Spreadsheet: 0a890aba-3abe-4d39-9b81-00c183b5bfdc
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 | 2009-09-30 00:00:00 | 1360720 | 500000 | 860720 | 0 | 0
2 | ACM USA LLC | N | NFA | 2009-09-30 00:00:00 | 774119 | 500000 | 274119 | 0 | 0
3 | ADM INVESTOR SERVICES INC | N | CBOT | 2009-09-30 00:00:00 | 164046188 | 93388623 | 70657565 | 1960259247 | 86997658
4 | ADVANCED MARKETS LLC | N | NFA | 2009-09-30 00:00:00 | 20608259 | 20000000 | 608259 | 0 | 0
5 | ADVANTAGE FUTURES LLC | N | CME | 2009-09-30 00:00:00 | 18669695 | 7152168 | 11517527 | 288295993 | 25114799
6 | AIG CLEARING CORPORATION | N | NYME | 2009-09-30 00:00:00 | 230675258 | 941824 | 229733434 | 0 | 0
7 | ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC* | Y | NFA | 2009-09-30 00:00:00 | 20468279 | 7257790 | 13210489 | 0 | 0
8 | [NAME] (US) LLC | N | NFA | 2009-09-30 00:00:00 | 20739123 | 20000000 | 739123 | 0 | 0
9 | AMERIPRISE ADVISOR SERVICES INC | Y | NFA | 2009-09-30 00:00:00 | 69222414 | 6350918 | 62871496 | 0 | 0
10 | BANC OF AMERICA SECURITIES LLC | Y | CME | 2009-09-30 00:00:00 | 2956749679 | 114211778 | 2842537901 | 0 | 0
11 | BARCLAYS CAPITAL INC | Y | NYME | 2009-09-30 00:00:00 | 6153041931 | 616745073 | 5536296858 | 4341083037 | 2092500005
12 | BGC FINANCIAL LP | Y | NFA | 2009-09-30 00:00:00 | 35316118 | 500000 | 34816118 | 0 | 0
13 | BNP PARIBAS COMMODITY FUTURES INC | N | NYME | 2009-09-30 00:00:00 | 298598600 | 175294065 | 123304535 | 1300838568 | 525456239
14 | BNP PARIBAS SECURITIES CORP | Y | CBOT | 2009-09-30 00:00:00 | 1654176620 | 73235160 | 1580941460 | 319785867 | 0
15 | CADENT FINANCIAL SERVICES LLC | N | CME | 2009-09-30 00:00:00 | 2390343 | 500000 | 1890343 | 14786211 | 25027
16 | CANTOR FITZGERALD & CO | Y | CBOT | 2009-09-30 00:00:00 | 172702286 | 11621632 | 161080654 | 11305403 | 0
17 | CAPITAL MARKET SERVICES LLC | N | NFA | 2009-09-30 00:00:00 | 24437205 | 20000000 | 4437205 | 0 | 0
18 | CIBC WORLD MARKETS CORP | Y | CME | 2009-09-30 00:00:00 | 1336455351 | 1500000 | 1334955351 | 0 | 0
19 | CITADEL SECURITIES LLC | Y | CME | 2009-09-30 00:00:00 | 450240522 | 1000000 | 449240522 | 0 | 0
20 | CITIGROUP GLOBAL MARKETS INC | Y | CBOT | 2009-09-30 00:00:00 | 9112297835 | 723113520 | 8389184315 | 10735789643 | 1381433808
21 | COMMONWEALTH FOREIGN EXCHANGE INC | N | NFA | 2009-09-30 00:00:00 | 875190 | 500000 | 375190 | 0 | 0
22 | COMPASS PROFESSIONAL SERVICES LLC | Y | NFA | 2009-09-30 00:00:00 | 3247935 | 500000 | 2747935 | 0 | 0
23 | COUNTRY HEDGING INC | N | NFA | 2009-09-30 00:00:00 | 14312373 | 6992951 | 7319422 | 100870141 | 31905
24 | CREDIT SUISSE SECURITIES (USA) LLC | Y | CBOT | 2009-09-30 00:00:00 | 8784995728 | 741081421 | 8043914307 | 3690729253 | 1493694484
25 | CROSSLAND LLC | N | CBOT | 2009-09-30 00:00:00 | 5917357 | 4715142 | 1202215 | 59907142 | 30372034
26 | CUNNINGHAM COMMODITIES LLC | N | CBOT | 2009-09-30 00:00:00 | 3189411 | 614697 | 2574714 | 32488577 | 27772
27 | CX CAPITAL MARKETS LLC | N | NFA | 2009-09-30 00:00:00 | 778103 | 500000 | 278103 | 6294117 | 0
28 | DAIWA SECURITIES AMERICA INC | Y | CME | 2009-09-30 00:00:00 | 259340284 | 1000000 | 258340284 | 5377273 | 46698
29 | DEUTSCHE BANK SECURITIES INC | Y | CBOT | 2009-09-30 00:00:00 | 7904732029 | 523272944 | 7381459085 | 10838526204 | 1309234699
30 | DORMAN TRADING LLC | N | CME | 2009-09-30 00:00:00 | 7886686 | 1060450 | 6826236 | 91343035 | 75263
31 | EAGLE MARKET MAKERS INC | N | CBOT | 2009-09-30 00:00:00 | 4780421 | 500000 | 4280421 | 5719142 | 0
32 | EASY FOREX US LTD | N | NFA | 2009-09-30 00:00:00 | 20571936 | 20000000 | 571936 | 0 | 0
33 | ELECTRONIC BROKERAGE SYSTEMS LLC | Y | NFA | 2009-09-30 00:00:00 | 8978602 | 500000 | 8478602 | 0 | 0
34 | ENSKILDA FUTURES LTD | N | CME | 2009-09-30 00:00:00 | 22952458 | 16217499 | 6734959 | 264800462 | 0
35 | FARR FINANCIAL INC | N | NFA | 2009-09-30 00:00:00 | 1064934 | 615869 | 449065 | 32822095 | 0
36 | FCSTONE LLC | N | CME | 2009-09-30 00:00:00 | 63171960 | 34752599 | 28419361 | 799067343 | 6612739
37 | FOREX CAPITAL MARKETS LLC | N | NFA | 2009-09-30 00:00:00 | 53636719 | 20000000 | 33636719 | 0 | 0
38 | FOREX CLUB FINANCIAL COMPANY INC | N | NFA | 2009-09-30 00:00:00 | 23739580 | 20000000 | 3739580 | 0 | 0
39 | FORTIS CLEARING AMERICAS LLC | Y | CBOT | 2009-09-30 00:00:00 | 184183624 | 53717016 | 130466608 | 1066302727 | 53840464
40 | FRIEDBERG MERCANTILE GROUP INC | N | NFA | 2009-09-30 00:00:00 | 3365697 | 500000 | 2865697 | 4511793 | 0
41 | FRONTIER FUTURES INC | N | NFA | 2009-09-30 00:00:00 | 1146179 | 779878 | 366301 | 26513340 | 0
42 | FUTURES TECH LLC | N | NFA | 2009-09-30 00:00:00 | 848520 | 500000 | 348520 | 0 | 0
43 | FX SOLUTIONS LLC | N | NFA | 2009-09-30 00:00:00 | 44055493 | 20000000 | 24055493 | 0 | 0
44 | GAIN CAPITAL GROUP LLC | N | NFA | 2009-09-30 00:00:00 | 85491631 | 20000000 | 65491631 | 0 | 0
45 | GENESIS FUTURES LLC | N | NFA | 2009-09-30 00:00:00 | 762467 | 500000 | 262467 | 0 | 0
46 | GFS FOREX & FUTURES INC | N | NFA | 2009-09-30 00:00:00 | 3407874 | 500000 | 2907874 | 0 | 0
47 | GILDER GAGNON HOWE & CO LLC | Y | NFA | 2009-09-30 00:00:00 | 15600800 | 500000 | 15100800 | 0 | 0
48 | GLOBAL FUTURES & FOREX LTD | N | NFA | 2009-09-30 00:00:00 | 75893697 | 20000000 | 55893697 | 318894 | 201866
49 | GOLDMAN SACHS & CO | Y | CBOT | 2009-09-25 00:00:00 | 13413993253 | 1936805551 | 11477187702 | 17101562058 | 6795475899
50 | GOLDMAN SACHS EXECUTION & CLEARING LP | Y | CME | 2009-09-25 00:00:00 | 1948268419 | 113159476 | 1835108943 | 1048907061 | 27740642
51 | HOTSPOT FXR LLC | N | NFA | 2009-09-30 00:00:00 | 6471059 | 500000 | 5971059 | 0 | 0
52 | HSBC SECURITIES USA INC | Y | CME | 2009-09-30 00:00:00 | 1417095786 | 68935136 | 1348160650 | 603916581 | 100331536
53 | I TRADE FX LLC | N | NFA | 2009-09-30 00:00:00 | 675808 | 500000 | 175808 | 0 | 0
54 | ICAP FUTURES LLC | N | NFA | 2009-09-30 00:00:00 | 13523171 | 500000 | 13023171 | 0 | 0
55 | IG MARKETS INC | N | NFA | 2009-09-30 00:00:00 | 30823918 | 20000000 | 10823918 | 0 | 0
56 | IKON GLOBAL MARKETS INC | N | NFA | 2009-09-30 00:00:00 | 21694630 | 20000000 | 1694630 | 1792716 | 455706
57 | INSTINET LLC | Y | NFA | 2009-09-30 00:00:00 | 120948120 | 1500000 | 119448120 | 0 | 0
58 | INTEGRATED BROKERAGE SERVICES LLC | N | NFA | 2009-09-30 00:00:00 | 1090891 | 500000 | 590891 | 0 | 0
59 | INTERACTIVE BROKERS LLC | Y | NFA | 2009-09-30 00:00:00 | 753008503 | 74118335 | 678890168 | 370571412 | 143357893
60 | INTERBANK FX LLC | N | NFA | 2009-09-30 00:00:00 | 34550285 | 20000000 | 14550285 | 0 | 0
61 | ITG DERIVATIVES LLC | Y | NFA | 2009-09-30 00:00:00 | 12490336 | 500000 | 11990336 | 0 | 0
62 | JP MORGAN CLEARING CORP | Y | CME | 2009-09-30 00:00:00 | 5347240631 | 1469346384 | 3877894247 | 513821774 | 213573006
63 | JP MORGAN FUTURES INC | N | NYME | 2009-09-30 00:00:00 | 2267030197 | 1066967353 | 1200062844 | 13990606006 | 1955041288
64 | JP MORGAN SECURITIES INC | Y | NFA | 2009-09-30 00:00:00 | 8730099474 | 554389984 | 8175709490 | 0 | 0
65 | LADENBURG THALMANN & CO INC | Y | NFA | 2009-09-30 00:00:00 | 2397020 | 500000 | 1897020 | 0 | 0
66 | LEK SECURITIES CORPORATION | Y | NFA | 2009-09-30 00:00:00 | 12855005 | 1500000 | 11355005 | 216040 | 0
67 | LIMESTONE TRADING LLC | N | NFA | 2009-09-30 00:00:00 | 20231501 | 500000 | 19731501 | 0 | 0
68 | LINN GROUP THE | N | NFA | 2009-09-30 00:00:00 | 2880166 | 500000 | 2380166 | 32361716 | 5873
69 | LPL FINANCIAL CORPORATION | Y | NFA | 2009-09-30 00:00:00 | 85171905 | 6064876 | 79107029 | 0 | 0
70 | MACQUARIE FUTURES USA INC | N | CBOT | 2009-09-30 00:00:00 | 68354445 | 37523696 | 30830749 | 658585255 | 523688
71 | MAREX USA LIMITED | N | NFA | 2009-09-30 00:00:00 | 1547928 | 500000 | 1047928 | 0 | 0
72 | MB TRADING FUTURES INC | N | NFA | 2009-09-30 00:00:00 | 22625607 | 20000000 | 2625607 | 0 | 0
73 | MBF CLEARING CORP | N | NYME | 2009-09-30 00:00:00 | 11098059 | 2021760 | 9076299 | 80335594 | 8274753
74 | MCVEAN TRADING & INVESTMENTS LLC | N | NFA | 2009-09-30 00:00:00 | 7636407 | 2265845 | 5370562 | 559718572 | 0
75 | MERRILL LYNCH PIERCE FENNER & SMITH | Y | CBOT | 2009-09-30 00:00:00 | 5373285468 | 613763800 | 4759521668 | 8465411329 | 1186470280
76 | MERRILL LYNCH PROFESSIONAL CLEARING CORP | Y | NFA | 2009-09-30 00:00:00 | 1343920301 | 100887865 | 1243032436 | 1036233996 | 27127503
77 | MF GLOBAL INC | Y | CME | 2009-09-30 00:00:00 | 626854329 | 356128249 | 270726080 | 7498925160 | 529099154
78 | MG FINANCIAL LLC | N | NFA | 2009-09-30 00:00:00 | 5141398 | 500000 | 4641398 | 0 | 0
79 | MID CO COMMODITIES INC | N | NFA | 2009-09-30 00:00:00 | 11210499 | 1986369 | 9224130 | 20132802 | 0
80 | MITSUBISHI UFJ SECURITIES USA INC | Y | NFA | 2009-09-30 00:00:00 | 71641783 | 1064120 | 70577663 | 0 | 0
81 | MITSUI BUSSAN COMMODITIES USA INC | N | NYME | 2009-09-30 00:00:00 | 7437176 | 2021436 | 5415740 | 0 | 0
82 | MIZUHO SECURITIES USA INC | Y | CME | 2009-09-30 00:00:00 | 346566623 | 42924401 | 303642222 | 709493063 | 259881982
83 | MORGAN KEEGAN & COMPANY INC | Y | NFA | 2009-09-30 00:00:00 | 374501315 | 9531107 | 364970208 | 0 | 0
84 | MORGAN STANLEY & CO INCORPORATED | Y | CME | 2009-09-30 00:00:00 | 9727954500 | 1027144294 | 8700810206 | 4606330117 | 3744012699
85 | MORGAN STANLEY SMITH BARNEY LLC | Y | NFA | 2009-09-30 00:00:00 | 353630678 | 500000 | 353130678 | 0 | 0
86 | NATIXIS SECURITIES NORTH AMERICA INC | Y | NFA | 2009-09-30 00:00:00 | 212931028 | 500000 | 212431028 | 0 | 0
87 | NEUBERGER BERMAN LLC | Y | NFA | 2009-09-30 00:00:00 | 90621791 | 1500000 | 89121791 | 0 | 0
88 | NEWEDGE USA LLC | Y | NYME | 2009-09-30 00:00:00 | 2381986997 | 1307856839 | 1074130158 | 18504161682 | 7381387020
89 | NOMURA SECURITIES INTERNATIONAL INC | Y | CBOT | 2009-09-30 00:00:00 | 972563298 | 2427972 | 970135326 | 0 | 0
90 | OANDA CORPORATION | N | NFA | 2009-09-30 00:00:00 | 162177870 | 20000000 | 142177870 | 0 | 0
91 | OPEN E CRY LLC | N | NFA | 2009-09-30 00:00:00 | 3103617 | 883543 | 2220074 | 67743288 | 778617
92 | OPPENHEIMER & CO INC | Y | NFA | 2009-09-30 00:00:00 | 169492086 | 21630675 | 147861411 | 30483893 | 0
93 | OPTIONSXPRESS INC | Y | NFA | 2009-09-30 00:00:00 | 87870423 | 11722778 | 76147645 | 53231321 | 941117
94 | [NAME] | N | CBOT | 2009-09-30 00:00:00 | 19652668 | 13763134 | 5889534 | 399135380 | 27049122
95 | PEREGRINE FINANCIAL GROUP INC | N | NFA | 2009-09-30 00:00:00 | 32234022 | 20000000 | 12234022 | 331876422 | 32443984
96 | PIONEER FUTURES INC | N | NYME | 2009-09-30 00:00:00 | 1348112 | 500000 | 848112 | 0 | 0
97 | PRUDENTIAL BACHE COMMODITIES LLC | N | CBOT | 2009-09-30 00:00:00 | 232974000 | 161664520 | 71309480 | 2599411000 | 328754000
98 | RAND FINANCIAL SERVICES INC | N | CME | 2009-09-30 00:00:00 | 57316779 | 10844774 | 46472005 | 115547400 | 48395900
99 | RAYMOND JAMES & ASSOCIATES INC | Y | NFA | 2009-09-30 00:00:00 | 278092175 | 27233373 | 250858802 | 0 | 0
100 | RBC CAPITAL MARKETS CORPORATION | Y | CME | 2009-09-30 00:00:00 | 1086825909 | 107369460 | 979456449 | 675066773 | 842826368
101 | RBS SECURITIES INC | Y | CBOT | 2009-09-30 00:00:00 | 1929624000 | 166880000 | 1762744000 | 1298010000 | 131126000
102 | RJ OBRIEN ASSOCIATES LLC | N | CME | 2009-09-30 00:00:00 | 113105457 | 62082971 | 51022486 | 2026952330 | 32518523
103 | ROBBINS FUTURES INC | N | NFA | 2009-09-30 00:00:00 | 572959 | 500000 | 72959 | 2141631 | 0
104 | ROSENTHAL COLLINS GROUP LLC | N | CME | 2009-09-30 00:00:00 | 49768451 | 35530284 | 14238167 | 1232090874 | 26175815
105 | ROSENTHAL GLOBAL SECURITIES LLC | Y | NFA | 2009-09-30 00:00:00 | 36795655 | 725768 | 36069887 | 0 | 0
106 | SANFORD C BERNSTEIN & CO LLC | Y | NFA | 2009-09-30 00:00:00 | 147718360 | 10841531 | 136876829 | 0 | 0
107 | SANTANDER INVESTMENT SECURITIES INC | Y | NFA | 2009-09-30 00:00:00 | 82145212 | 605606 | 81539606 | 0 | 0
108 | SHAY GRAIN CLEARING COMPANY | N | KCBT | 2009-09-30 00:00:00 | 2573977 | 500000 | 2073977 | 11716813 | 0
109 | SMW TRADING COMPANY INC | N | CME | 2009-09-30 00:00:00 | 33853971 | 500000 | 33353971 | 4690009 | 0
110 | STEPHENS INC | Y | NFA | 2009-09-30 00:00:00 | 51050124 | 14544885 | 36505239 | 0 | 0
111 | STERLING COMMODITIES CORP | N | NYME | 2009-09-30 00:00:00 | 8367979 | 740573 | 7627406 | 28584081 | 952054
112 | TCA FUTURES LLC | N | NFA | 2009-09-30 00:00:00 | 881080 | 500000 | 381080 | 0 | 0
113 | TD AMERITRADE INC | Y | NFA | 2009-09-30 00:00:00 | 263957138 | 500000 | 263457138 | 0 | 0
114 | TENCO INC | N | CBOT | 2009-09-30 00:00:00 | 46878165 | 7818909 | 39059256 | 155068515 | 0
115 | TERRA NOVA FINANCIAL LLC | Y | NFA | 2009-09-30 00:00:00 | 11301401 | 1500000 | 9801401 | 0 | 0
116 | TIMBER HILL LLC | Y | CME | 2009-09-30 00:00:00 | 1039658271 | 22124393 | 1017533878 | 253516571 | 0
117 | TOWER RESEARCH CAPITAL EUROPE LLC | N | NFA | 2009-09-30 00:00:00 | 2796502 | 500000 | 2296502 | 0 | 0
118 | TRADELINK LLC | Y | CBOT | 2009-09-30 00:00:00 | 27991495 | 500000 | 27491495 | 0 | 0
119 | TRADESTATION SECURITIES INC | Y | NFA | 2009-09-30 00:00:00 | 93576563 | 3245035 | 90331528 | 0 | 0
120 | TRADITION SECURITIES AND FUTURES INC | N | NFA | 2009-09-30 00:00:00 | 780509 | 500000 | 280509 | 0 | 0
121 | TRANSMARKET GROUP LLC | Y | CBOT | 2009-09-30 00:00:00 | 12846486 | 500000 | 12346486 | 0 | 0
122 | TRILAND USA INC | N | NYME | 2009-09-30 00:00:00 | 37569681 | 11294976 | 26274705 | 137611676 | 42124801
123 | UBS FINANCIAL SERVICES INC | Y | NFA | 2009-09-30 00:00:00 | 1093484937 | 94616738 | 998868199 | 126419957 | 1361242
124 | UBS SECURITIES LLC | Y | CBOT | 2009-09-30 00:00:00 | 13232147521 | 939642103 | 12292505418 | 10479400579 | 6012794708
125 | VELOCITY FUTURES LLC | N | NFA | 2009-09-30 00:00:00 | 1264060 | 500000 | 764060 | 42536027 | 960110
126 | VISION FINANCIAL MARKETS LLC | Y | CME | 2009-09-30 00:00:00 | 21557893 | 7915519 | 13642374 | 280998781 | 1572602
127 | WELLS FARGO ADVISORS FINANCIAL NETWORK LLC | Y | NFA | 2009-09-30 00:00:00 | 23654538 | 1910041 | 21744497 | 0 | 0
128 | WELLS FARGO ADVISORS LLC | Y | NFA | 2009-09-30 00:00:00 | 681331259 | 1500000 | 679831259 | 0 | 0
129 | WELLS FARGO SECURITIES LLC | Y | CME | 2009-09-30 00:00:00 | 2125182371 | 1004775 | 2124177596 | 0 | 0
130 | WHITE COMMERCIAL CORPORATION | N | NFA | 2009-09-30 00:00:00 | 2235787 | 500000 | 1735787 | 0 | 0
131 | WSD FINANCIAL USA INC | N | NFA | 2009-09-30 00:00:00 | 1243954 | 500000 | 743954 | 0 | 0
132 | YORK BUSINESS ASSOCIATES LLC | N | NFA | 2009-09-30 00:00:00 | 1655907 | 500000 | 1155907 | 49040226 | 1494484 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0
 | Total |  |  |  |  |  |  | 132202091988 | 36910693829
 | August Web Page Update | 132
 | Additions | 0
 | Deletions | 0
 | Name Change
 | September 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].