Spreadsheet: 0b964b96-3a63-43f8-8a2e-7496e5f9ae04
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 | 2009-03-31 00:00:00 | 14815167 | 500000 | 14315167 | 0 | 0
2 | ACM USA LLC | N | NFA | 2009-03-31 00:00:00 | 599981 | 500000 | 99981 | 0 | 0
3 | ADM INVESTOR SERVICES INC | N | CBOT | 2009-03-31 00:00:00 | 153734315 | 77876280 | 75858035 | 1962262631 | 94435776
4 | ADVANCED MARKETS LLC | N | NFA | 2009-03-31 00:00:00 | 19686578 | 15000000 | 4686578 | 0 | 0
5 | ADVANTAGE FUTURES LLC | N | CME | 2009-03-31 00:00:00 | 16090756 | 4044612 | 12046144 | 198704672 | 17210766
6 | AIG CLEARING CORPORATION | N | NYME | 2009-03-31 00:00:00 | 223722629 | 11952117 | 211770512 | 0 | 0
7 | ALARON TRADING CORPORATION | N | NFA | 2009-03-31 00:00:00 | 1888604 | 500000 | 1388604 | 0 | 0
8 | ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC * | Y | NFA | 2009-03-31 00:00:00 | 23585672 | 5484657 | 18101015 | 0 | 0
9 | [NAME] (US) LLC | N | NFA | 2009-03-31 00:00:00 | 16557445 | 15000000 | 1557445 | 0 | 0
10 | AMERIPRISE ADVISOR SERVICES INC | Y | NFA | 2009-03-31 00:00:00 | 83751844 | 4975760 | 78776084 | 0 | 0
11 | BANC OF AMERICA SECURITIES LLC | Y | CME | 2009-03-31 00:00:00 | 2762961625 | 108951391 | 2654010234 | 747726776 | 5390419
12 | BARCLAYS CAPITAL INC | Y | NYME | 2009-03-31 00:00:00 | 5324720085 | 500000000 | 4824720085 | 5628658210 | 2768852079
13 | BGC FINANCIAL LP | Y | NFA | 2009-03-31 00:00:00 | 63078626 | 500000 | 62578626 | 0 | 0
14 | BNP PARIBAS COMMODITY FUTURES INC | N | NYME | 2009-03-31 00:00:00 | 321931950 | 218474963 | 103456987 | 2626080722 | 529856537
15 | BNP PARIBAS SECURITIES CORP | Y | CBOT | 2009-03-31 00:00:00 | 1488159530 | 56253461 | 1431906069 | 261622700 | 0
16 | CADENT FINANCIAL SERVICES LLC | N | CME | 2009-03-31 00:00:00 | 4942965 | 3784108 | 1158857 | 169189948 | 1566811
17 | CANTOR FITZGERALD & CO | Y | CBOT | 2009-03-31 00:00:00 | 235419556 | 2844363 | 232575193 | 21925372 | 0
18 | CAPITAL MARKET SERVICES LLC | N | NFA | 2009-03-31 00:00:00 | 29360737 | 15000000 | 14360737 | 0 | 0
19 | CIBC WORLD MARKETS CORP | Y | CME | 2009-03-31 00:00:00 | 1099070902 | 4911180 | 1094159722 | 0 | 0
20 | CITIGROUP GLOBAL MARKETS INC | Y | CBOT | 2009-03-31 00:00:00 | 8450561090 | 790361786 | 7660199304 | 14009036057 | 1173206816
21 | CLIFF LARSON COMPANY THE | N | NFA | 2009-03-31 00:00:00 | 913372 | 500000 | 413372 | 0 | 0
22 | COMMONWEALTH FOREIGN EXCHANGE INC | N | NFA | 2009-03-31 00:00:00 | 942550 | 500000 | 442550 | 0 | 0
23 | COUNTRY HEDGING INC | N | NFA | 2009-03-31 00:00:00 | 14710386 | 8055633 | 6654753 | 78249754 | 132962
24 | CREDIT SUISSE SECURITIES (USA) LLC | Y | CBOT | 2009-03-31 00:00:00 | 10765295571 | 574397314 | 10190898257 | 2886809125 | 1295761631
25 | CROSSLAND LLC | N | CBOT | 2009-03-31 00:00:00 | 3503861 | 2809191 | 694670 | 36424928 | 23114079
26 | CUNNINGHAM COMMODITIES LLC | N | CBOT | 2009-03-31 00:00:00 | 3428557 | 500000 | 2928557 | 15663173 | 105160
27 | CX CAPITAL MARKETS LLC | N | NFA | 2009-03-31 00:00:00 | 773405 | 500000 | 273405 | 0 | 0
28 | DAIWA SECURITIES AMERICA INC | Y | CME | 2009-03-31 00:00:00 | 248248217 | 1039242 | 247208975 | 10116339 | 2995955
29 | DEUTSCHE BANK SECURITIES INC | Y | CBOT | 2009-03-31 00:00:00 | 5995163679 | 436175773 | 5558987906 | 7431657243 | 1064806482
30 | DORMAN TRADING LLC | N | CME | 2009-03-31 00:00:00 | 7964086 | 500000 | 7464086 | 69222371 | 0
31 | EAGLE MARKET MAKERS INC | N | CBOT | 2009-03-31 00:00:00 | 5394366 | 500000 | 4894366 | 4300944 | 0
32 | EASY FOREX US LTD | N | NFA | 2009-03-31 00:00:00 | 15552903 | 15000000 | 552903 | 0 | 0
33 | ELECTRONIC BROKERAGE SYSTEMS LLC | Y | NFA | 2009-03-31 00:00:00 | 9533290 | 613845 | 8919445 | 0 | 0
34 | ENSKILDA FUTURES LTD | N | CME | 2009-03-31 00:00:00 | 22646686 | 10222864 | 12423822 | 164601186 | 0
35 | FARR FINANCIAL INC | N | NFA | 2009-03-31 00:00:00 | 1171014 | 500000 | 671014 | 31152520 | 40127
36 | FCSTONE LLC | N | CME | 2009-03-31 00:00:00 | 54962785 | 36458834 | 18503951 | 743251432 | 9122047
37 | FOREX CAPITAL MARKETS LLC | N | NFA | 2009-03-31 00:00:00 | 113463235 | 15000000 | 98463235 | 0 | 0
38 | FOREX CLUB FINANCIAL COMPANY INC | N | NFA | 2009-03-31 00:00:00 | 21354665 | 15000000 | 6354665 | 0 | 0
39 | FORTIS CLEARING AMERICAS LLC | Y | CBOT | 2009-03-31 00:00:00 | 172975607 | 58974253 | 114001354 | 873080651 | 134774710
40 | FRIEDBERG MERCANTILE GROUP INC | N | NFA | 2009-03-31 00:00:00 | 3320404 | 500000 | 2820404 | 3713376 | 0
41 | FRONTIER FUTURES INC | N | NFA | 2009-03-31 00:00:00 | 1184755 | 673240 | 511515 | 26512672 | 0
42 | FUTURES TECH LLC | N | NFA | 2009-03-31 00:00:00 | 852608 | 500000 | 352608 | 0 | 0
43 | FX SOLUTIONS LLC | N | NFA | 2009-03-31 00:00:00 | 45032136 | 15000000 | 30032136 | 0 | 0
44 | GAIN CAPITAL GROUP LLC | N | NFA | 2009-03-31 00:00:00 | 95879571 | 15000000 | 80879571 | 0 | 0
45 | GELBER GROUP LLC | N | CBOT | 2009-03-31 00:00:00 | 60530348 | 500000 | 60030348 | 11828621 | 25449
46 | GFS FOREX & FUTURES INC | N | NFA | 2009-03-31 00:00:00 | 16302553 | 15000000 | 1302553 | 0 | 0
47 | GILDER GAGNON HOWE & CO LLC | Y | NFA | 2009-03-31 00:00:00 | 14741578 | 500000 | 14241578 | 0 | 0
48 | GLOBAL FUTURES & FOREX LTD | N | NFA | 2009-03-31 00:00:00 | 87169664 | 15000000 | 72169664 | 746597 | 246189
49 | GOLDMAN SACHS & CO | Y | CBOT | 2009-03-27 00:00:00 | 14457744112 | 1981468396 | 12476275716 | 19727675588 | 8017707304
50 | GOLDMAN SACHS EXECUTION & CLEARING LP | Y | CME | 2009-03-27 00:00:00 | 2014101477 | 78059577 | 1936041900 | 1401278960 | 35327840
51 | HOTSPOT FXR LLC | N | NFA | 2009-03-31 00:00:00 | 15295157 | 500000 | 14795157 | 0 | 0
52 | HSBC SECURITIES USA INC | Y | CME | 2009-03-31 00:00:00 | 1293607300 | 74085816 | 1219521484 | 1342675313 | 75876463
53 | I TRADE FX LLC | N | NFA | 2009-03-31 00:00:00 | 16480444 | 15000000 | 1480444 | 0 | 0
54 | ICAP FUTURES LLC | N | NFA | 2009-03-31 00:00:00 | 6120878 | 500000 | 5620878 | 0 | 0
55 | IG MARKETS INC | N | NFA | 2009-03-31 00:00:00 | 23796135 | 15000000 | 8796135 | 0 | 0
56 | IKON GLOBAL MARKETS INC | N | NFA | 2009-03-31 00:00:00 | 16423228 | 15000000 | 1423228 | 4333272 | 251666
57 | INSTINET LLC | Y | NFA | 2009-03-31 00:00:00 | 111847514 | 1500000 | 110347514 | 0 | 0
58 | INTEGRATED BROKERAGE SERVICES LLC | N | NFA | 2009-03-31 00:00:00 | 1951729 | 500000 | 1451729 | 152145 | 0
59 | INTERACTIVE BROKERS LLC | Y | NFA | 2009-03-31 00:00:00 | 645225474 | 45541742 | 599683732 | 307646416 | 102693162
60 | INTERBANK FX LLC | N | NFA | 2009-03-31 00:00:00 | 38393728 | 15000000 | 23393728 | 0 | 0
61 | ITG DERIVATIVES LLC | Y | NFA | 2009-03-31 00:00:00 | 2428309 | 500000 | 1928309 | 0 | 0
62 | JP MORGAN CLEARING CORP | Y | CME | 2009-03-31 00:00:00 | 4860608177 | 1375229082 | 3485379095 | 987314024 | 201745954
63 | JP MORGAN FUTURES INC | N | NYME | 2009-03-31 00:00:00 | 2225499633 | 1284768478 | 940731155 | 17595289333 | 2656433577
64 | JP MORGAN SECURITIES INC | Y | NFA | 2009-03-31 00:00:00 | 8524931270 | 578586960 | 7946344310 | 0 | 0
65 | LADENBURG THALMANN & CO INC | Y | NFA | 2009-03-31 00:00:00 | 2147722 | 500000 | 1647722 | 0 | 0
66 | LEK SECURITIES CORPORATION | Y | NFA | 2009-03-31 00:00:00 | 13044652 | 1500000 | 11544652 | 617466 | 0
67 | LIMESTONE TRADING LLC | N | NFA | 2009-03-31 00:00:00 | 11668969 | 500000 | 11168969 | 0 | 0
68 | LINN GROUP THE | N | NFA | 2009-03-31 00:00:00 | 2792071 | 500000 | 2292071 | 28057702 | 0
69 | LPL FINANCIAL CORPORATION | Y | NFA | 2009-03-31 00:00:00 | 108479046 | 5546665 | 102932381 | 0 | 0
70 | MACQUARIE FUTURES USA INC | N | CBOT | 2009-03-31 00:00:00 | 54731576 | 24389522 | 30342054 | 358977179 | 2553804
71 | MAREX USA LIMITED | N | NFA | 2009-03-31 00:00:00 | 939681 | 500000 | 439681 | 0 | 0
72 | MB TRADING FUTURES INC | N | NFA | 2009-03-31 00:00:00 | 17031724 | 15000000 | 2031724 | 0 | 0
73 | MBF CLEARING CORP | N | NYME | 2009-03-31 00:00:00 | 27419840 | 2024569 | 25395271 | 82207182 | 9334580
74 | MCVEAN TRADING & INVESTMENTS LLC | N | NFA | 2009-03-31 00:00:00 | 6812025 | 1697535 | 5114490 | 568985915 | 0
75 | MERRILL LYNCH PIERCE FENNER & SMITH | Y | CBOT | 2009-03-31 00:00:00 | 4355564263 | 564665415 | 3790898848 | 9021084008 | 1481093968
76 | MERRILL LYNCH PROFESSIONAL CLEARING CORP | Y | NFA | 2009-03-31 00:00:00 | 1605604692 | 58993471 | 1546611221 | 629513290 | 34399003
77 | MF GLOBAL INC | Y | CME | 2009-03-31 00:00:00 | 602127075 | 359922128 | 242204947 | 7507230034 | 517906127
78 | MG FINANCIAL LLC | N | NFA | 2009-03-31 00:00:00 | 5309891 | 500000 | 4809891 | 0 | 0
79 | MID CO COMMODITIES INC | N | NFA | 2009-03-31 00:00:00 | 11116720 | 2665849 | 8450871 | 19674395 | 0
80 | MITSUI BUSSAN COMMODITIES USA INC | N | NYME | 2009-03-31 00:00:00 | 7346550 | 1598283 | 5748267 | 0 | 0
81 | MIZUHO SECURITIES USA INC | Y | CME | 2009-03-31 00:00:00 | 356837540 | 56169720 | 300667820 | 713839063 | 274915378
82 | MORGAN KEEGAN & COMPANY INC | Y | NFA | 2009-03-31 00:00:00 | 324460668 | 9411257 | 315049411 | 0 | 0
83 | MORGAN STANLEY & CO INCORPORATED | Y | CME | 2009-03-31 00:00:00 | 11505129884 | 830384067 | 10674745817 | 4643751173 | 4016400300
84 | NATIXIS SECURITIES NORTH AMERICA INC | Y | NFA | 2009-03-31 00:00:00 | 197865174 | 500000 | 197365174 | 0 | 0
85 | NEUBERGER BERMAN LLC | Y | NFA | 2009-03-31 00:00:00 | 111231245 | 1500000 | 109731245 | 0 | 0
86 | NEWEDGE USA LLC | Y | NYME | 2009-03-31 00:00:00 | 2415830925 | 1588015498 | 827815427 | 19344497856 | 7812625171
87 | NOMURA SECURITIES INTERNATIONAL INC | Y | CBOT | 2009-03-31 00:00:00 | 756765883 | 1000000 | 755765883 | 0 | 0
88 | OANDA CORPORATION | N | NFA | 2009-03-31 00:00:00 | 161723117 | 15000000 | 146723117 | 0 | 0
89 | ODL SECURITIES INC | N | NFA | 2009-03-31 00:00:00 | 19002388 | 15000000 | 4002388 | 0 | 0
90 | OPEN E CRY LLC | N | NFA | 2009-03-31 00:00:00 | 2679292 | 656204 | 2023088 | 56396442 | 609493
91 | OPPENHEIMER & CO INC | Y | NFA | 2009-03-31 00:00:00 | 185001227 | 15546406 | 169454821 | 14188314 | 0
92 | OPTIONSXPRESS INC | Y | NFA | 2009-03-31 00:00:00 | 70889953 | 4659852 | 66230101 | 48797794 | 332062
93 | [NAME] | N | CBOT | 2009-03-31 00:00:00 | 19754621 | 13617797 | 6136824 | 442040922 | 39640234
94 | PEREGRINE FINANCIAL GROUP INC | N | NFA | 2009-03-31 00:00:00 | 30444366 | 15000000 | 15444366 | 220272899 | 16911653
95 | PIONEER FUTURES INC | N | NYME | 2009-03-31 00:00:00 | 1813633 | 500000 | 1313633 | 0 | 0
96 | PRUDENTIAL BACHE COMMODITIES LLC | N | CBOT | 2009-03-31 00:00:00 | 241848000 | 183373880 | 58474120 | 3017180000 | 303390000
97 | PUMA FINANCIAL LLC | N | NFA | 2009-03-31 00:00:00 | 1593305 | 500000 | 1093305 | 5015418 | 0
98 | RAND FINANCIAL SERVICES INC | N | CME | 2009-03-31 00:00:00 | 60323166 | 7792085 | 52531081 | 78998600 | 23032700
99 | RAYMOND JAMES & ASSOCIATES INC | Y | NFA | 2009-03-31 00:00:00 | 303968849 | 22997509 | 280971340 | 0 | 0
100 | RBC CAPITAL MARKETS CORPORATION | Y | CME | 2009-03-31 00:00:00 | 1210628810 | 118434954 | 1092193856 | 1767383423 | 658148069
101 | RBS GREENWICH CAPITAL INC | Y | CBOT | 2009-03-31 00:00:00 | 2432138000 | 185299000 | 2246839000 | 1576414000 | 179712000
102 | RJ OBRIEN  &  ASSOCIATES LLC | N | CME | 2009-03-31 00:00:00 | 105035623 | 57482900 | 47552723 | 1864752232 | 28532616
103 | ROBBINS FUTURES INC | N | NFA | 2009-03-31 00:00:00 | 590598 | 500000 | 90598 | 4135797 | 0
104 | ROSENTHAL COLLINS GROUP LLC | N | CME | 2009-03-31 00:00:00 | 73154591 | 30596852 | 42557739 | 1052772340 | 21507367
105 | ROSENTHAL GLOBAL SECURITIES LLC | Y | NFA | 2009-03-31 00:00:00 | 37945249 | 1297812 | 36647437 | 0 | 0
106 | SANFORD C BERNSTEIN & CO LLC | Y | NFA | 2009-03-31 00:00:00 | 153543823 | 7727530 | 145816293 | 0 | 0
107 | SANTANDER INVESTMENT SECURITIES INC | Y | NFA | 2009-03-31 00:00:00 | 67669008 | 500000 | 67169008 | 0 | 0
108 | SHAY GRAIN CLEARING COMPANY | N | KCBT | 2009-03-31 00:00:00 | 2567677 | 715988 | 1851689 | 8243493 | 0
109 | SMW TRADING COMPANY INC | N | CME | 2009-03-31 00:00:00 | 31305393 | 500000 | 30805393 | 5185190 | 0
110 | STEPHENS INC | Y | NFA | 2009-03-27 00:00:00 | 69285534 | 8892683 | 60392851 | 0 | 0
111 | STERLING COMMODITIES CORP | N | NYME | 2009-03-31 00:00:00 | 8669207 | 640514 | 8028693 | 38445339 | 620976
112 | TCA FUTURES LLC | N | NFA | 2009-03-31 00:00:00 | 850907 | 500000 | 350907 | 0 | 0
113 | TD AMERITRADE INC | Y | NFA | 2009-03-31 00:00:00 | 113741776 | 500000 | 113241776 | 0 | 0
114 | TENCO INC | N | CBOT | 2009-03-31 00:00:00 | 44183195 | 6751191 | 37432004 | 123120035 | 0
115 | TERRA NOVA FINANCIAL LLC | Y | NFA | 2009-03-31 00:00:00 | 12190454 | 1500000 | 10690454 | 0 | 0
116 | TIMBER HILL LLC | Y | CME | 2009-03-31 00:00:00 | 1319097402 | 16067867 | 1303029535 | 209766046 | 0
117 | TOWER RESEARCH CAPITAL EUROPE LLC | N | NFA | 2009-03-31 00:00:00 | 3191852 | 500000 | 2691852 | 0 | 0
118 | TRADELINK LLC | Y | CBOT | 2009-03-31 00:00:00 | 30978748 | 500000 | 30478748 | 0 | 0
119 | TRADESTATION SECURITIES INC | Y | NFA | 2009-03-31 00:00:00 | 94354382 | 970192 | 93384190 | 0 | 0
120 | TRADITION SECURITIES AND FUTURES INC | N | NFA | 2009-03-31 00:00:00 | 822528 | 500000 | 322528 | 0 | 0
121 | TRANSMARKET GROUP LLC | Y | CBOT | 2009-03-31 00:00:00 | 12384214 | 500000 | 11884214 | 0 | 0
122 | TRILAND USA INC | N | NYME | 2009-03-31 00:00:00 | 46099414 | 11387729 | 34711685 | 163137079 | 17918580
123 | UBS FINANCIAL SERVICES INC | Y | NFA | 2009-03-31 00:00:00 | 1477831583 | 85704022 | 1392127561 | 189914740 | 1284597
124 | UBS SECURITIES LLC | Y | CBOT | 2009-03-31 00:00:00 | 15135202407 | 978849675 | 14156352732 | 12822336838 | 5350581518
125 | VELOCITY FUTURES LLC | N | NFA | 2009-03-31 00:00:00 | 1133707 | 500000 | 633707 | 38930696 | 1010016
126 | VISION FINANCIAL MARKETS LLC | Y | CME | 2009-03-31 00:00:00 | 21431827 | 4795874 | 16635953 | 235176240 | 979368
127 | WACHOVIA CAPITAL MARKETS LLC | Y | CME | 2009-03-31 00:00:00 | 1866518568 | 1000000 | 1865518568 | 0 | 0
128 | WACHOVIA SECURITIES FINANCIAL NETWORK LLC | Y | NFA | 2009-03-31 00:00:00 | 29646209 | 1316068 | 28330141 | 0 | 0
129 | WACHOVIA SECURITIES LLC | Y | NFA | 2009-03-31 00:00:00 | 383438944 | 4799271 | 378639673 | 0 | 0
130 | WHITE COMMERCIAL CORPORATION | N | NFA | 2009-03-31 00:00:00 | 2181631 | 500000 | 1681631 | 0 | 0
131 | WSD FINANCIAL USA INC | N | NFA | 2009-03-31 00:00:00 | 1273516 | 500000 | 773516 | 0 | 0
132 | YORK BUSINESS ASSOCIATES LLC | N | NFA | 2009-03-31 00:00:00 | 1067858 | 500000 | 567858 | 42657025 | 1316926
 | Total |  |  |  |  |  |  | 146322599236 | 39006436467
 | February Web Page Update | 132
 | Additions | 0
 | Deletions | 0
 | Name Change
 | From  Marex Carlton Limited to  Marex USA Limited
 | March 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);
 | (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].