Spreadsheet: 2d870db8-7e17-47c7-a761-05a59878d06a
Sheet: Sheet1

Unnamed: 0 | Unnamed: 1 | B/D? | DSRO | A/O | Adjusted | Net Capital | Excess | Customers' | Customer | Unnamed: 10 | Unnamed: 11 | Unnamed: 12 | Unnamed: 13 | Unnamed: 14 | Unnamed: 15 | Unnamed: 16 | Unnamed: 17
 | 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 | 2009-05-31 00:00:00 | 8925339 | 500000 | 8425339 | 0 | 0
2 | ACM USA LLC | N | NFA | 2009-05-31 00:00:00 | 783708 | 500000 | 283708 | 0 | 0
3 | ADM INVESTOR SERVICES INC | N | CBOT | 2009-05-31 00:00:00 | 154751903 | 86580017 | 68171886 | 2042868872 | 63267381
4 | ADVANCED MARKETS LLC | N | NFA | 2009-05-31 00:00:00 | 20722551 | 20000000 | 722551 | 0 | 0
5 | ADVANTAGE FUTURES LLC | N | CME | 2009-05-29 00:00:00 | 15022310 | 6065108 | 8957202 | 207152729 | 19915567
6 | AIG CLEARING CORPORATION | N | NYME | 2009-05-31 00:00:00 | 203070172 | 1106944 | 201963228 | 0 | 0
7 | ALARON TRADING CORPORATION | N | NFA | 2009-05-31 00:00:00 | 1221287 | 500000 | 721287 | 0 | 0
8 | ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC * | Y | NFA | 03/31/2009 | 23585672 | 5484657 | 18101015 | 0 | 0
9 | [NAME] (US) LLC | N | NFA | 2009-05-31 00:00:00 | 22312195 | 20000000 | 2312195 | 0 | 0
10 | AMERIPRISE ADVISOR SERVICES INC | Y | NFA | 2009-05-31 00:00:00 | 83376315 | 5559875 | 77816440 | 0 | 0
11 | BANC OF AMERICA SECURITIES LLC | Y | CME | 2009-05-29 00:00:00 | 2977644479 | 65378832 | 2912265647 | 0 | 0
12 | BARCLAYS CAPITAL INC | Y | NYME | 2009-05-31 00:00:00 | 5253292694 | 514842467 | 4738450227 | 4712299784 | 1857092322
13 | BGC FINANCIAL LP | Y | NFA | 2009-05-31 00:00:00 | 58994624 | 500000 | 58494624 | 0 | 0
14 | BNP PARIBAS COMMODITY FUTURES INC | N | NYME | 2009-05-29 00:00:00 | 284707523 | 229973534 | 54733989 | 2254852062 | 527043378
15 | BNP PARIBAS SECURITIES CORP | Y | CBOT | 2009-05-31 00:00:00 | 1341786177 | 48812840 | 1292973337 | 225156175 | 0
16 | CADENT FINANCIAL SERVICES LLC | N | CME | 2009-05-31 00:00:00 | 4065233 | 3749802 | 315431 | 162821009 | 1246042
17 | CANTOR FITZGERALD & CO | Y | CBOT | 2009-05-31 00:00:00 | 241898828 | 7096915 | 234801913 | 14854308 | 0
18 | CAPITAL MARKET SERVICES LLC | N | NFA | 2009-05-31 00:00:00 | 29788506 | 20000000 | 9788506 | 0 | 0
19 | CIBC WORLD MARKETS CORP | Y | CME | 2009-05-29 00:00:00 | 1194278819 | 11005352 | 1183273467 | 0 | 0
20 | CITIGROUP GLOBAL MARKETS INC | Y | CBOT | 2009-05-29 00:00:00 | 6620694300 | 792401778 | 5828292522 | 13464312444 | 540081859
21 | COMMONWEALTH FOREIGN EXCHANGE INC | N | NFA | 2009-05-31 00:00:00 | 814760 | 500000 | 314760 | 0 | 0
22 | COUNTRY HEDGING INC | N | NFA | 2009-05-31 00:00:00 | 14301081 | 8691474 | 5609607 | 95167927 | 149040
23 | CREDIT SUISSE SECURITIES (USA) LLC | Y | CBOT | 2009-05-31 00:00:00 | 13765245488 | 591068687 | 13174176801 | 3483300376 | 1699518217
24 | CROSSLAND LLC | N | CBOT | 2009-05-31 00:00:00 | 3737854 | 2886382 | 851472 | 41145761 | 22293606
25 | CUNNINGHAM COMMODITIES LLC | N | CBOT | 2009-05-31 00:00:00 | 3548604 | 501441 | 3047163 | 29195744 | 55441
26 | CX CAPITAL MARKETS LLC | N | NFA | 2009-05-31 00:00:00 | 812707 | 500000 | 312707 | 3786284 | 0
27 | DAIWA SECURITIES AMERICA INC | Y | CME | 2009-05-31 00:00:00 | 241063400 | 1670205 | 239393195 | 19572692 | 96851
28 | DEUTSCHE BANK SECURITIES INC | Y | CBOT | 2009-05-29 00:00:00 | 6808268129 | 430139594 | 6378128535 | 9389985667 | 869245430
29 | DORMAN TRADING LLC | N | CME | 2009-05-31 00:00:00 | 7990678 | 837014 | 7153664 | 81781105 | 0
30 | EAGLE MARKET MAKERS INC | N | CBOT | 2009-05-31 00:00:00 | 6272630 | 500000 | 5772630 | 2494397 | 0
31 | EASY FOREX US LTD | N | NFA | 2009-05-31 00:00:00 | 20928968 | 20000000 | 928968 | 0 | 0
32 | ELECTRONIC BROKERAGE SYSTEMS LLC | Y | NFA | 2009-05-31 00:00:00 | 7090657 | 674971 | 6415686 | 0 | 0
33 | ENSKILDA FUTURES LTD | N | CME | 2009-05-31 00:00:00 | 25779268 | 10678963 | 15100305 | 242635959 | 0
34 | FARR FINANCIAL INC | N | NFA | 2009-05-31 00:00:00 | 904856 | 546491 | 358365 | 33049998 | 45747
35 | FCSTONE LLC | N | CME | 2009-05-31 00:00:00 | 59481852 | 41135485 | 18346367 | 822251284 | 7582884
36 | FOREX CAPITAL MARKETS LLC | N | NFA | 2009-05-31 00:00:00 | 63999806 | 20000000 | 43999806 | 0 | 0
37 | FOREX CLUB FINANCIAL COMPANY INC | N | NFA | 2009-05-31 00:00:00 | 25427601 | 20000000 | 5427601 | 0 | 0
38 | FORTIS CLEARING AMERICAS LLC | Y | CBOT | 2009-05-31 00:00:00 | 185299415 | 65022468 | 120276947 | 1024043181 | 110317884
39 | FRIEDBERG MERCANTILE GROUP INC | N | NFA | 2009-05-29 00:00:00 | 3358273 | 500000 | 2858273 | 3732913 | 0
40 | FRONTIER FUTURES INC | N | NFA | 2009-05-31 00:00:00 | 1088860 | 776188 | 312672 | 25300277 | 0
41 | FUTURES TECH LLC | N | NFA | 2009-05-31 00:00:00 | 827038 | 500000 | 327038 | 0 | 0
42 | FX SOLUTIONS LLC | N | NFA | 2009-05-31 00:00:00 | 48262204 | 20000000 | 28262204 | 0 | 0
43 | GAIN CAPITAL GROUP LLC | N | NFA | 2009-05-31 00:00:00 | 98125651 | 20000000 | 78125651 | 0 | 0
44 | GFS FOREX & FUTURES INC | N | NFA | 2009-05-31 00:00:00 | 4275656 | 500000 | 3775656 | 0 | 0
45 | GILDER GAGNON HOWE & CO LLC | Y | NFA | 2009-05-31 00:00:00 | 15832999 | 500000 | 15332999 | 0 | 0
46 | GLOBAL FUTURES & FOREX LTD | N | NFA | 2009-05-31 00:00:00 | 79368858 | 20000000 | 59368858 | 813521 | 203940
47 | GOLDMAN SACHS & CO | Y | CBOT | 2009-05-29 00:00:00 | 14305722863 | 1727398559 | 12578324304 | 19060153173 | 7796473215
48 | GOLDMAN SACHS EXECUTION & CLEARING LP | Y | CME | 2009-05-29 00:00:00 | 1888916530 | 101578029 | 1787338501 | 1059834908 | 15723552
49 | HOTSPOT FXR LLC | N | NFA | 2009-05-31 00:00:00 | 5948244 | 500000 | 5448244 | 0 | 0
50 | HSBC SECURITIES USA INC | Y | CME | 2009-05-29 00:00:00 | 1418027182 | 79879562 | 1338147620 | 1069046089 | 97524231
51 | I TRADE FX LLC | N | NFA | 2009-05-31 00:00:00 | 15189231 | 500000 | 14689231 | 0 | 0
52 | ICAP FUTURES LLC | N | NFA | 2009-05-29 00:00:00 | 4795639 | 500000 | 4295639 | 0 | 0
53 | IG MARKETS INC | N | NFA | 2009-05-31 00:00:00 | 31489024 | 20000000 | 11489024 | 0 | 0
54 | IKON GLOBAL MARKETS INC | N | NFA | 2009-05-31 00:00:00 | 21247886 | 20000000 | 1247886 | 1824658 | 443118
55 | INSTINET LLC | Y | NFA | 2009-05-31 00:00:00 | 115092101 | 1554076 | 113538025 | 0 | 0
56 | INTEGRATED BROKERAGE SERVICES LLC | N | NFA | 2009-05-31 00:00:00 | 1955339 | 500000 | 1455339 | 0 | 0
57 | INTERACTIVE BROKERS LLC | Y | NFA | 2009-05-31 00:00:00 | 691880346 | 60355771 | 631524575 | 354195979 | 93600908
58 | INTERBANK FX LLC | N | NFA | 2009-05-31 00:00:00 | 35611164 | 20000000 | 15611164 | 0 | 0
59 | ITG DERIVATIVES LLC | Y | NFA | 2009-05-31 00:00:00 | 2639778 | 500000 | 2139778 | 0 | 0
60 | JP MORGAN CLEARING CORP | Y | CME | 2009-05-31 00:00:00 | 4833699167 | 1432037614 | 3401661553 | 743370031 | 217696593
61 | JP MORGAN FUTURES INC | N | NYME | 2009-05-31 00:00:00 | 2179674037 | 1233011650 | 946662387 | 16619550157 | 2275509482
62 | JP MORGAN SECURITIES INC | Y | NFA | 2009-05-31 00:00:00 | 7106389712 | 577123239 | 6529266473 | 0 | 0
63 | LADENBURG THALMANN & CO INC | Y | NFA | 2009-05-31 00:00:00 | 2447700 | 500000 | 1947700 | 0 | 0
64 | LEK SECURITIES CORPORATION | Y | NFA | 2009-05-29 00:00:00 | 13320067 | 1500000 | 11820067 | 667319 | 0
65 | LIMESTONE TRADING LLC | N | NFA | 2009-05-31 00:00:00 | 15852483 | 500000 | 15352483 | 0 | 0
66 | LINN GROUP THE | N | NFA | 2009-05-31 00:00:00 | 2225217 | 500000 | 1725217 | 30296449 | 59859
67 | LPL FINANCIAL CORPORATION | Y | NFA | 2009-05-31 00:00:00 | 112163056 | 6102677 | 106060379 | 0 | 0
68 | MACQUARIE FUTURES USA INC | N | CBOT | 2009-05-31 00:00:00 | 46723028 | 29041095 | 17681933 | 522640774 | 2005837
69 | MAREX USA LIMITED | N | NFA | 2009-05-31 00:00:00 | 1008033 | 500000 | 508033 | 0 | 0
70 | MB TRADING FUTURES INC | N | NFA | 2009-05-31 00:00:00 | 21360551 | 20000000 | 1360551 | 0 | 0
71 | MBF CLEARING CORP | N | NYME | 2009-05-31 00:00:00 | 24939899 | 2974916 | 21964983 | 94090463 | 8068620
72 | MCVEAN TRADING & INVESTMENTS LLC | N | NFA | 2009-05-31 00:00:00 | 7639193 | 2774331 | 4864862 | 567081852 | 0
73 | MERRILL LYNCH PIERCE FENNER & SMITH | Y | CBOT | 2009-05-31 00:00:00 | 4949911950 | 634150291 | 4315761659 | 9233005825 | 1300435468
74 | MERRILL LYNCH PROFESSIONAL CLEARING CORP | Y | NFA | 2009-05-31 00:00:00 | 1454725590 | 97386679 | 1357338911 | 1023746441 | 56134972
75 | MF GLOBAL INC | Y | CME | 2009-05-31 00:00:00 | 546577221 | 352121581 | 194455640 | 7359834415 | 477157021
76 | MG FINANCIAL LLC | N | NFA | 2009-05-31 00:00:00 | 5082313 | 500000 | 4582313 | 0 | 0
77 | MID CO COMMODITIES INC | N | NFA | 2009-05-31 00:00:00 | 11256105 | 2782460 | 8473645 | 22295379 | 0
78 | MITSUBISHI UFJ SECURITIES USA INC | Y | NFA | 2009-05-29 00:00:00 | 69139423 | 1375990 | 67763433 | 0 | 0
79 | MITSUI BUSSAN COMMODITIES USA INC | N | NYME | 2009-05-31 00:00:00 | 7356952 | 2724941 | 4632011 | 0 | 0
80 | MIZUHO SECURITIES USA INC | Y | CME | 2009-05-29 00:00:00 | 315009570 | 48530703 | 266478867 | 884579451 | 316993981
81 | MORGAN KEEGAN & COMPANY INC | Y | NFA | 2009-05-31 00:00:00 | 343454901 | 9941954 | 333512947 | 0 | 0
82 | MORGAN STANLEY & CO INCORPORATED | Y | CME | 2009-05-29 00:00:00 | 11198785593 | 958278843 | 10240506750 | 4477695059 | 3946687431
83 | MORGAN STANLEY SMITH BARNEY LLC | Y | NFA | 2009-05-31 00:00:00 | 303362303 | 500000 | 302862303 | 0 | 0
84 | NATIXIS SECURITIES NORTH AMERICA INC | Y | NFA | 2009-05-29 00:00:00 | 207394820 | 500000 | 206894820 | 0 | 0
85 | NEUBERGER BERMAN LLC | Y | NFA | 2009-05-31 00:00:00 | 43762641 | 1500000 | 42262641 | 0 | 0
86 | NEWEDGE USA LLC | Y | NYME | 2009-05-31 00:00:00 | 2420634369 | 1516838368 | 903796001 | 19021981680 | 7524991485
87 | NOMURA SECURITIES INTERNATIONAL INC | Y | CBOT | 2009-05-31 00:00:00 | 1134665718 | 5834210 | 1128831508 | 0 | 0
88 | OANDA CORPORATION | N | NFA | 2009-05-31 00:00:00 | 159062073 | 20000000 | 139062073 | 0 | 0
89 | ODL SECURITIES INC | N | NFA | 2009-05-31 00:00:00 | 3260017 | 1000000 | 2260017 | 0 | 0
90 | OPEN E CRY LLC | N | NFA | 2009-05-31 00:00:00 | 2739917 | 827546 | 1912371 | 66048966 | 608683
91 | OPPENHEIMER & CO INC | Y | NFA | 2009-05-29 00:00:00 | 188145685 | 18148253 | 169997432 | 16908433 | 0
92 | OPTIONSXPRESS INC | Y | NFA | 2009-05-31 00:00:00 | 81353587 | 5865811 | 75487776 | 62370038 | 567259
93 | [NAME] | N | CBOT | 2009-05-31 00:00:00 | 18893187 | 15609142 | 3284045 | 450603453 | 31624667
94 | PEREGRINE FINANCIAL GROUP INC | N | NFA | 2009-05-31 00:00:00 | 36465727 | 20000000 | 16465727 | 245489426 | 17969411
95 | PIONEER FUTURES INC | N | NYME | 2009-05-31 00:00:00 | 1352018 | 500000 | 852018 | 0 | 0
96 | PRUDENTIAL BACHE COMMODITIES LLC | N | CBOT | 2009-05-31 00:00:00 | 236565000 | 170981800 | 65583200 | 2824914000 | 305207000
97 | PUMA FINANCIAL LLC | N | NFA | 2009-05-29 00:00:00 | 1166356 | 750000 | 416356 | 7798733 | 0
98 | RAND FINANCIAL SERVICES INC | N | CME | 2009-05-31 00:00:00 | 57689614 | 8195382 | 49494232 | 104548300 | 24249200
99 | RAYMOND JAMES & ASSOCIATES INC | Y | NFA | 2009-05-31 00:00:00 | 293850478 | 23862647 | 269987831 | 0 | 0
100 | RBC CAPITAL MARKETS CORPORATION | Y | CME | 2009-05-29 00:00:00 | 1152248353 | 111173158 | 1041075195 | 1207657805 | 1029537379
101 | RBS SECURITIES INC | Y | CBOT | 2009-05-31 00:00:00 | 2183855000 | 162316000 | 2021539000 | 1312531000 | 142614000
102 | RJ OBRIEN ASSOCIATES LLC | N | CME | 2009-05-31 00:00:00 | 116167924 | 66616751 | 49551173 | 1992151551 | 28294676
103 | ROBBINS FUTURES INC | N | NFA | 2009-05-31 00:00:00 | 594913 | 500000 | 94913 | 3645534 | 0
104 | ROSENTHAL COLLINS GROUP LLC | N | CME | 2009-05-31 00:00:00 | 61842272 | 33497321 | 28344951 | 1094120760 | 21900987
105 | ROSENTHAL GLOBAL SECURITIES LLC | Y | NFA | 2009-05-31 00:00:00 | 27278067 | 663398 | 26614669 | 0 | 0
106 | SANFORD C BERNSTEIN & CO LLC | Y | NFA | 2009-05-29 00:00:00 | 139865742 | 8836416 | 131029326 | 0 | 0
107 | SANTANDER INVESTMENT SECURITIES INC | Y | NFA | 2009-05-31 00:00:00 | 76050266 | 602712 | 75447554 | 0 | 0
108 | SHAY GRAIN CLEARING COMPANY | N | KCBT | 2009-05-31 00:00:00 | 2559204 | 587816 | 1971388 | 7495546 | 0
109 | SMW TRADING COMPANY INC | N | CME | 2009-05-31 00:00:00 | 35091412 | 500000 | 34591412 | 4963736 | 0
110 | STEPHENS INC | Y | NFA | 2009-05-29 00:00:00 | 58809340 | 9947235 | 48862105 | 0 | 0
111 | STERLING COMMODITIES CORP | N | NYME | 2009-05-31 00:00:00 | 8568037 | 884767 | 7683270 | 31834699 | 847914
112 | TCA FUTURES LLC | N | NFA | 2009-05-31 00:00:00 | 887533 | 500000 | 387533 | 0 | 0
113 | TD AMERITRADE INC | Y | NFA | 2009-05-31 00:00:00 | 175995610 | 500000 | 175495610 | 0 | 0
114 | TENCO INC | N | CBOT | 2009-05-31 00:00:00 | 45080000 | 8644243 | 36435757 | 152699565 | 0
115 | TERRA NOVA FINANCIAL LLC | Y | NFA | 2009-05-29 00:00:00 | 12367383 | 1500000 | 10867383 | 0 | 0
116 | TIMBER HILL LLC | Y | CME | 2009-05-31 00:00:00 | 1166584525 | 17716574 | 1148867951 | 222677376 | 0
117 | TOWER RESEARCH CAPITAL EUROPE LLC | N | NFA | 2009-05-31 00:00:00 | 3908233 | 500000 | 3408233 | 0 | 0
118 | TRADELINK LLC | Y | CBOT | 2009-05-31 00:00:00 | 28125662 | 500000 | 27625662 | 0 | 0
119 | TRADESTATION SECURITIES INC | Y | NFA | 2009-05-31 00:00:00 | 91306530 | 1368695 | 89937835 | 0 | 0
120 | TRADITION SECURITIES AND FUTURES INC | N | NFA | 2009-05-31 00:00:00 | 811404 | 500000 | 311404 | 0 | 0
121 | TRANSMARKET GROUP LLC | Y | CBOT | 2009-05-31 00:00:00 | 9314571 | 500000 | 8814571 | 0 | 0
122 | TRILAND USA INC | N | NYME | 2009-05-31 00:00:00 | 41360554 | 20652900 | 20707654 | 164995535 | 20721675
123 | UBS FINANCIAL SERVICES INC | Y | NFA | 2009-05-31 00:00:00 | 1092100428 | 87325079 | 1004775349 | 196159823 | 1531313
124 | UBS SECURITIES LLC | Y | CBOT | 2009-05-29 00:00:00 | 12869846649 | 1027998206 | 11841848443 | 12528838445 | 6178977307
125 | VELOCITY FUTURES LLC | N | NFA | 2009-05-31 00:00:00 | 1043033 | 500000 | 543033 | 35383033 | 892946
126 | VISION FINANCIAL MARKETS LLC | Y | CME | 2009-05-31 00:00:00 | 20300162 | 5647347 | 14652815 | 256733682 | 1455731
127 | WACHOVIA CAPITAL MARKETS LLC | Y | CME | 2009-05-31 00:00:00 | 2049826060 | 1072466 | 2048753594 | 0 | 0
128 | WELLS FARGO ADVISORS FINANCIAL NETWORK LLC | Y | NFA | 2009-05-31 00:00:00 | 22213752 | 1981825 | 20231927 | 0 | 0
129 | WELLS FARGO ADVISORS LLC | Y | NFA | 2009-05-31 00:00:00 | 654286643 | 1500000 | 652786643 | 0 | 0
130 | WHITE COMMERCIAL CORPORATION | N | NFA | 2009-05-31 00:00:00 | 2244605 | 500000 | 1744605 | 0 | 0
131 | WSD FINANCIAL USA INC | N | NFA | 2009-05-31 00:00:00 | 1261688 | 500000 | 761688 | 0 | 0
132 | YORK BUSINESS ASSOCIATES LLC | N | NFA | 2009-05-31 00:00:00 | 1363750 | 500000 | 863750 | 44545670 | 1134262
 | Totals |  |  |  |  |  |  | 143563579680 | 37655795772 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0
 | APRIL WEB PAGE UPDATE |  | 131
 | Additions |  | 2
 | MITSUBISHI UFJ SECURITIES USA INC
 | MORGAN STANLEY SMITH BARNEY LLC
 | Deletions |  | 1
 | GELBER GROUP LLC
 | Name Change
 | FROM WACHOVIA SECURITIES FINANCIAL NETWORK LLC TO WELLS FARGO ADVISORS FINANCIAL NETWORK LLC
 | FROM WACHOVIA SECURITIES LLC TO WELLS FARGO ADVISORS LLC
 | MAY 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); or
 | (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].