Spreadsheet: 01960e63-bd68-4f1d-9193-b891bbb05c06
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 | 3DFOREX LLC | N | NFA | 2009-04-30 00:00:00 | 14747537 | 500000 | 14247537 | 0 | 0
2 | ACM USA LLC | N | NFA | 2009-04-30 00:00:00 | 793387 | 500000 | 293387 | 0 | 0
3 | ADM INVESTOR SERVICES INC | N | CBOT | 2009-04-30 00:00:00 | 157845234 | 89295187 | 68550047 | 1961413686 | 70330091
4 | ADVANCED MARKETS LLC | N | NFA | 2009-04-30 00:00:00 | 19796273 | 15000000 | 4796273 | 0 | 0
5 | ADVANTAGE FUTURES LLC | N | CME | 2009-04-30 00:00:00 | 15469093 | 4428917 | 11040176 | 189723503 | 16255453
6 | AIG CLEARING CORPORATION | N | NYME | 2009-04-30 00:00:00 | 221528123 | 12621022 | 208907101 | 0 | 0
7 | ALARON TRADING CORPORATION | N | NFA | 2009-04-30 00:00:00 | 1470667 | 500000 | 970667 | 0 | 0
8 | ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC * | Y | NFA | 03/31/2009 | 23585672 | 5484657 | 18101015 | 0 | 0
9 | [NAME] (US) LLC | N | NFA | 2009-04-30 00:00:00 | 20975556 | 15000000 | 5975556 | 0 | 0
10 | AMERIPRISE ADVISOR SERVICES INC | Y | NFA | 2009-04-30 00:00:00 | 88694344 | 5355887 | 83338457 | 0 | 0
11 | BANC OF AMERICA SECURITIES LLC | Y | CME | 2009-04-30 00:00:00 | 2427974632 | 65449283 | 2362525349 | 0 | 0
12 | BARCLAYS CAPITAL INC | Y | NYME | 2009-04-30 00:00:00 | 4809392094 | 501143181 | 4308248913 | 4747424073 | 2147567728
13 | BGC FINANCIAL LP | Y | NFA | 2009-04-30 00:00:00 | 52895290 | 500000 | 52395290 | 0 | 0
14 | BNP PARIBAS COMMODITY FUTURES INC | N | NYME | 2009-04-30 00:00:00 | 293389615 | 230729682 | 62659933 | 2791518653 | 523267468
15 | BNP PARIBAS SECURITIES CORP | Y | CBOT | 2009-04-30 00:00:00 | 1470054362 | 58060082 | 1411994280 | 257312033 | 0
16 | CADENT FINANCIAL SERVICES LLC | N | CME | 2009-04-30 00:00:00 | 5095629 | 3827509 | 1268120 | 166220044 | 1386231
17 | CANTOR FITZGERALD & CO | Y | CBOT | 2009-04-30 00:00:00 | 206638254 | 13191985 | 193446269 | 15296387 | 0
18 | CAPITAL MARKET SERVICES LLC | N | NFA | 2009-04-30 00:00:00 | 29649678 | 15000000 | 14649678 | 0 | 0
19 | CIBC WORLD MARKETS CORP | Y | CME | 2009-04-30 00:00:00 | 1122645619 | 8829891 | 1113815728 | 0 | 0
20 | CITIGROUP GLOBAL MARKETS INC | Y | CBOT | 2009-04-30 00:00:00 | 8426657205 | 789683919 | 7636973286 | 12444292539 | 1137820006
21 | COMMONWEALTH FOREIGN EXCHANGE INC | N | NFA | 2009-04-30 00:00:00 | 895333 | 500000 | 395333 | 0 | 0
22 | COUNTRY HEDGING INC | N | NFA | 2009-04-30 00:00:00 | 14147787 | 7855714 | 6292073 | 94655090 | 138849
23 | CREDIT SUISSE SECURITIES (USA) LLC | Y | CBOT | 2009-04-30 00:00:00 | 12557549226 | 615578623 | 11941970603 | 3049413667 | 1522987734
24 | CROSSLAND LLC | N | CBOT | 2009-04-30 00:00:00 | 3833232 | 2950702 | 882530 | 41806258 | 22722269
25 | CUNNINGHAM COMMODITIES LLC | N | CBOT | 2009-04-30 00:00:00 | 3202158 | 648084 | 2554074 | 31758878 | 76788
26 | CX CAPITAL MARKETS LLC | N | NFA | 2009-04-30 00:00:00 | 761161 | 500000 | 261161 | 148029 | 0
27 | DAIWA SECURITIES AMERICA INC | Y | CME | 2009-04-30 00:00:00 | 247457380 | 1000000 | 246457380 | 2711690 | 77110
28 | DEUTSCHE BANK SECURITIES INC | Y | CBOT | 2009-04-30 00:00:00 | 5801417421 | 442937977 | 5358479444 | 8116439738 | 884086099
29 | DORMAN TRADING LLC | N | CME | 2009-04-30 00:00:00 | 7972043 | 591866 | 7380177 | 71894294 | 0
30 | EAGLE MARKET MAKERS INC | N | CBOT | 2009-04-30 00:00:00 | 5645628 | 500000 | 5145628 | 5120469 | 0
31 | EASY FOREX US LTD | N | NFA | 2009-04-30 00:00:00 | 15549565 | 15000000 | 549565 | 0 | 0
32 | ELECTRONIC BROKERAGE SYSTEMS LLC | Y | NFA | 2009-04-30 00:00:00 | 4984552 | 912889 | 4071663 | 0 | 0
33 | ENSKILDA FUTURES LTD | N | CME | 2009-04-30 00:00:00 | 22213489 | 10706862 | 11506627 | 177824595 | 0
34 | FARR FINANCIAL INC | N | NFA | 2009-04-30 00:00:00 | 1188795 | 500000 | 688795 | 33592984 | 39578
35 | FCSTONE LLC | N | CME | 2009-04-30 00:00:00 | 58884607 | 37550083 | 21334524 | 793927190 | 7810663
36 | FOREX CAPITAL MARKETS LLC | N | NFA | 2009-04-30 00:00:00 | 60472142 | 15000000 | 45472142 | 0 | 0
37 | FOREX CLUB FINANCIAL COMPANY INC | N | NFA | 2009-04-30 00:00:00 | 21795577 | 15000000 | 6795577 | 0 | 0
38 | FORTIS CLEARING AMERICAS LLC | Y | CBOT | 2009-04-30 00:00:00 | 182269818 | 61165584 | 121104234 | 927077582 | 107615441
39 | FRIEDBERG MERCANTILE GROUP INC | N | NFA | 2009-04-30 00:00:00 | 3314565 | 500000 | 2814565 | 3281897 | 0
40 | FRONTIER FUTURES INC | N | NFA | 2009-04-30 00:00:00 | 1158579 | 735412 | 423167 | 26411944 | 0
41 | FUTURES TECH LLC | N | NFA | 2009-04-30 00:00:00 | 839803 | 500000 | 339803 | 0 | 0
42 | FX SOLUTIONS LLC | N | NFA | 2009-04-30 00:00:00 | 41546274 | 15000000 | 26546274 | 0 | 0
43 | GAIN CAPITAL GROUP LLC | N | NFA | 2009-04-30 00:00:00 | 90801214 | 15000000 | 75801214 | 0 | 0
44 | GELBER GROUP LLC | N | CBOT | 2009-04-30 00:00:00 | 103846568 | 500000 | 103346568 | 10589488 | 0
45 | GFS FOREX & FUTURES INC | N | NFA | 2009-04-30 00:00:00 | 16455861 | 15000000 | 1455861 | 0 | 0
46 | GILDER GAGNON HOWE & CO LLC | Y | NFA | 2009-04-30 00:00:00 | 14826782 | 500000 | 14326782 | 0 | 0
47 | GLOBAL FUTURES & FOREX LTD | N | NFA | 2009-04-30 00:00:00 | 80693021 | 15000000 | 65693021 | 818885 | 200990
48 | GOLDMAN SACHS & CO | Y | CBOT | 2009-04-24 00:00:00 | 15685091913 | 1941899122 | 13743192791 | 19750894978 | 8487406634
49 | GOLDMAN SACHS EXECUTION & CLEARING LP | Y | CME | 2009-04-24 00:00:00 | 1943326108 | 90308093 | 1853018015 | 1212096989 | 14222854
50 | HOTSPOT FXR LLC | N | NFA | 2009-04-30 00:00:00 | 15253350 | 500000 | 14753350 | 0 | 0
51 | HSBC SECURITIES USA INC | Y | CME | 2009-04-30 00:00:00 | 1366625330 | 74758955 | 1291866375 | 1343520714 | 69457614
52 | I TRADE FX LLC | N | NFA | 2009-04-30 00:00:00 | 16341344 | 15000000 | 1341344 | 0 | 0
53 | ICAP FUTURES LLC | N | NFA | 2009-04-30 00:00:00 | 5631568 | 500000 | 5131568 | 0 | 0
54 | IG MARKETS INC | N | NFA | 2009-04-30 00:00:00 | 22805657 | 15000000 | 7805657 | 0 | 0
55 | IKON GLOBAL MARKETS INC | N | NFA | 2009-04-30 00:00:00 | 16355818 | 15000000 | 1355818 | 2601173 | 589351
56 | INSTINET LLC | Y | NFA | 2009-04-30 00:00:00 | 110704825 | 1500000 | 109204825 | 0 | 0
57 | INTEGRATED BROKERAGE SERVICES LLC | N | NFA | 2009-04-30 00:00:00 | 1869564 | 500000 | 1369564 | 0 | 0
58 | INTERACTIVE BROKERS LLC | Y | NFA | 2009-04-30 00:00:00 | 659484132 | 55028664 | 604455468 | 307332018 | 91415755
59 | INTERBANK FX LLC | N | NFA | 2009-04-30 00:00:00 | 36507727 | 15000000 | 21507727 | 0 | 0
60 | ITG DERIVATIVES LLC | Y | NFA | 2009-04-30 00:00:00 | 2772310 | 500000 | 2272310 | 0 | 0
61 | JP MORGAN CLEARING CORP | Y | CME | 2009-04-30 00:00:00 | 4875179343 | 1427484638 | 3447694705 | 830332888 | 244502117
62 | JP MORGAN FUTURES INC | N | NYME | 2009-04-30 00:00:00 | 2163964787 | 1221960764 | 942004023 | 16940961685 | 2517585942
63 | JP MORGAN SECURITIES INC | Y | NFA | 2009-04-30 00:00:00 | 9111164028 | 558331925 | 8552832103 | 0 | 0
64 | LADENBURG THALMANN & CO INC | Y | NFA | 2009-04-30 00:00:00 | 2578778 | 500000 | 2078778 | 0 | 0
65 | LEK SECURITIES CORPORATION | Y | NFA | 2009-04-30 00:00:00 | 12592049 | 1500000 | 11092049 | 667495 | 0
66 | LIMESTONE TRADING LLC | N | NFA | 2009-04-30 00:00:00 | 14111378 | 500000 | 13611378 | 0 | 0
67 | LINN GROUP THE | N | NFA | 2009-04-30 00:00:00 | 2317432 | 500000 | 1817432 | 28992337 | 3240
68 | LPL FINANCIAL CORPORATION | Y | NFA | 2009-04-30 00:00:00 | 116869645 | 6598108 | 110271537 | 0 | 0
69 | MACQUARIE FUTURES USA INC | N | CBOT | 2009-04-30 00:00:00 | 46898666 | 29955029 | 16943637 | 490929729 | 3639175
70 | MAREX USA LIMITED | N | NFA | 2009-04-30 00:00:00 | 968162 | 500000 | 468162 | 0 | 0
71 | MB TRADING FUTURES INC | N | NFA | 2009-04-30 00:00:00 | 17100859 | 15000000 | 2100859 | 0 | 0
72 | MBF CLEARING CORP | N | NYME | 2009-04-30 00:00:00 | 27515863 | 2537373 | 24978490 | 78334484 | 6888671
73 | MCVEAN TRADING & INVESTMENTS LLC | N | NFA | 2009-04-30 00:00:00 | 7224100 | 1848745 | 5375355 | 557192139 | 0
74 | MERRILL LYNCH PIERCE FENNER & SMITH | Y | CBOT | 2009-04-30 00:00:00 | 4428595726 | 637236448 | 3791359278 | 8919801979 | 1569936412
75 | MERRILL LYNCH PROFESSIONAL CLEARING CORP | Y | NFA | 2009-04-30 00:00:00 | 1594761965 | 89022086 | 1505739879 | 1060383815 | 47007334
76 | MF GLOBAL INC | Y | CME | 2009-04-30 00:00:00 | 557017944 | 326917539 | 230100405 | 7029790771 | 481816032
77 | MG FINANCIAL LLC | N | NFA | 2009-04-30 00:00:00 | 5222583 | 500000 | 4722583 | 0 | 0
78 | MID CO COMMODITIES INC | N | NFA | 2009-04-30 00:00:00 | 11253292 | 2425706 | 8827586 | 22361816 | 0
79 | MITSUI BUSSAN COMMODITIES USA INC | Y | NYME | 2009-04-30 00:00:00 | 7247531 | 1791086 | 5456445 | 0 | 0
80 | MIZUHO SECURITIES USA INC | Y | CME | 2009-04-30 00:00:00 | 298272695 | 43923461 | 254349234 | 881739680 | 301893301
81 | MORGAN KEEGAN & COMPANY INC | Y | NFA | 2009-04-30 00:00:00 | 330873358 | 9459329 | 321414029 | 0 | 0
82 | MORGAN STANLEY & CO INCORPORATED | Y | CME | 2009-04-30 00:00:00 | 11629796070 | 1178693294 | 10451102776 | 4692460703 | 5100438910
83 | NATIXIS SECURITIES NORTH AMERICA INC | Y | NFA | 2009-04-30 00:00:00 | 214232326 | 500000 | 213732326 | 0 | 0
84 | NEUBERGER BERMAN LLC | Y | NFA | 2009-04-30 00:00:00 | 34961831 | 1500000 | 33461831 | 0 | 0
85 | NEWEDGE USA LLC | Y | NYME | 2009-04-30 00:00:00 | 2440549445 | 1512305795 | 928243650 | 19067704250 | 7045013507
86 | NOMURA SECURITIES INTERNATIONAL INC | Y | CBOT | 2009-04-30 00:00:00 | 1153124204 | 2284265 | 1150839939 | 0 | 0
87 | OANDA CORPORATION | N | NFA | 2009-04-30 00:00:00 | 159739419 | 15000000 | 144739419 | 0 | 0
88 | ODL SECURITIES INC | N | NFA | 2009-04-30 00:00:00 | 3312921 | 500000 | 2812921 | 0 | 0
89 | OPEN E CRY LLC | N | NFA | 2009-04-30 00:00:00 | 2677317 | 806732 | 1870585 | 57561067 | 635187
90 | OPPENHEIMER & CO INC | Y | NFA | 2009-04-30 00:00:00 | 187999043 | 16474317 | 171524726 | 14456567 | 0
91 | OPTIONSXPRESS INC | Y | NFA | 2009-04-30 00:00:00 | 75720400 | 5786631 | 69933769 | 56410509 | 450792
92 | [NAME] | N | CBOT | 2009-04-30 00:00:00 | 19015168 | 14432987 | 4582181 | 447904542 | 34965018
93 | PEREGRINE FINANCIAL GROUP INC | N | NFA | 2009-04-30 00:00:00 | 36843820 | 15000000 | 21843820 | 219789058 | 16109620
94 | PIONEER FUTURES INC | N | NYME | 2009-04-30 00:00:00 | 1587911 | 500000 | 1087911 | 0 | 0
95 | PRUDENTIAL BACHE COMMODITIES LLC | N | CBOT | 2009-04-30 00:00:00 | 235081000 | 169265120 | 65815880 | 2784049000 | 272649000
96 | PUMA FINANCIAL LLC | N | NFA | 2009-04-30 00:00:00 | 1109309 | 500000 | 609309 | 5093099 | 0
97 | RAND FINANCIAL SERVICES INC | N | CME | 2009-04-30 00:00:00 | 60738677 | 6062048 | 54676629 | 73360200 | 23636400
98 | RAYMOND JAMES & ASSOCIATES INC | Y | NFA | 2009-04-30 00:00:00 | 326284837 | 23568254 | 302716583 | 0 | 0
99 | RBC CAPITAL MARKETS CORPORATION | Y | CME | 2009-04-30 00:00:00 | 1178625360 | 99558979 | 1079066381 | 1296139328 | 802676548
100 | RBS SECURITIES INC. | Y | CBOT | 2009-04-30 00:00:00 | 2252318000 | 199650000 | 2052668000 | 1736508000 | 265619000
101 | RJ OBRIEN  &  ASSOCIATES LLC | N | CME | 2009-04-30 00:00:00 | 107125033 | 63912623 | 43212410 | 1910585022 | 22595433
102 | ROBBINS FUTURES INC | N | NFA | 2009-04-30 00:00:00 | 577484 | 500000 | 77484 | 3408815 | 0
103 | ROSENTHAL COLLINS GROUP LLC | N | CME | 2009-04-30 00:00:00 | 64787023 | 33163639 | 31623384 | 1026637502 | 24807584
104 | ROSENTHAL GLOBAL SECURITIES LLC | Y | NFA | 2009-04-30 00:00:00 | 33399078 | 1052994 | 32346084 | 0 | 0
105 | SANFORD C BERNSTEIN & CO LLC | Y | NFA | 2009-04-30 00:00:00 | 154538820 | 8850977 | 145687843 | 0 | 0
106 | SANTANDER INVESTMENT SECURITIES INC | Y | NFA | 2009-04-30 00:00:00 | 64581714 | 500000 | 64081714 | 0 | 0
107 | SHAY GRAIN CLEARING COMPANY | N | KCBT | 2009-04-30 00:00:00 | 2573197 | 500000 | 2073197 | 8364429 | 0
108 | SMW TRADING COMPANY INC | N | CME | 2009-04-30 00:00:00 | 27917072 | 500000 | 27417072 | 5060504 | 0
109 | STEPHENS INC | Y | NFA | 2009-04-24 00:00:00 | 69682724 | 9376316 | 60306408 | 0 | 0
110 | STERLING COMMODITIES CORP | N | NYME | 2009-04-30 00:00:00 | 8765125 | 793168 | 7971957 | 34451051 | 774966
111 | TCA FUTURES LLC | N | NFA | 2009-04-30 00:00:00 | 831412 | 500000 | 331412 | 0 | 0
112 | TD AMERITRADE INC | Y | NFA | 2009-04-30 00:00:00 | 139290105 | 500000 | 138790105 | 0 | 0
113 | TENCO INC | N | CBOT | 2009-04-30 00:00:00 | 44437588 | 7714645 | 36722943 | 143410177 | 0
114 | TERRA NOVA FINANCIAL LLC | Y | NFA | 2009-04-30 00:00:00 | 12259315 | 1500000 | 10759315 | 0 | 0
115 | TIMBER HILL LLC | Y | CME | 2009-04-30 00:00:00 | 1096508373 | 15376787 | 1081131586 | 238249972 | 0
116 | TOWER RESEARCH CAPITAL EUROPE LLC | N | NFA | 2009-04-30 00:00:00 | 3438954 | 500000 | 2938954 | 0 | 0
117 | TRADELINK LLC | Y | CBOT | 2009-04-30 00:00:00 | 31828425 | 500000 | 31328425 | 0 | 0
118 | TRADESTATION SECURITIES INC | Y | NFA | 2009-04-30 00:00:00 | 94846378 | 1189141 | 93657237 | 0 | 0
119 | TRADITION SECURITIES AND FUTURES INC | N | NFA | 2009-04-30 00:00:00 | 819019 | 500000 | 319019 | 0 | 0
120 | TRANSMARKET GROUP LLC | Y | CBOT | 2009-04-30 00:00:00 | 10115447 | 500000 | 9615447 | 0 | 0
121 | TRILAND USA INC | N | NYME | 2009-04-30 00:00:00 | 43437939 | 11090006 | 32347933 | 165036161 | 17006294
122 | UBS FINANCIAL SERVICES INC | Y | NFA | 2009-04-30 00:00:00 | 1297944055 | 86445978 | 1211498077 | 198286885 | 1436442
123 | UBS SECURITIES LLC | Y | CBOT | 2009-04-30 00:00:00 | 15492661831 | 975039314 | 14517622517 | 12208795809 | 5784600368
124 | VELOCITY FUTURES LLC | N | NFA | 2009-04-30 00:00:00 | 1063333 | 500000 | 563333 | 34809481 | 888363
125 | VISION FINANCIAL MARKETS LLC | Y | CME | 2009-04-30 00:00:00 | 20737754 | 5372361 | 15365393 | 236802949 | 951676
126 | WACHOVIA CAPITAL MARKETS LLC | Y | CME | 2009-04-30 00:00:00 | 2004172108 | 1000000 | 2003172108 | 0 | 0
127 | WACHOVIA SECURITIES FINANCIAL NETWORK LLC | Y | NFA | 2009-04-30 00:00:00 | 24866033 | 2321148 | 22544885 | 0 | 0
128 | WACHOVIA SECURITIES LLC | Y | NFA | 2009-04-30 00:00:00 | 589210460 | 4681318 | 584529142 | 0 | 0
129 | WHITE COMMERCIAL CORPORATION | N | NFA | 2009-04-30 00:00:00 | 2202202 | 500000 | 1702202 | 0 | 0
130 | WSD FINANCIAL USA INC | N | NFA | 2009-04-30 00:00:00 | 1265288 | 500000 | 765288 | 0 | 0
131 | YORK BUSINESS ASSOCIATES LLC | N | NFA | 2009-04-30 00:00:00 | 1267009 | 500000 | 767009 | 44297581 | 1290241
 | Total |  |  |  |  |  |  | 142128240947 | 39695292279
 | March Web Page Update | 132
 | Additions | 0
 | Deletions | 1
 | Cliff Larson Company, The
 | Name Change
 | From RBS Greenwich Capital Markets Inc. to RBS Securities Inc.
 | April Web Page Update | 131
 | *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);
 | (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 vthe 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].