Spreadsheet: 0b3eda4b-8a03-4c35-8999-7e24f3cc2725
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 | 2009-01-31 00:00:00 | 20033851 | 500000 | 19533851 | 0 | 0
2 | ACM USA LLC | N | NFA | 2009-01-31 00:00:00 | 1695592 | 500000 | 1195592 | 0 | 0
3 | ADM INVESTOR SERVICES INC | N | CBOT | 2009-01-31 00:00:00 | 160438312 | 74296117 | 86142195 | 1980581996 | 84538261
4 | ADVANCED MARKETS LLC | N | NFA | 2009-01-31 00:00:00 | 19873581 | 15000000 | 4873581 | 0 | 0
5 | ADVANTAGE FUTURES LLC | N | CME | 2009-01-30 00:00:00 | 19751808 | 5596760 | 14155048 | 205301225 | 28344076
6 | AIG CLEARING CORPORATION | N | NYME | 2009-01-31 00:00:00 | 128352260 | 12683357 | 115668903 | 0 | 0
7 | ALARON TRADING CORPORATION | N | NFA | 2009-01-31 00:00:00 | 2831646 | 500000 | 2331646 | 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 | 2009-01-31 00:00:00 | 19690941 | 15000000 | 4690941 | 0 | 0
10 | AMERIPRISE ADVISOR SERVICES INC | Y | NFA | 2009-01-31 00:00:00 | 85426561 | 5499948 | 79926613 | 0 | 0
11 | BANC OF AMERICA SECURITIES LLC | Y | CME | 2009-01-30 00:00:00 | 3671056594 | 130363071 | 3540693523 | 735871140 | 9073093
12 | BARCLAYS CAPITAL INC | Y | NYME | 2009-01-30 00:00:00 | 7503086708 | 500000000 | 7003086708 | 5630058150 | 2814816749
13 | BGC FINANCIAL LP | Y | NFA | 2009-01-31 00:00:00 | 57145672 | 250000 | 56895672 | 0 | 0
14 | BGC SECURITIES | Y | NFA | 2009-01-31 00:00:00 | 9301951 | 500000 | 8801951 | 0 | 0
15 | BNP PARIBAS COMMODITY FUTURES INC | N | NYME | 2009-01-30 00:00:00 | 311928016 | 245439573 | 66488443 | 3116482616 | 515268331
16 | BNP PARIBAS SECURITIES CORP | Y | CBOT | 2009-01-31 00:00:00 | 1364762343 | 97113272 | 1267649071 | 287226471 | 0
17 | CADENT FINANCIAL SERVICES LLC | N | CME | 2009-01-31 00:00:00 | 9209883 | 4628272 | 4581611 | 188266673 | 1923635
18 | CANTOR FITZGERALD & CO | Y | CBOT | 2009-01-31 00:00:00 | 325344530 | 17197900 | 308146630 | 19020502 | 0
19 | CAPITAL MARKET SERVICES LLC | N | NFA | 2009-01-31 00:00:00 | 29255080 | 15000000 | 14255080 | 0 | 0
20 | CIBC WORLD MARKETS CORP | Y | CME | 2009-01-30 00:00:00 | 1118248168 | 6733737 | 1111514431 | 0 | 0
21 | CITIGROUP GLOBAL MARKETS INC | Y | CBOT | 2009-01-31 00:00:00 | 7149522573 | 847234997 | 6302287576 | 14296484127 | 1315381351
22 | CLIFF LARSON COMPANY THE | N | NFA | 2009-01-31 00:00:00 | 2444903 | 837063 | 1607840 | 15607412 | 0
23 | COMMONWEALTH FOREIGN EXCHANGE INC | N | NFA | 2009-01-31 00:00:00 | 1049136 | 500000 | 549136 | 0 | 0
24 | COUNTRY HEDGING INC | N | NFA | 2009-01-31 00:00:00 | 15093393 | 8097690 | 6995703 | 97722304 | 135504
25 | CREDIT SUISSE SECURITIES (USA) LLC | Y | CBOT | 2009-01-31 00:00:00 | 10921087654 | 549864349 | 10371223305 | 3288676928 | 1714600915
26 | CROSSLAND LLC | N | CBOT | 2009-01-31 00:00:00 | 3146328 | 587406 | 2558922 | 24608480 | 407348
27 | CUNNINGHAM COMMODITIES LLC | N | CBOT | 2009-01-31 00:00:00 | 3063469 | 500000 | 2563469 | 14814255 | 163538
28 | CX CAPITAL MARKETS LLC | N | NFA | 2009-01-31 00:00:00 | 803967 | 500000 | 303967 | 0 | 0
29 | DAIWA SECURITIES AMERICA INC | Y | CME | 2009-01-31 00:00:00 | 226815407 | 3144487 | 223670920 | 12362179 | 1344096
30 | DEUTSCHE BANK SECURITIES INC | Y | CBOT | 2009-01-30 00:00:00 | 5901107907 | 397557425 | 5503550482 | 6430227590 | 1021151475
31 | DORMAN TRADING LLC | N | CME | 2009-01-31 00:00:00 | 7227165 | 500000 | 6727165 | 67042593 | 0
32 | EAGLE MARKET MAKERS INC | N | CBOT | 2009-01-31 00:00:00 | 4923362 | 500000 | 4423362 | 6229479 | 0
33 | EASY FOREX US LTD | N | NFA | 2009-01-31 00:00:00 | 15440303 | 15000000 | 440303 | 0 | 0
34 | ELECTRONIC BROKERAGE SYSTEMS LLC | Y | NFA | 2009-01-31 00:00:00 | 9769833 | 196773 | 9573060 | 0 | 0
35 | ENSKILDA FUTURES LTD | N | CME | 2009-01-31 00:00:00 | 22595009 | 15068638 | 7526371 | 196863372 | 0
36 | FARR FINANCIAL INC | N | NFA | 2009-01-31 00:00:00 | 969662 | 500000 | 469662 | 32204381 | 0
37 | FC STONE LLC | N | CME | 2009-01-31 00:00:00 | 52182923 | 41973735 | 10209188 | 956872659 | 7233469
38 | FOREX CAPITAL MARKETS LLC | N | NFA | 2009-01-31 00:00:00 | 98456604 | 15000000 | 83456604 | 0 | 0
39 | FOREX CLUB FINANCIAL COMPANY INC | N | NFA | 2009-01-31 00:00:00 | 22409695 | 15000000 | 7409695 | 0 | 0
40 | FORTIS CLEARING AMERICAS LLC | Y | CBOT | 2009-01-31 00:00:00 | 194407282 | 53122076 | 141285206 | 897650898 | 171084966
41 | FRIEDBERG MERCANTILE GROUP INC | N | NFA | 2009-01-31 00:00:00 | 3370857 | 500000 | 2870857 | 4742384 | 35851
42 | FRONTIER FUTURES INC | N | NFA | 2009-01-31 00:00:00 | 1255321 | 733807 | 521514 | 33773932 | 0
43 | FUTURES TECH LLC | N | NFA | 2009-01-31 00:00:00 | 828979 | 500000 | 328979 | 0 | 0
44 | FX SOLUTIONS LLC | N | NFA | 2009-01-31 00:00:00 | 43785065 | 15000000 | 28785065 | 0 | 0
45 | GAIN CAPITAL GROUP LLC | N | NFA | 2009-01-31 00:00:00 | 107390780 | 15000000 | 92390780 | 0 | 0
46 | GELBER GROUP LLC | N | CBOT | 2009-01-31 00:00:00 | 124036290 | 500000 | 123536290 | 12943451 | 0
47 | GFS FOREX & FUTURES INC | N | NFA | 2009-01-31 00:00:00 | 15957382 | 15000000 | 957382 | 0 | 0
48 | GILDER GAGNON HOWE & CO LLC | Y | NFA | 2009-01-31 00:00:00 | 12654362 | 500000 | 12154362 | 0 | 0
49 | GLOBAL FUTURES & FOREX LTD | N | NFA | 2009-01-31 00:00:00 | 76055556 | 15000000 | 61055556 | 702426 | 0
50 | GOLDMAN SACHS & CO | Y | CBOT | 2009-01-30 00:00:00 | 14020829023 | 1931569806 | 12089259217 | 20769110700 | 8323635543
51 | GOLDMAN SACHS EXECUTION & CLEARING LP | Y | CME | 2009-01-30 00:00:00 | 1748729336 | 62677421 | 1686051915 | 1341655936 | 18543324
52 | HOTSPOT FXR LLC | N | NFA | 2009-01-31 00:00:00 | 15404375 | 15000000 | 404375 | 0 | 0
53 | HSBC SECURITIES USA INC | Y | CME | 2009-01-30 00:00:00 | 1214488130 | 79878300 | 1134609830 | 1549053424 | 79881074
54 | I TRADE FX LLC | N | NFA | 2009-01-31 00:00:00 | 16081083 | 15000000 | 1081083 | 0 | 0
55 | ICAP FUTURES LLC | N | NFA | 2009-01-31 00:00:00 | 6636329 | 500000 | 6136329 | 0 | 0
56 | IG MARKETS INC | N | NFA | 2009-01-31 00:00:00 | 24132296 | 15000000 | 9132296 | 0 | 0
57 | IKON GLOBAL MARKETS INC | N | NFA | 2009-01-31 00:00:00 | 16548536 | 15000000 | 1548536 | 1857708 | 359660
58 | INSTINET LLC | Y | NFA | 2009-01-31 00:00:00 | 100070532 | 1872461 | 98198071 | 0 | 0
59 | INTEGRATED BROKERAGE SERVICES LLC | N | NFA | 2009-01-31 00:00:00 | 1849966 | 500000 | 1349966 | 242205 | 0
60 | INTERACTIVE BROKERS LLC | Y | NFA | 2009-01-31 00:00:00 | 618460008 | 38523301 | 579936707 | 221036474 | 97119440
61 | INTERBANK FX LLC | N | NFA | 2009-01-31 00:00:00 | 39945958 | 15000000 | 24945958 | 0 | 0
62 | ITG DERIVATIVES LLC | Y | NFA | 2009-01-31 00:00:00 | 1151338 | 500000 | 651338 | 0 | 0
63 | JP MORGAN CLEARING CORP | Y | CME | 2009-01-31 00:00:00 | 4684486705 | 1273132742 | 3411353963 | 1071459329 | 252117790
64 | JP MORGAN FUTURES INC | N | NYME | 2009-01-31 00:00:00 | 2209232722 | 1443967640 | 765265082 | 20026777126 | 2362801841
65 | JP MORGAN SECURITIES INC | Y | NFA | 2009-01-31 00:00:00 | 7613920913 | 592304144 | 7021616769 | 0 | 0
66 | LADENBURG THALMANN & CO INC | Y | NFA | 2009-01-31 00:00:00 | 4155321 | 500000 | 3655321 | 0 | 0
67 | LBS LIMITED PARTNERSHIP | N | NFA | 2009-01-31 00:00:00 | 785983 | 500000 | 285983 | 0 | 0
68 | LEK SECURITIES CORPORATION | Y | NFA | 2009-01-31 00:00:00 | 12445645 | 1500000 | 10945645 | 165061 | 0
69 | LIMESTONE TRADING LLC | N | NFA | 2009-01-31 00:00:00 | 7695324 | 500000 | 7195324 | 0 | 0
70 | LINN GROUP THE | N | NFA | 2009-01-31 00:00:00 | 2986846 | 500000 | 2486846 | 13849719 | 1207
71 | LPL FINANCIAL CORPORATION | Y | NFA | 2009-01-31 00:00:00 | 101506436 | 11726117 | 89780319 | 0 | 0
72 | MACQUARIE FUTURES USA INC | N | CBOT | 2009-01-31 00:00:00 | 52711788 | 26090350 | 26621438 | 458706870 | 2179854
73 | MAREX CARLTON LIMITED | N | NFA | 2009-01-31 00:00:00 | 771088 | 500000 | 271088 | 0 | 0
74 | MB TRADING FUTURES INC | N | NFA | 2009-01-31 00:00:00 | 15227957 | 15000000 | 227957 | 0 | 0
75 | MBF CLEARING CORP | N | NYME | 2009-01-31 00:00:00 | 26856991 | 2027363 | 24829628 | 88652979 | 5754517
76 | MCVEAN TRADING & INVESTMENTS LLC | N | NFA | 2009-01-31 00:00:00 | 11744460 | 1171098 | 10573362 | 654625087 | 0
77 | MERRILL LYNCH PIERCE FENNER & SMITH | Y | CBOT | 2009-01-31 00:00:00 | 5321864072 | 626198416 | 4695665656 | 9161310654 | 1299342431
78 | MERRILL LYNCH PROFESSIONAL CLEARING CORP | Y | NFA | 2009-01-31 00:00:00 | 2168499702 | 66864883 | 2101634819 | 1113561380 | 33324278
79 | MF GLOBAL INC | Y | CME | 2009-01-31 00:00:00 | 657659591 | 360555795 | 297103796 | 7577653900 | 580401952
80 | MG FINANCIAL LLC | N | NFA | 2009-01-31 00:00:00 | 5406476 | 500000 | 4906476 | 0 | 0
81 | MID CO COMMODITIES INC | N | NFA | 2009-01-31 00:00:00 | 13977381 | 2677482 | 11299899 | 27788532 | 0
82 | MITSUI BUSSAN COMMODITIES USA INC | N | NYME | 2009-01-31 00:00:00 | 7472547 | 1813339 | 5659208 | 0 | 0
83 | MIZUHO SECURITIES USA INC | Y | CME | 2009-01-30 00:00:00 | 335400295 | 72519262 | 262881033 | 625847763 | 287125761
84 | MORGAN KEEGAN & COMPANY INC | Y | NFA | 2009-01-31 00:00:00 | 332454059 | 8531806 | 323922253 | 0 | 0
85 | MORGAN STANLEY & CO INCORPORATED | Y | CME | 2009-01-31 00:00:00 | 10019707601 | 839020771 | 9180686830 | 4546198194 | 3670141598
86 | NATIXIS SECURITIES NORTH AMERICA INC | Y | NFA | 2009-01-30 00:00:00 | 209598134 | 500000 | 209098134 | 0 | 0
87 | NEUBERGER BERMAN LLC | Y | NFA | 2009-01-31 00:00:00 | 113476881 | 1500000 | 111976881 | 0 | 0
88 | NEWEDGE USA LLC | Y | NYME | 2009-01-31 00:00:00 | 2387235113 | 1665488155 | 721746958 | 21049675137 | 8074522213
89 | NOMURA SECURITIES INTERNATIONAL INC | Y | CBOT | 2009-01-30 00:00:00 | 727071685 | 1662350 | 725409335 | 0 | 0
90 | OANDA CORPORATION | N | NFA | 2009-01-31 00:00:00 | 169501514 | 15000000 | 154501514 | 0 | 0
91 | ODL SECURITIES INC | N | NFA | 2009-01-31 00:00:00 | 19572976 | 15000000 | 4572976 | 0 | 0
92 | OPEN E CRY LLC | N | NFA | 2009-01-31 00:00:00 | 2566388 | 725363 | 1841025 | 55273010 | 637465
93 | OPPENHEIMER & CO INC | Y | NFA | 2009-01-30 00:00:00 | 176462080 | 16284405 | 160177675 | 14548613 | 0
94 | OPTIONSXPRESS INC | Y | NFA | 2009-01-31 00:00:00 | 79162208 | 6624156 | 72538052 | 59277179 | 0
95 | [NAME] | N | CBOT | 2009-01-31 00:00:00 | 19637902 | 11707686 | 7930216 | 439821303 | 19495635
96 | PEREGRINE FINANCIAL GROUP INC | N | NFA | 2009-01-31 00:00:00 | 26005257 | 15000000 | 11005257 | 234253336 | 16489210
97 | PIONEER FUTURES INC | N | NYME | 2009-01-31 00:00:00 | 1400188 | 500000 | 900188 | 0 | 0
98 | PRUDENTIAL BACHE COMMODITIES LLC | N | CBOT | 2009-01-31 00:00:00 | 254424000 | 209767920 | 44656080 | 3275956000 | 342971000
99 | PUMA FINANCIAL LLC | N | NFA | 2009-01-30 00:00:00 | 1572312 | 500000 | 1072312 | 5185385 | 0
100 | RAND FINANCIAL SERVICES INC | N | CME | 2009-01-31 00:00:00 | 68887506 | 7936355 | 60951151 | 78821300 | 31426800
101 | RAYMOND JAMES & ASSOCIATES INC | Y | NFA | 2009-01-30 00:00:00 | 302013869 | 24291254 | 277722615 | 0 | 0
102 | RBC CAPITAL MARKETS CORPORATION | Y | CME | 2009-01-30 00:00:00 | 807943466 | 127825536 | 680117930 | 1102563536 | 931278417
103 | RBS GREENWICH CAPITAL INC | Y | CBOT | 2009-01-31 00:00:00 | 2307055000 | 207411000 | 2099644000 | 1497428000 | 83539000
104 | RJ OBRIEN  &  ASSOCIATES LLC | N | CME | 2009-01-31 00:00:00 | 111509133 | 55766702 | 55742431 | 1899454875 | 30624929
105 | ROBBINS FUTURES INC | N | NFA | 2009-01-31 00:00:00 | 573369 | 500000 | 73369 | 5017547 | 0
106 | ROSENTHAL COLLINS GROUP LLC | N | CME | 2009-01-31 00:00:00 | 86237076 | 28476768 | 57760308 | 975975414 | 19168925
107 | ROSENTHAL GLOBAL SECURITIES LLC | Y | NFA | 2009-01-31 00:00:00 | 62457210 | 1118410 | 61338800 | 0 | 0
108 | SANFORD C BERNSTEIN & CO LLC | Y | NFA | 2009-01-31 00:00:00 | 178498481 | 8774047 | 169724434 | 0 | 0
109 | SANTANDER INVESTMENT SECURITIES INC | Y | NFA | 2009-01-30 00:00:00 | 68322783 | 500000 | 67822783 | 0 | 0
110 | SHAY GRAIN CLEARING COMPANY | N | KCBT | 2009-01-31 00:00:00 | 2575112 | 760095 | 1815017 | 14177743 | 0
111 | SMW TRADING COMPANY INC | N | CME | 2009-01-31 00:00:00 | 18473788 | 500000 | 17973788 | 4525747 | 0
112 | STEPHENS INC | Y | NFA | 2009-01-30 00:00:00 | 73962196 | 9291064 | 64671132 | 0 | 0
113 | STERLING COMMODITIES CORP | N | NYME | 2009-01-31 00:00:00 | 8864720 | 500000 | 8364720 | 36304675 | 208782
114 | TCA FUTURES LLC | N | NFA | 2009-01-31 00:00:00 | 887973 | 500000 | 387973 | 0 | 0
115 | TD AMERITRADE INC | Y | NFA | 2009-01-31 00:00:00 | 82164924 | 500000 | 81664924 | 0 | 0
116 | TENCO INC | N | CBOT | 2009-01-31 00:00:00 | 43226992 | 7441288 | 35785704 | 148530818 | 0
117 | TERRA NOVA FINANCIAL LLC | Y | NFA | 2009-01-31 00:00:00 | 11846447 | 1500000 | 10346447 | 0 | 0
118 | TIMBER HILL LLC | Y | CME | 2009-01-31 00:00:00 | 1415400445 | 10170906 | 1405229539 | 166520307 | 0
119 | TOWER RESEARCH CAPITAL EUROPE LLC | N | NFA | 2009-01-31 00:00:00 | 2149679 | 500000 | 1649679 | 0 | 0
120 | TRADELINK LLC | Y | CBOT | 2009-01-31 00:00:00 | 28722867 | 500000 | 28222867 | 0 | 0
121 | TRADESTATION SECURITIES INC | Y | NFA | 2009-01-31 00:00:00 | 93640592 | 1031494 | 92609098 | 0 | 0
122 | TRADITION SECURITIES AND FUTURES INC | N | NFA | 2009-01-31 00:00:00 | 827817 | 500000 | 327817 | 0 | 0
123 | TRANSMARKET GROUP LLC | Y | CBOT | 2009-01-31 00:00:00 | 17382622 | 500000 | 16882622 | 0 | 0
124 | TRILAND USA INC | N | NYME | 2009-01-31 00:00:00 | 47800892 | 12160030 | 35640862 | 161591608 | 1267388
125 | UBS FINANCIAL SERVICES INC | Y | NFA | 2009-01-31 00:00:00 | 956893164 | 89811031 | 867082133 | 198568557 | 19095
126 | UBS SECURITIES LLC | Y | CBOT | 2009-01-30 00:00:00 | 14213255815 | 1038806872 | 13174448943 | 14068441213 | 5560965138
127 | VELOCITY FUTURES LLC | N | NFA | 2009-01-31 00:00:00 | 1078989 | 500000 | 578989 | 35737108 | 847780
128 | VISION FINANCIAL MARKETS LLC | Y | CME | 2009-01-31 00:00:00 | 22694381 | 5142797 | 17551584 | 237634009 | 676898
129 | WACHOVIA CAPITAL MARKETS LLC | Y | CME | 2009-01-31 00:00:00 | 1830863930 | 1000000 | 1829863930 | 0 | 0
130 | WACHOVIA SECURITIES FINANCIAL NETWORK LLC | Y | NFA | 2009-01-31 00:00:00 | 34216577 | 2529625 | 31686952 | 0 | 0
131 | WACHOVIA SECURITIES LLC | Y | NFA | 2009-01-31 00:00:00 | 603917814 | 20809011 | 583108803 | 0 | 0
132 | WHITE COMMERCIAL CORPORATION | N | NFA | 2009-01-31 00:00:00 | 2131515 | 500000 | 1631515 | 0 | 0
133 | WSD FINANCIAL USA INC | N | NFA | 2009-01-31 00:00:00 | 1281341 | 500000 | 781341 | 0 | 0
134 | YORK BUSINESS ASSOCIATES LLC | N | NFA | 2009-01-31 00:00:00 | 1125449 | 500000 | 625449 | 42671138 | 1340459
 | TOTAL |  |  |  |  |  |  | 153609844222 | 39813712062
 | December Web Page Update | 134
 | Additions | 2
 | BGC FINANCIAL LP
 | CX CAPITAL MARKETS LLC
 | Deletions | 2
 | DUNAVANT COMMODITY CORP
 | GATEWAY CAPITAL L.L.C.
 | Name Change
 | From VELOCITY FUTURES LP TO VELOCITY FUTURES LLC
 | January 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]