Spreadsheet: 179155ec-0ea8-456d-96cb-c1ad2dc2f61e
Sheet: FCM Data April 2011

 |  | [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 | 2011-04-30 00:00:00 | 203701981 | 109428298 | 94273683 | 1767987694 | 302172808 | 0
2 | ADM INVESTOR SERVICES INC | FCM | CBOT | 2011-04-30 00:00:00 | 293170585 | 165740426 | 127430159 | 2797845347 | 66818666 | 0
3 | ADVANCED MARKETS LLC | RFED | NFA | 2011-04-30 00:00:00 | 20137376 | 20000000 | 137376 | 0 | 0 | 1990080
4 | ADVANTAGE FUTURES LLC | FCM | CME | 2011-04-29 00:00:00 | 21629112 | 13108648 | 8520464 | 430207984 | 39316950 | 0
5 | ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC * | FCM BD | NFA | 2011-03-31 00:00:00 | 106652708 | 6172937 | 100479771 | 0 | 0 | 0
6 | [NAME] (US) LLC | RFED | NFA | 2011-04-30 00:00:00 | 25246389 | 20000000 | 5246389 | 0 | 0 | 9073548
7 | AMERIPRISE FINANCIAL SERVICES INC | FCM BD | NFA | 2011-04-30 00:00:00 | 118972465 | 1000000 | 117972465 | 0 | 0 | 0
8 | AMP GLOBAL CLEARING LLC | FCM | NFA | 2011-04-30 00:00:00 | 1358779 | 1000000 | 358779 | 28594453 | 42872 | 0
9 | BARCLAYS CAPITAL INC | FCM BD | NYME | 2011-04-30 00:00:00 | 5816202067 | 781453356 | 5034748711 | 5659525534 | 2514221419 | 0
10 | BGC FINANCIAL LP | FCM BD | NFA | 2011-04-30 00:00:00 | 52226131 | 1000000 | 51226131 | 0 | 0 | 0
11 | BNP PARIBAS COMMODITY FUTURES INC | FCM | NYME | 2011-04-30 00:00:00 | 340515702 | 233554467 | 106961235 | 1609147270 | 509531906 | 0
12 | BNP PARIBAS SECURITIES CORP | FCM BD | CBOT | 2011-04-30 00:00:00 | 1492605920 | 126769005 | 1365836915 | 547061488 | 0 | 0
13 | BNY MELLON CLEARING LLC | FCM | CME | 2011-04-30 00:00:00 | 128087881 | 4352490 | 123735391 | 31161559 | 0 | 0
14 | CANTOR FITZGERALD & CO | FCM BD | CBOT | 2011-04-30 00:00:00 | 180390901 | 5538040 | 174852861 | 1223675 | 0 | 0
15 | CAPITAL MARKET SERVICES LLC | RFED | NFA | 2011-04-30 00:00:00 | 3020467 | 1000000 | 2020467 | 0 | 0 | 0
16 | CIBC WORLD MARKETS CORP | FCM BD | CME | 2011-04-30 00:00:00 | 463325611 | 1500000 | 461825611 | 0 | 0 | 0
17 | CITADEL SECURITIES LLC | FCM BD | CME | 2011-04-30 00:00:00 | 325532866 | 1000000 | 324532866 | 0 | 0 | 0
18 | CITIGROUP GLOBAL MARKETS INC | FCM BD | CBOT | 2011-04-30 00:00:00 | 8049944000 | 716078896 | 7333865104 | 10894715423 | 1618408191 | 0
19 | COMMONWEALTH FOREIGN EXCHANGE INC | FCM | NFA | 2011-04-30 00:00:00 | 1555156 | 1000000 | 555156 | 0 | 0 | 0
20 | COMPASS PROFESSIONAL SERVICES LLC | FCM BD | NFA | 2011-04-30 00:00:00 | 3716435 | 1000000 | 2716435 | 0 | 0 | 0
21 | COUNTRY HEDGING INC | FCM | NFA | 2011-04-30 00:00:00 | 30862340 | 21766898 | 9095442 | 142691536 | 351763 | 0
22 | CREDIT SUISSE SECURITIES (USA) LLC | FCM BD | CBOT | 2011-04-30 00:00:00 | 6628798410 | 1126135327 | 5502663083 | 5526935196 | 2038061941 | 0
23 | CROSSLAND LLC | FCM | CBOT | 2011-04-30 00:00:00 | 9636148 | 5848267 | 3787881 | 116808770 | 20193194 | 0
24 | CUNNINGHAM COMMODITIES LLC | FCM | CBOT | 2011-04-30 00:00:00 | 3339657 | 1000000 | 2339657 | 53917287 | 29431 | 0
25 | CX CAPITAL MARKETS LLC | FCM | NFA | 2011-04-30 00:00:00 | 2796094 | 1000000 | 1796094 | 26591840 | 0 | 0
26 | DAIWA CAPITAL MARKETS AMERICA INC | FCM BD | CME | 2011-04-30 00:00:00 | 308931450 | 2269503 | 306661947 | 4527266 | 40979 | 0
27 | DEUTSCHE BANK SECURITIES INC | FCM BD | CBOT | 2011-04-30 00:00:00 | 6292706657 | 724837507 | 5567869150 | 17284351566 | 1503310409 | 0
28 | DORMAN TRADING LLC | FCM | CME | 2011-04-30 00:00:00 | 7792925 | 1063663 | 6729262 | 101031944 | 1502171 | 0
29 | EAGLE MARKET MAKERS INC | FCM | CBOT | 2011-04-29 00:00:00 | 6818744 | 1000000 | 5818744 | 2201733 | 0 | 0
30 | EASY FOREX US LTD | FCM | NFA | 2011-04-30 00:00:00 | 1868233 | 1000000 | 868233 | 0 | 0 | 0
31 | ELECTRONIC BROKERAGE SYSTEMS LLC | FCM BD | NFA | 2011-04-30 00:00:00 | 4527474 | 1000000 | 3527474 | 0 | 0 | 0
32 | ENSKILDA FUTURES LTD | FCM | CME | 2011-04-30 00:00:00 | 30620823 | 20215073 | 10405750 | 388754287 | 0 | 0
33 | FCSTONE LLC | FCM | CME | 2011-04-30 00:00:00 | 108111363 | 73645462 | 34465901 | 1164476821 | 24835623 | 4823306
34 | FOREX CAPITAL MARKETS LLC | RFED | NFA | 2011-04-30 00:00:00 | 52771988 | 26014351 | 26757637 | 0 | 0 | 130287017
35 | FOREX CLUB LLC | RFED | NFA | 2011-04-29 00:00:00 | 20264327 | 20000000 | 264327 | 0 | 0 | 2749711
36 | FRIEDBERG MERCANTILE GROUP INC | FCM | NFA | 2011-04-30 00:00:00 | 3429935 | 1000000 | 2429935 | 11350990 | 939820 | 0
37 | FRONTIER FUTURES INC | FCM | NFA | 2011-04-30 00:00:00 | 1931631 | 1289351 | 642280 | 34390668 | 0 | 0
38 | FUTURES TECH LLC | FCM | NFA | 2011-04-30 00:00:00 | 1594332 | 1000000 | 594332 | 0 | 0 | 0
39 | FX SOLUTIONS LLC | RFED | NFA | 2011-04-30 00:00:00 | 35708627 | 20379733 | 15328894 | 0 | 0 | 17594652
40 | FXDIRECTDEALER LLC | RFED | NFA | 2011-04-30 00:00:00 | 26802254 | 21445905 | 5356349 | 0 | 0 | 38918092
41 | GAIN CAPITAL GROUP LLC | RFED | NFA | 2011-04-30 00:00:00 | 70214680 | 24923609 | 45291071 | 0 | 0 | 108472172
42 | GLOBAL FUTURES & FOREX LTD | RFED | NFA | 2011-04-30 00:00:00 | 87105001 | 23987029 | 63117972 | 803063 | 213197 | 89740577
43 | GOLDMAN SACHS & CO | FCM BD | CBOT | 2011-04-30 00:00:00 | 11069779018 | 1997722365 | 9072056653 | 21789721459 | 8174812247 | 0
44 | GOLDMAN SACHS EXECUTION & CLEARING LP | FCM BD | CME | 2011-04-30 00:00:00 | 1674784224 | 137898452 | 1536885772 | 1255248187 | 30397418 | 0
45 | HSBC SECURITIES USA INC | FCM BD | CME | 2011-04-30 00:00:00 | 1111772706 | 111334727 | 1000437979 | 1097526472 | 116470824 | 0
46 | ICAP CORPORATES LLC | FCM BD | NFA | 2011-04-30 00:00:00 | 38879297 | 1000000 | 37879297 | 0 | 0 | 0
47 | ICAP FUTURES LLC | FCM | NFA | 2011-04-30 00:00:00 | 8076822 | 1000000 | 7076822 | 0 | 0 | 0
48 | IG MARKETS INC | FCM | NFA | 2011-04-30 00:00:00 | 28803815 | 20000000 | 8803815 | 156289 | 0 | 1096308
49 | IKON GLOBAL MARKETS INC | FCM | NFA | 2011-04-30 00:00:00 | 18439217 | 1000000 | 17439217 | 16928151 | 108434 | 0
50 | INSTINET LLC | FCM BD | NFA | 2011-04-29 00:00:00 | 111106373 | 1404102 | 109702271 | 0 | 0 | 0
51 | INSTITUTIONAL LIQUIDITY LLC | FCM | NFA | 2011-04-30 00:00:00 | 21055811 | 20000000 | 1055811 | 0 | 0 | 6534
52 | INTEGRATED BROKERAGE SERVICES LLC | FCM | NFA | 2011-04-30 00:00:00 | 1663082 | 1000000 | 663082 | 0 | 0 | 0
53 | INTERACTIVE BROKERS LLC | FCM BD | NFA | 2011-04-30 00:00:00 | 1256997576 | 230167437 | 1026830139 | 794439335 | 263212746 | 0
54 | INTERBANK FX LLC | RFED | NFA | 2011-04-30 00:00:00 | 24440303 | 21122562 | 3317741 | 0 | 0 | 32451247
55 | IRONBEAM INC | FCM | NFA | 2011-04-30 00:00:00 | 2892040 | 1615839 | 1276201 | 62508657 | 242027 | 0
56 | ITG DERIVATIVES LLC | FCM BD | NFA | 2011-04-30 00:00:00 | 2830576 | 1000000 | 1830576 | 0 | 0 | 0
57 | JEFFERIES & COMPANY INC | FCM BD | NFA | 2011-04-29 00:00:00 | 506421753 | 88876390 | 417545363 | 0 | 0 | 0
58 | JP MORGAN CLEARING CORP | FCM BD | CME | 2011-04-30 00:00:00 | 5791704668 | 1971294314 | 3820410354 | 551249796 | 395671847 | 0
59 | JP MORGAN FUTURES INC | FCM | NYME | 2011-04-30 00:00:00 | 2530823381 | 1536291873 | 994531508 | 17628775299 | 2474961907 | 0
60 | JP MORGAN SECURITIES LLC | FCM BD | NFA | 2011-04-29 00:00:00 | 7690877773 | 602554090 | 7088323683 | 0 | 0 | 0
61 | LEK SECURITIES CORPORATION | FCM BD | NFA | 2011-04-30 00:00:00 | 8723208 | 1500000 | 7223208 | 213812 | 0 | 0
62 | LIMESTONE TRADING LLC | FCM | NFA | 2011-04-30 00:00:00 | 5584733 | 1000000 | 4584733 | 0 | 0 | 0
63 | LINN GROUP THE | FCM | NFA | 2011-04-30 00:00:00 | 2511099 | 1000000 | 1511099 | 42285565 | 51120 | 0
64 | LPL FINANCIAL LLC | FCM BD | NFA | 2011-04-30 00:00:00 | 197027541 | 6615684 | 190411857 | 0 | 0 | 0
65 | MACQUARIE FUTURES USA INC | FCM | CBOT | 2011-04-30 00:00:00 | 118952719 | 60623702 | 58329017 | 813691662 | 39191564 | 0
66 | MAREX NORTH AMERICA LLC | FCM | CME | 2011-04-29 00:00:00 | 10624616 | 4051227 | 6573389 | 59730683 | 2726425 | 0
67 | MAREX USA LIMITED | FCM | NFA | 2011-04-30 00:00:00 | 2803966 | 1000000 | 1803966 | 0 | 0 | 0
68 | MB TRADING FUTURES INC | RFED | NFA | 2011-04-30 00:00:00 | 24257056 | 21335422 | 2921634 | 0 | 0 | 36708438
69 | MBF CLEARING CORP | FCM | NYME | 2011-04-30 00:00:00 | 9108367 | 1930166 | 7178201 | 93507639 | 4108404 | 0
70 | MCVEAN TRADING & INVESTMENTS LLC | FCM | NFA | 2011-04-30 00:00:00 | 10927380 | 2730328 | 8197052 | 845290957 | 0 | 0
71 | MERRILL LYNCH PIERCE FENNER & SMITH | FCM BD | CBOT | 2011-04-30 00:00:00 | 9565608732 | 948332463 | 8617276269 | 10477536086 | 2737326758 | 0
72 | MERRILL LYNCH PROFESSIONAL CLEARING CORP | FCM BD | NFA | 2011-04-30 00:00:00 | 2133737487 | 203841769 | 1929895718 | 1019829562 | 55616901 | 0
73 | MF GLOBAL INC | FCM BD | CME | 2011-04-29 00:00:00 | 584579062 | 466418552 | 118160510 | 8993383265 | 768017349 | 0
74 | MID CO COMMODITIES INC | FCM | NFA | 2011-04-30 00:00:00 | 15175856 | 8533951 | 6641905 | 25551108 | 0 | 0
75 | MITSUBISHI UFJ SECURITIES USA INC | FCM BD | NFA | 2011-04-30 00:00:00 | 97146838 | 1894120 | 95252718 | 0 | 0 | 0
76 | MITSUI BUSSAN COMMODITIES USA INC | FCM | NFA | 2011-04-30 00:00:00 | 3060939 | 1000000 | 2060939 | 0 | 0 | 0
77 | MIZUHO SECURITIES USA INC | FCM BD | CME | 2011-04-29 00:00:00 | 371752103 | 80938447 | 290813656 | 911935551 | 432412182 | 0
78 | MORGAN KEEGAN & COMPANY INC | FCM BD | NFA | 2011-04-30 00:00:00 | 477758161 | 9540375 | 468217786 | 0 | 0 | 0
79 | MORGAN STANLEY & CO INCORPORATED | FCM BD | CME | 2011-04-30 00:00:00 | 6727864529 | 1160609299 | 5567255230 | 5109168833 | 1950082644 | 0
80 | MORGAN STANLEY SMITH BARNEY LLC | FCM BD | NFA | 2011-04-30 00:00:00 | 1130298911 | 40377335 | 1089921576 | 642050233 | 1557144273 | 0
81 | NATIXIS SECURITIES NORTH AMERICA INC | FCM BD | NFA | 2011-04-30 00:00:00 | 209021853 | 1000000 | 208021853 | 0 | 0 | 0
82 | NEUBERGER BERMAN LLC | FCM BD | NFA | 2011-04-30 00:00:00 | 77228695 | 1500000 | 75728695 | 0 | 0 | 0
83 | NEWEDGE USA LLC | FCM BD | NYME | 2011-04-30 00:00:00 | 2157538272 | 1547291756 | 610246516 | 24754719591 | 7480673242 | 0
84 | NOMURA SECURITIES INTERNATIONAL INC | FCM BD | CBOT | 2011-04-29 00:00:00 | 2198038827 | 37839706 | 2160199121 | 97369469 | 737465 | 0
85 | OANDA CORPORATION | RFED | NFA | 2011-04-30 00:00:00 | 165698856 | 28374369 | 137324487 | 0 | 0 | 177487375
86 | OPEN E CRY LLC | FCM | NFA | 2011-04-30 00:00:00 | 3446625 | 1333707 | 2112918 | 90434711 | 900120 | 0
87 | OPPENHEIMER & CO INC | FCM BD | NFA | 2011-04-30 00:00:00 | 171286965 | 26235700 | 145051265 | 27305469 | 0 | 0
88 | OPTIONSXPRESS INC | FCM BD | NFA | 2011-04-30 00:00:00 | 90367614 | 20000000 | 70367614 | 166344473 | 2729951 | 0
89 | PENSON FUTURES | FCM | CBOT | 2011-04-30 00:00:00 | 35848422 | 28804264 | 7044158 | 864074811 | 35625100 | 0
90 | PEREGRINE FINANCIAL GROUP INC | FCM | NFA | 2011-04-30 00:00:00 | 36307036 | 21260433 | 15046603 | 511339095 | 31296980 | 35208663
91 | PHILLIP FUTURES INC | FCM | CME | 2011-04-30 00:00:00 | 7416406 | 1000000 | 6416406 | 0 | 0 | 0
92 | PIONEER FUTURES INC | FCM | NFA | 2011-04-30 00:00:00 | 3075085 | 1000000 | 2075085 | 0 | 0 | 0
93 | PRUDENTIAL BACHE COMMODITIES LLC | FCM | CBOT | 2011-04-30 00:00:00 | 236943000 | 198645840 | 38297160 | 3400585000 | 260384000 | 6974000
94 | RAND FINANCIAL SERVICES INC | FCM | CME | 2011-04-30 00:00:00 | 71345539 | 19746815 | 51598724 | 327307200 | 23094100 | 0
95 | RAYMOND JAMES & ASSOCIATES INC | FCM BD | NFA | 2011-04-30 00:00:00 | 377272611 | 31258026 | 346014585 | 0 | 0 | 0
96 | RBC CAPITAL MARKETS LLC | FCM BD | CME | 2011-04-29 00:00:00 | 1132284539 | 114527558 | 1017756981 | 412130350 | 20639808 | 0
97 | RBS SECURITIES INC | FCM BD | CBOT | 2011-04-30 00:00:00 | 1931511000 | 278925000 | 1652586000 | 1938327000 | 45413000 | 0
98 | RJ OBRIEN ASSOCIATES LLC | FCM | CME | 2011-04-30 00:00:00 | 174107901 | 124752077 | 49355824 | 2815862733 | 71383435 | 4471260
99 | ROSENTHAL COLLINS GROUP LLC | FCM | CME | 2011-04-30 00:00:00 | 77397249 | 55188744 | 22208505 | 1832840806 | 47616760 | 0
100 | ROSENTHAL GLOBAL SECURITIES LLC | FCM BD | NFA | 2011-04-30 00:00:00 | 41729588 | 1000000 | 40729588 | 0 | 0 | 0
101 | SANFORD C BERNSTEIN & CO LLC | FCM BD | NFA | 2011-04-30 00:00:00 | 182894948 | 14759737 | 168135211 | 0 | 0 | 0
102 | SANTANDER INVESTMENT SECURITIES INC | FCM BD | NYME | 2011-04-30 00:00:00 | 207071061 | 10686024 | 196385037 | 557036339 | 0 | 0
103 | STATE STREET GLOBAL MARKETS LLC | FCM BD | CME | 2011-04-30 00:00:00 | 399456157 | 5881356 | 393574801 | 146908881 | 4410851 | 0
104 | STEPHENS | FCM BD | NFA | 2011-04-30 00:00:00 | 75275722 | 12734264 | 62541458 | 0 | 0 | 0
105 | STERLING COMMODITIES CORP | FCM | NYME | 2011-04-30 00:00:00 | 8693548 | 1000000 | 7693548 | 31366238 | 151314 | 0
106 | STRAITS FINANCIAL LLC | FCM | CME | 2011-04-30 00:00:00 | 6979644 | 1000000 | 5979644 | 1443739 | 6000 | 0
107 | TCA FUTURES LLC | FCM | NFA | 2011-04-30 00:00:00 | 1599493 | 1000000 | 599493 | 0 | 0 | 0
108 | TD AMERITRADE INC | FCM BD | NFA | 2011-04-30 00:00:00 | 335346988 | 1000000 | 334346988 | 0 | 0 | 0
109 | TENCO INC | FCM | CBOT | 2011-04-30 00:00:00 | 53874609 | 13919744 | 39954865 | 305910159 | 0 | 0
110 | TIMBER HILL LLC | FCM BD | CME | 2011-04-30 00:00:00 | 1026060931 | 52670836 | 973390095 | 674775320 | 0 | 0
111 | TOWER RESEARCH CAPITAL EUROPE LLC | FCM | NFA | 2011-04-30 00:00:00 | 3576457 | 1000000 | 2576457 | 0 | 0 | 0
112 | TRADELINK LLC | FCM BD | CBOT | 2011-04-30 00:00:00 | 25428540 | 1000000 | 24428540 | 0 | 0 | 0
113 | TRADESTATION FOREX INC. | RFED | NFA | 2011-04-30 00:00:00 | 21767519 | 21076815 | 690704 | 0 | 0 | 31536291
114 | TRADESTATION SECURITIES INC | FCM BD | NFA | 2011-04-30 00:00:00 | 60052065 | 3622822 | 56429243 | 427738495 | 5917092 | 0
115 | TRADITION SECURITIES AND FUTURES INC | FCM | NFA | 2011-04-29 00:00:00 | 1541528 | 1000000 | 541528 | 0 | 0 | 0
116 | TRILAND USA INC | FCM | NYME | 2011-04-30 00:00:00 | 39057628 | 14004858 | 25052770 | 214973309 | 3342231 | 0
117 | UBS FINANCIAL SERVICES INC | FCM BD | NFA | 2011-04-30 00:00:00 | 1268218966 | 101895855 | 1166323111 | 208128247 | 1244600 | 0
118 | UBS SECURITIES LLC | FCM BD | CBOT | 2011-04-30 00:00:00 | 11615633380 | 973669295 | 10641964085 | 10256938242 | 4694277773 | 0
119 | VELOCITY FUTURES LLC | FCM | NFA | 2011-04-30 00:00:00 | 1834754 | 1000000 | 834754 | 71700880 | 13456676 | 0
120 | VISION FINANCIAL MARKETS LLC | FCM BD | CME | 2011-04-29 00:00:00 | 20577752 | 10998469 | 9579283 | 440782219 | 7243286 | 0
121 | WALL STREET DERIVATIVES INC | FCM | NFA | 2011-04-30 00:00:00 | 1517905 | 1000000 | 517905 | 0 | 0 | 0
122 | WELLS FARGO ADVISORS FINANCIAL NETWORK LLC | FCM BD | NFA | 2011-04-30 00:00:00 | 46873627 | 4968366 | 41905261 | 0 | 0 | 0
123 | WELLS FARGO ADVISORS LLC | FCM BD | NFA | 2011-04-30 00:00:00 | 720238093 | 1500000 | 718738093 | 0 | 0 | 0
124 | WELLS FARGO SECURITIES LLC | FCM BD | CME | 2011-04-30 00:00:00 | 824853056 | 25637523 | 799215533 | 0 | 0 | 0
125 | WHITE COMMERCIAL CORPORATION | FCM | NFA | 2011-04-30 00:00:00 | 2442517 | 1000000 | 1442517 | 0 | 0 | 0
126 | YORK BUSINESS ASSOCIATES LLC | FCM | NFA | 2011-04-30 00:00:00 | 2455682 | 1000000 | 1455682 | 72923324 | 2206025 | 0
 | Totals
 | March Web Page Update | 127
 | Additions | 0
 | None
 | Deletions | 1
 | FARR FINANCIAL INC
 | Name Change
 | None
 | April 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]