357910 | 19308985 | 9048925 | 212225888 | 20576 | 0
23 | CREDIT SUISSE SECURITIES (USA) LLC | FCM BD | CBOT | 2010-10-31 00:00:00 | 10181054395 | 964491994 | 9216562401 | 5169383876 | 1677607547 | 0
24 | CROSSLAND LLC | FCM | CBOT | 2010-10-31 00:00:00 | 7765752 | 5938028 | 1827724 | 82720502 | 28204773 | 0
25 | CUNNINGHAM COMMODITIES LLC | FCM | CBOT | 2010-10-31 00:00:00 | 3469228 | 1000000 | 2469228 | 38984776 | 34283 | 0
26 | CX CAPITAL MARKETS LLC | FCM | NFA | 2010-10-31 00:00:00 | 2339761 | 1000000 | 1339761 | 25166290 | 0 | 0
27 | DAIWA CAPITAL MARKETS AMERICA INC | FCM BD | CME | 2010-10-31 00:00:00 | 218791431 | 1722582 | 217068849 | 9113270 | 40979 | 0
28 | DEUTSCHE BANK SECURITIES INC | FCM BD | CBOT | 2010-10-31 00:00:00 | 5902645451 | 593279071 | 5309366380 | 12364529687 | 1202966305 | 0
29 | DORMAN TRADING LLC | FCM | CME | 2010-10-31 00:00:00 | 6485899 | 1000000 | 5485899 | 90670878 | 1351644 | 0
30 | EAGLE MARKET MAKERS INC | FCM | CBOT | 2010-10-29 00:00:00 | 6211659 | 1000000 | 5211659 | 5487224 | 0 | 0
31 | EASY FOREX US LTD | FCM | NFA | 2010-10-31 00:00:00 | 2824643 | 1000000 | 1824643 | 0 | 0 | 0
32 | ELECTRONIC BROKERAGE SYSTEMS LLC | FCM BD | NFA | 2010-10-31 00:00:00 | 7765427 | 1000000 | 6765427 | 0 | 0 | 0
33 | ENSKILDA FUTURES LTD | FCM | CME | 2010-10-31 00:00:00 | 29866158 | 18708258 | 11157900 | 264764305 | 0 | 0
34 | FARR FINANCIAL INC | FCM | NFA | 2010-10-31 00:00:00 | 1894992 | 1000000 | 894992 | 42793788 | 202645 | 0
35 | FCSTONE LLC | FCM | CME | 2010-10-31 00:00:00 | 91297920 | 67852963 | 23444957 | 1350002012 | 12422053 | 16163189
36 | FOREX CAPITAL MARKETS LLC | RFED | NFA | 2010-10-31 00:00:00 | 38040727 | 26082622 | 11958105 | 0 | 0 | 131652445
37 | FOREX CLUB FINANCIAL COMPANY INC | RFED | NFA | 2010-10-31 00:00:00 | 20981111 | 20000000 | 981111 | 0 | 0 | 2282360
38 | FRIEDBERG MERCANTILE GROUP INC | FCM | NFA | 2010-10-31 00:00:00 | 3383828 | 1000000 | 2383828 | 7478501 | 363127 | 0
39 | FRONTIER FUTURES INC | FCM | NFA | 2010-10-31 00:00:00 | 1817436 | 1394021 | 423415 | 33372285 | 0 | 0
40 | FUTURES TECH LLC | FCM | NFA | 2010-10-31 00:00:00 | 1574976 | 1000000 | 574976 | 0 | 0 | 0
41 | FX SOLUTIONS LLC | RFED | NFA | 2010-10-31 00:00:00 | 35522655 | 20659493 | 14863162 | 0 | 0 | 23189864
42 | FXDIRECTDEALER LLC | RFED | NFA | 2010-10-31 00:00:00 | 26999467 | 21589857 | 5409610 | 0 | 0 | 41797143
43 | GAIN CAPITAL GROUP LLC | RFED | NFA | 2010-10-31 00:00:00 | 75889600 | 26542098 | 49347502 | 0 | 0 | 140841951
44 | GENESIS FUTURES LLC | FCM | NFA | 2010-10-31 00:00:00 | 1518609 | 1000000 | 518609 | 0 | 0 | 0
45 | GLOBAL FUTURES & FOREX LTD | RFED | NFA | 2010-10-31 00:00:00 | 79094164 | 26033164 | 53061000 | 303197 | 190557 | 90014921
46 | GOLDMAN SACHS & CO | FCM BD | CBOT | 2010-10-31 00:00:00 | 10934639756 | 1986799767 | 8947839989 | 20075006459 | 7094987451 | 0
47 | GOLDMAN SACHS EXECUTION & CLEARING LP | FCM BD | CME | 2010-10-31 00:00:00 | 1958080818 | 121717704 | 1836363114 | 1284386969 | 21723052 | 0
48 | HSBC SECURITIES USA INC | FCM BD | CME | 2010-10-31 00:00:00 | 1091231476 | 109194521 | 982036955 | 896916369 | 75228464 | 0
49 | ICAP FUTURES LLC | FCM | NFA | 2010-10-31 00:00:00 | 9094428 | 1000000 | 8094428 | 0 | 0 | 0
50 | IG MARKETS INC | FCM | NFA | 2010-10-31 00:00:00 | 29592620 | 20000000 | 9592620 | 74185 | 0 | 1211449
51 | IKON GLOBAL MARKETS INC | FCM | NFA | 2010-10-29 00:00:00 | 21238730 | 1000000 | 20238730 | 15170255 | 108434 | 0
52 | INSTINET LLC | FCM BD | NFA | 2010-10-31 00:00:00 | 91883313 | 1000000 | 90883313 | 0 | 0 | 0
53 | INSTITUTIONAL LIQUIDITY LLC | FCM | NFA | 2010-10-31 00:00:00 | 21105528 | 20000000 | 1105528 | 0 | 0 | 0
54 | INTEGRATED BROKERAGE SERVICES LLC | FCM | NFA | 2010-10-31 00:00:00 | 1814143 | 1000000 | 814143 | 0 | 0 | 0
55 | INTERACTIVE BROKERS LLC | FCM BD | NFA | 2010-10-31 00:00:00 | 1100381655 | 147466488 | 952915167 | 589998243 | 214974710 | 0
56 | INTERBANK FX LLC | RFED | NFA | 2010-10-31 00:00:00 | 26717981 | 21285321 | 5432660 | 0 | 0 | 35706430
57 | IRONBEAM INC | FCM | NFA | 2010-10-31 00:00:00 | 1486210 | 1000000 | 486210 | 0 | 0 | 0
58 | ITG DERIVATIVES LLC | FCM BD | NFA | 2010-10-31 00:00:00 | 4971726 | 1000000 | 3971726 | 0 | 0 | 0
59 | JP MORGAN CLEARING CORP | FCM BD | CME | 2010-10-31 00:00:00 | 5772530869 | 1717556145 | 4054974724 | 486560114 | 255643669 | 0
60 | JP MORGAN FUTURES INC | FCM | NYME | 2010-10-31 00:00:00 | 2402730882 | 1201810004 | 1200920878 | 15885769505 | 1685787323 | 0
61 | JP MORGAN SECURITIES LLC | FCM BD | NFA | 2010-10-31 00:00:00 | 7538415016 | 559347606 | 6979067410 | 0 | 0 | 0
62 | LEK SECURITIES CORPORATION | FCM BD | NFA | 2010-10-31 00:00:00 | 10899140 | 1500000 | 9399140 | 253624 | 0 | 0
63 | LIMESTONE TRADING LLC | FCM | NFA | 2010-10-31 00:00:00 | 9169412 | 1000000 | 8169412 | 0 | 0 | 0
64 | LINN GROUP THE | FCM | NFA | 2010-10-31 00:00:00 | 2343403 | 1350502 | 992901 | 36179086 | 166448 | 0
65 | LPL FINANCIAL CORPORATION | FCM BD | NFA | 2010-10-31 00:00:00 | 122183773 | 5512197 | 116671576 | 0 | 0 | 0
66 | MACQUARIE FUTURES USA INC | FCM | CBOT | 2010-10-31 00:00:00 | 85261736 | 43993578 | 41268158 | 810295443 | 16550389 | 0
67 | MAREX USA LIMITED | FCM | NFA | 2010-10-31 00:00:00 | 3347533 | 1000000 | 2347533 | 0 | 0 | 0
68 | MB TRADING FUTURES INC | RFED | NFA | 2010-10-31 00:00:00 | 25510590 | 21116549 | 4394041 | 0 | 0 | 32330979
69 | MBF CLEARING CORP | FCM | NYME | 2010-10-31 00:00:00 | 11030763 | 1376294 | 9654469 | 74986280 | 6893966 | 0
70 | MCVEAN TRADING & INVESTMENTS LLC | FCM | NFA | 2010-10-31 00:00:00 | 11883444 | 4026643 | 7856801 | 705236212 | 0 | 0
71 | MERRILL LYNCH PIERCE FENNER & SMITH | FCM BD | CBOT | 2010-10-31 00:00:00 | 5740227385 | 686745570 | 5053481815 | 8952072052 | 1966290360 | 0
72 | MERRILL LYNCH PROFESSIONAL CLEARING CORP | FCM BD | NFA | 2010-10-29 00:00:00 | 2298471850 | 182605161 | 2115866689 | 1207091795 | 42428209 | 0
73 | MF GLOBAL INC | FCM BD | CME | 2010-10-29 00:00:00 | 593200760 | 444844167 | 148356593 | 9222178453 | 574751918 | 0
74 | MG FINANCIAL LLC | FCM | NFA | 2010-10-31 00:00:00 | 5083560 | 1000000 | 4083560 | 0 | 0 | 0
75 | MID CO COMMODITIES INC | FCM | NFA | 2010-10-31 00:00:00 | 22586894 | 8790929 | 13795965 | 68337673 | 0 | 0
76 | MITSUBISHI UFJ SECURITIES USA INC | FCM BD | NFA | 2010-10-31 00:00:00 | 86489537 | 1239201 | 85250336 | 0 | 0 | 0
77 | MITSUI BUSSAN COMMODITIES USA INC | FCM | NFA | 2010-10-31 00:00:00 | 9338802 | 1000000 | 8338802 | 0 | 0 | 0
78 | MIZUHO SECURITIES USA INC | FCM BD | CME | 2010-10-31 00:00:00 | 402809419 | 67943935 | 334865484 | 810828348 | 376529090 | 0
79 | MORGAN KEEGAN & COMPANY INC | FCM BD | NFA | 2010-10-31 00:00:00 | 413626627 | 8821677 | 404804950 | 0 | 0 | 0
80 | MORGAN STANLEY & CO INCORPORATED | FCM BD | CME | 2010-10-31 00:00:00 | 7748175035 | 1180078707 | 6568096328 | 5144256774 | 2016875288 | 0
81 | MORGAN STANLEY SMITH BARNEY LLC | FCM BD | NFA | 2010-10-31 00:00:00 | 1478125578 | 44027730 | 1434097848 | 640574013 | 1428530417 | 0
82 | NATIXIS SECURITIES NORTH AMERICA INC | FCM BD | NFA | 2010-10-29 00:00:00 | 202075747 | 1000000 | 201075747 | 0 | 0 | 0
83 | NEUBERGER BERMAN LLC | FCM BD | NFA | 2010-10-31 00:00:00 | 90220904 | 1500000 | 88720904 | 0 | 0 | 0
84 | NEWEDGE USA LLC | FCM BD | NYME | 2010-10-31 00:00:00 | 2416414818 | 1481934929 | 934479889 | 21547412976 | 6869331420 | 0
85 | NOMURA SECURITIES INTERNATIONAL INC | FCM BD | CBOT | 2010-10-29 00:00:00 | 768731034 | 12559227 | 756171807 | 82617172 | 654325 | 0
86 | OANDA CORPORATION | RFED | NFA | 2010-10-31 00:00:00 | 164210568 | 30385013 | 133825555 | 0 | 0 | 0
87 | OPEN E CRY LLC | FCM | NFA | 2010-10-31 00:00:00 | 3256687 | 1000000 | 2256687 | 83315416 | 881226 | 0
88 | OPPENHEIMER & CO INC | FCM BD | NFA | 2010-10-31 00:00:00 | 169880134 | 24708474 | 145171660 | 21615187 | 0 | 0
89 | OPTIONSXPRESS INC | FCM BD | NFA | 2010-10-31 00:00:00 | 122945095 | 9042710 | 113902385 | 81026679 | 1087663 | 0
90 | PENSON FUTURES | FCM | CBOT | 2010-10-31 00:00:00 | 28913876 | 24475381 | 4438495 | 720460249 | 23528280 | 0
91 | PEREGRINE FINANCIAL GROUP INC | FCM | NFA | 2010-10-31 00:00:00 | 36163490 | 21799468 | 14364022 | 463707936 | 27221482 | 45989354
92 | PIONEER FUTURES INC | FCM | NFA | 2010-10-31 00:00:00 | 2101817 | 1000000 | 1101817 | 0 | 0 | 0
93 | PRUDENTIAL BACHE COMMODITIES LLC | FCM | CBOT | 2010-10-31 00:00:00 | 219432000 | 181958160 | 37473840 | 2724419000 | 248105000 | 1807000
94 | RAND FINANCIAL SERVICES INC | FCM | CME | 2010-10-31 00:00:00 | 69638383 | 21039997 | 48598386 | 299223800 | 39405900 | 0
95 | RAYMOND JAMES & ASSOCIATES INC | FCM BD | NFA | 2010-10-31 00:00:00 | 363937001 | 30107408 | 333829593 | 0 | 0 | 0
96 | RBC CAPITAL MARKETS CORPORATION | FCM BD | CME | 2010-10-31 00:00:00 | 998933146 | 76849170 | 922083976 | 295882530 | 82960348 | 0
97 | RBS SECURITIES INC | FCM BD | CBOT | 2010-10-31 00:00:00 | 1977099000 | 184370000 | 1792729000 | 1576732000 | 86341000 | 0
98 | RJ OBRIEN ASSOCIATES LLC | FCM | CME | 2010-10-31 00:00:00 | 162188912 | 100452747 | 61736165 | 2216362738 | 50694652 | 4531430
99 | ROSENTHAL COLLINS GROUP LLC | FCM | CME | 2010-10-31 00:00:00 | 70478746 | 49973292 | 20505454 | 1449022689 | 21243794 | 0
100 | ROSENTHAL GLOBAL SECURITIES LLC | FCM BD | NFA | 2010-10-31 00:00:00 | 54919093 | 492331 | 54426762 | 0 | 0 | 0
101 | SANFORD C BERNSTEIN & CO LLC | FCM BD | NFA | 2010-10-31 00:00:00 | 165580351 | 14337083 | 151243268 | 0 | 0 | 0
102 | SANTANDER INVESTMENT SECURITIES INC | FCM BD | NFA | 2010-10-29 00:00:00 | 87925411 | 1836487 | 86088924 | 0 | 0 | 0
103 | SMW TRADING COMPANY INC | FCM | CME | 2010-10-31 00:00:00 | 26561008 | 1000000 | 25561008 | 1195342 | 0 | 0
104 | STATE STREET GLOBAL MARKETS LLC | FCM BD | CME | 2010-10-31 00:00:00 | 371243925 | 1000000 | 370243925 | 7426525 | 27019 | 0
105 | STEPHENS | FCM BD | NFA | 2010-10-31 00:00:00 | 76644333 | 11815747 | 64828586 | 0 | 0 | 0
106 | STERLING COMMODITIES CORP | FCM | NYME | 2010-10-31 00:00:00 | 7924796 | 1607685 | 6317111 | 54581557 | 202566 | 0
107 | TCA FUTURES LLC | FCM | NFA | 2010-10-31 00:00:00 | 1638362 | 1000000 | 638362 | 0 | 0 | 0
108 | TD AMERITRADE INC | FCM BD | NFA | 2010-10-31 00:00:00 | 175727409 | 1000000 | 174727409 | 0 | 0 | 0
109 | TENCO INC | FCM | CBOT | 2010-10-31 00:00:00 | 54276561 | 12698475 | 41578086 | 326302735 | 6 | 0
110 | TERRA NOVA FINANCIAL LLC | FCM BD | NFA | 2010-10-31 00:00:00 | 8666064 | 1500000 | 7166064 | 0 | 0 | 0
111 | TIMBER HILL LLC | FCM BD | CME | 2010-10-31 00:00:00 | 978922765 | 40948517 | 937974248 | 462122934 | 0 | 0
112 | TOWER RESEARCH CAPITAL EUROPE LLC | FCM | NFA | 2010-11-30 00:00:00 | 5243674 | 1000000 | 4243674 | 0 | 0 | 0
113 | TRADELINK LLC | FCM BD | CBOT | 2010-10-31 00:00:00 | 24336311 | 1000000 | 23336311 | 0 | 0 | 0
114 | TRADESTATION SECURITIES INC | FCM BD | NFA | 2010-10-31 00:00:00 | 70600380 | 2723059 | 67877321 | 394321961 | 2169613 | 0
115 | TRADITION SECURITIES AND FUTURES INC | FCM | NFA | 2010-10-29 00:00:00 | 1560155 | 1000000 | 560155 | 0 | 0 | 0
116 | TRILAND USA INC | FCM | NYME | 2010-10-31 00:00:00 | 23679454 | 15896260 | 7783194 | 191301273 | 16243925 | 0
117 | UBS FINANCIAL SERVICES INC | FCM BD | NFA | 2010-10-31 00:00:00 | 1131283090 | 91085506 | 1040197584 | 206732380 | 1227018 | 0
118 | UBS SECURITIES LLC | FCM BD | CBOT | 2010-10-29 00:00:00 | 11119249796 | 905162286 | 10214087510 | 9517675746 | 4488019784 | 0
119 | VELOCITY FUTURES LLC | FCM | NFA | 2010-10-31 00:00:00 | 1684448 | 1000000 | 684448 | 62361060 | 9407595 | 0
120 | VISION FINANCIAL MARKETS LLC | FCM BD | CME | 2010-10-31 00:00:00 | 22690953 | 8623899 | 14067054 | 362960388 | 11672630 | 0
121 | WELLS FARGO ADVISORS FINANCIAL NETWORK LLC | FCM BD | NFA | 2010-10-31 00:00:00 | 33028910 | 4920563 | 28108347 | 0 | 0 | 0
122 | WELLS FARGO ADVISORS LLC | FCM BD | NFA | 2010-10-31 00:00:00 | 649611300 | 1500000 | 648111300 | 0 | 0 | 0
123 | WELLS FARGO SECURITIES LLC | FCM BD | CME | 2010-10-31 00:00:00 | 1249473168 | 6359879 | 1243113289 | 0 | 0 | 0
124 | WHITE COMMERCIAL CORPORATION | FCM | NFA | 2010-10-31 00:00:00 | 2713014 | 1000000 | 1713014 | 0 | 0 | 0
125 | WSD FINANCIAL USA INC | FCM | NFA | 2010-10-31 00:00:00 | 1505697 | 1000000 | 505697 | 0 | 0 | 0
126 | YORK BUSINESS ASSOCIATES LLC | FCM | NFA | 2010-10-31 00:00:00 | 2331253 | 1000000 | 1331253 | 64109789 | 1385030 | 0
 | Totals |  |  |  |  |  |  | 150991155241 | 34619110880 | 582993860
 | September Web Page Update | 126
 | Additions | 0
 | Deletions | 0
 | Name Change | 0
 | October Web Page Update | 126
 | *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], [EMAIL], or [EMAIL].