Spreadsheet: 2ca28bcd-2429-4eb0-a9e8-865c947e94e2
Sheet: FCM Data August 2011

 |  | [NAME] As | DSRO | A/O | Adjusted | Net Capital | Excess | Customers' | Customer | Total Amount
 | Futures Commission Merchant / Retail Foreign Exchange Dealer |  |  | Date | Net Capital | Requirement | Net Capital | Seg Required | Amount | of Retail Forex
 |  |  |  |  |  |  |  | 4d(a)(2) | Pt. 30 Required | Obligation
 |  | (a) | (b) |  |  | (c) | (d) | (e) | (f) | (g)
1 | ABN AMRO CLEARING CHICAGO LLC | FCM BD | CBOT | 2011-08-31 00:00:00 | 224042543 | 125289029 | 98753514 | 1987735015 | 296518282 | 0
2 | ADM INVESTOR SERVICES INC | FCM | CBOT | 2011-08-31 00:00:00 | 263524720 | 142746603 | 120778117 | 2680225686 | 109796344 | 0
3 | ADVANCED MARKETS LLC | FCMRFD | NFA | 2011-08-31 00:00:00 | 20444262 | 20000000 | 444262 | 0 | 0 | 1527782
4 | ADVANTAGE FUTURES LLC | FCM | CME | 2011-08-31 00:00:00 | 18983125 | 9588140 | 9394985 | 437139264 | 38166284 | 0
5 | ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC * | FCM BD | NFA | 2011-06-30 00:00:00 | 84773980 | 4227112 | 80546868 | 0 | 0 | 0
6 | [NAME] (US) LLC | FCMRFD | NFA | 2011-08-31 00:00:00 | 25503068 | 20041466 | 5461602 | 64771 | 0 | 10829320
7 | AMERIPRISE FINANCIAL SERVICES INC | FCM BD | NFA | 2011-08-31 00:00:00 | 172489373 | 1000000 | 171489373 | 0 | 0 | 0
8 | AMP GLOBAL CLEARING LLC | FCM | NFA | 2011-08-31 00:00:00 | 1566004 | 1000000 | 566004 | 31370453 | 132978 | 0
9 | BARCLAYS CAPITAL INC | FCM BD | NYME | 2011-08-31 00:00:00 | 5285030252 | 928636954 | 4356393298 | 6530637467 | 2804666657 | 0
10 | BGC FINANCIAL LP | FCM BD | NFA | 2011-08-31 00:00:00 | 61377251 | 1000000 | 60377251 | 0 | 0 | 0
11 | BNP PARIBAS COMMODITY FUTURES INC | FCM | NYME | 2011-08-31 00:00:00 | 352455839 | 231230756 | 121225083 | 1306765337 | 547480160 | 0
12 | BNP PARIBAS PRIME BROKERAGE INC | FCM BD | NFA | 2011-08-31 00:00:00 | 1878339439 | 379429856 | 1498909583 | 0 | 0 | 0
13 | BNP PARIBAS SECURITIES CORP | FCM BD | CBOT | 2011-08-31 00:00:00 | 2002795270 | 84144465 | 1918650805 | 460301535 | 0 | 0
14 | BNY MELLON CLEARING LLC | FCM | CME | 2011-08-31 00:00:00 | 300707001 | 40045329 | 260661672 | 500259042 | 0 | 0
15 | CANTOR FITZGERALD & CO | FCM BD | CBOT | 2011-08-31 00:00:00 | 315880161 | 8208216 | 307671945 | 2103080 | 0 | 0
16 | CAPITAL MARKET SERVICES LLC | FCM | NFA | 2011-08-31 00:00:00 | 2003138 | 1000000 | 1003138 | 0 | 0 | 0
17 | CIBC WORLD MARKETS CORP | FCM BD | CME | 2011-08-31 00:00:00 | 412138325 | 1500000 | 410638325 | 0 | 0 | 0
18 | CITADEL SECURITIES LLC | FCM BD | CME | 2011-08-31 00:00:00 | 481222816 | 1000000 | 480222816 | 0 | 0 | 0
19 | CITIGROUP GLOBAL MARKETS INC | FCM BD | CBOT | 2011-08-31 00:00:00 | 7524807904 | 765571113 | 6759236791 | 10968517016 | 1963241919 | 0
20 | COMMONWEALTH FOREIGN EXCHANGE INC | FCM | NFA | 2011-08-31 00:00:00 | 2183043 | 1000000 | 1183043 | 0 | 0 | 0
21 | COMPASS PROFESSIONAL SERVICES LLC | FCM BD | NFA | 2011-08-31 00:00:00 | 3977205 | 1000000 | 2977205 | 0 | 0 | 0
22 | COUNTRY HEDGING INC | FCM | NFA | 2011-08-31 00:00:00 | 20765251 | 17014424 | 3750827 | 217627303 | 1186882 | 0
23 | CREDIT SUISSE SECURITIES (USA) LLC | FCM BD | CBOT | 2011-08-31 00:00:00 | 9315494983 | 1036628495 | 8278866488 | 6243706980 | 2041688676 | 0
24 | CROSSLAND LLC | FCM | CBOT | 2011-08-31 00:00:00 | 11640364 | 2343473 | 9296891 | 60566414 | 10226783 | 0
25 | CUNNINGHAM COMMODITIES LLC | FCM | CBOT | 2011-08-31 00:00:00 | 3380443 | 1189922 | 2190521 | 55923202 | 273710 | 0
26 | CX CAPITAL MARKETS LLC | FCM | NFA | 2011-08-31 00:00:00 | 3564275 | 1000000 | 2564275 | 20139552 | 0 | 0
27 | DAIWA CAPITAL MARKETS AMERICA INC | FCM BD | CME | 2011-08-31 00:00:00 | 314955126 | 1984210 | 312970916 | 7328413 | 0 | 0
28 | DEUTSCHE BANK SECURITIES INC | FCM BD | CBOT | 2011-08-31 00:00:00 | 6632401414 | 658952826 | 5973448588 | 16139481230 | 1637822978 | 0
29 | DORMAN TRADING LLC | FCM | CME | 2011-08-31 00:00:00 | 9615781 | 1123216 | 8492565 | 112839476 | 1550369 | 0
30 | EAGLE MARKET MAKERS INC | FCM | CBOT | 2011-08-31 00:00:00 | 6262988 | 1000000 | 5262988 | 700307 | 0 | 0
31 | EASY FOREX US LTD | FCM | NFA | 2011-08-31 00:00:00 | 1769266 | 1000000 | 769266 | 0 | 0 | 0
32 | ENSKILDA FUTURES LTD | FCM | CME | 2011-08-31 00:00:00 | 29578677 | 22897974 | 6680703 | 350633728 | 0 | 0
33 | FCSTONE LLC | FCM | CME | 2011-08-31 00:00:00 | 108894653 | 66835492 | 42059161 | 1352422500 | 23103797 | 3703491
34 | FOREX CAPITAL MARKETS LLC | FCMRFD | NFA | 2011-08-31 00:00:00 | 79608011 | 26763209 | 52844802 | 0 | 0 | 145264186
35 | FOREX CLUB LLC | FCMRFD | NFA | 2011-08-31 00:00:00 | 22988102 | 22000000 | 988102 | 0 | 0 | 3097749
36 | FRIEDBERG MERCANTILE GROUP INC | FCM | NFA | 2011-08-31 00:00:00 | 3409166 | 1000000 | 2409166 | 13834102 | 1202073 | 0
37 | FRONTIER FUTURES INC | FCM | NFA | 2011-08-31 00:00:00 | 1889785 | 1007683 | 882102 | 32036610 | 0 | 0
38 | FUTURES TECH LLC | FCM | NFA | 2011-08-31 00:00:00 | 1591719 | 1000000 | 591719 | 0 | 0 | 0
39 | FX SOLUTIONS LLC | FCMRFD | NFA | 2011-08-31 00:00:00 | 37704280 | 20366275 | 17338005 | 0 | 0 | 17325490
40 | FXDIRECTDEALER LLC | FCMRFD | NFA | 2011-08-31 00:00:00 | 34170782 | 21187849 | 12982933 | 0 | 0 | 33756982
41 | GAIN CAPITAL GROUP LLC | FCMRFD | NFA | 2011-08-31 00:00:00 | 53909111 | 24390994 | 29518117 | 0 | 0 | 97819890
42 | GLOBAL FUTURES & FOREX LTD | FCMRFD | NFA | 2011-08-31 00:00:00 | 79587191 | 24087728 | 55499463 | 301071 | 227199 | 91754561
43 | GOLDMAN SACHS & CO | FCM BD | CBOT | 2011-08-31 00:00:00 | 11521415951 | 2130582972 | 9390832979 | 23166714363 | 9361867066 | 0
44 | GOLDMAN SACHS EXECUTION & CLEARING LP | FCM BD | CME | 2011-08-31 00:00:00 | 1703161024 | 179346333 | 1523814691 | 1247352652 | 41007827 | 0
45 | GUGGENHEIM SECURITIES LLC | FCM BD | NFA | 2011-08-31 00:00:00 | 49206126 | 2672277 | 46533849 | 0 | 0 | 0
46 | HSBC SECURITIES USA INC | FCM BD | CME | 2011-08-31 00:00:00 | 1026259699 | 121010280 | 905249419 | 1248362969 | 121381326 | 0
47 | ICAP CORPORATES LLC | FCM BD | NFA | 2011-08-31 00:00:00 | 48362874 | 1000000 | 47362874 | 0 | 0 | 0
48 | ICAP FUTURES LLC | FCM | NFA | 2011-08-31 00:00:00 | 7434046 | 1000000 | 6434046 | 0 | 0 | 0
49 | IKON GLOBAL MARKETS INC | FCM | NFA | 2011-08-31 00:00:00 | 17183731 | 1000000 | 16183731 | 10943321 | 108434 | 0
50 | INSTINET LLC | FCM BD | NFA | 2011-08-31 00:00:00 | 118806165 | 1296637 | 117509528 | 0 | 0 | 0
51 | INSTITUTIONAL LIQUIDITY LLC | FCMRFD | NFA | 2011-08-31 00:00:00 | 20806478 | 20000000 | 806478 | 0 | 0 | 5207838
52 | INTEGRATED BROKERAGE SERVICES LLC | FCM | NFA | 2011-08-31 00:00:00 | 1631911 | 1000000 | 631911 | 0 | 0 | 0
53 | INTERACTIVE BROKERS LLC | FCM BD | NFA | 2011-08-31 00:00:00 | 1330144274 | 176466708 | 1153677566 | 789299515 | 241706430 | 0
54 | INTERBANK FX LLC | FCMRFD | NFA | 2011-08-31 00:00:00 | 24888314 | 21081188 | 3807126 | 0 | 0 | 31623759
55 | IRONBEAM INC | FCM | NFA | 2011-08-31 00:00:00 | 3036135 | 1000000 | 2036135 | 46993259 | 210077 | 0
56 | ITG DERIVATIVES LLC | FCM BD | NFA | 2011-08-31 00:00:00 | 2461655 | 1000000 | 1461655 | 0 | 0 | 0
57 | JEFFERIES & COMPANY INC | FCM BD | NFA | 2011-08-31 00:00:00 | 762729404 | 56802445 | 705926959 | 0 | 0 | 0
58 | JEFFERIES BACHE LLC | FCM | CBOT | 2011-08-31 00:00:00 | 248824000 | 207488560 | 41335440 | 3257918000 | 283546000 | 0
59 | JP MORGAN CLEARING CORP | FCM BD | CME | 2011-08-31 00:00:00 | 7111917575 | 1983122453 | 5128795122 | 571486249 | 519879152 | 0
60 | JP MORGAN SECURITIES LLC | FCM BD | CEI | 2011-08-31 00:00:00 | 11521546158 | 1659851070 | 9861695088 | 18400680463 | 2485229167 | 0
61 | LEK SECURITIES CORPORATION | FCM BD | NFA | 2011-08-31 00:00:00 | 8857117 | 1704596 | 7152521 | 2752257 | 0 | 0
62 | LIMESTONE TRADING LLC | FCM | NFA | 2011-08-31 00:00:00 | 2190022 | 1000000 | 1190022 | 0 | 0 | 0
63 | LINN GROUP THE | FCM | NFA | 2011-08-31 00:00:00 | 2264410 | 1000000 | 1264410 | 40461911 | 46853 | 0
64 | LPL FINANCIAL LLC | FCM BD | NFA | 2011-08-31 00:00:00 | 145179449 | 6266145 | 138913304 | 0 | 0 | 0
65 | MACQUARIE FUTURES USA INC | FCM | CBOT | 2011-08-31 00:00:00 | 132372973 | 68715359 | 63657614 | 1110283222 | 62446639 | 0
66 | MAREX NORTH AMERICA LLC | FCM | CME | 2011-08-31 00:00:00 | 8115570 | 4940877 | 3174693 | 72080339 | 2035443 | 0
67 | MAREX USA LIMITED | FCM | NFA | 2011-08-31 00:00:00 | 2683547 | 1000000 | 1683547 | 0 | 0 | 0
68 | MB TRADING FUTURES INC | FCMRFD | NFA | 2011-08-31 00:00:00 | 26366656 | 21141410 | 5225246 | 0 | 0 | 32828208
69 | MBF CLEARING CORP | FCM | NYME | 2011-08-31 00:00:00 | 8187728 | 1000000 | 7187728 | 70373770 | 5730802 | 0
70 | MCVEAN TRADING & INVESTMENTS LLC | FCM | NFA | 2011-08-31 00:00:00 | 14107093 | 2732001 | 11375092 | 864365828 | 0 | 0
71 | MERRILL LYNCH PIERCE FENNER & SMITH | FCM BD | CBOT | 2011-08-31 00:00:00 | 10217583783 | 908834034 | 9308749749 | 10375631292 | 3364815592 | 0
72 | MERRILL LYNCH PROFESSIONAL CLEARING CORP | FCM BD | NFA | 2011-08-31 00:00:00 | 2415174047 | 190956424 | 2224217623 | 1577810652 | 58344081 | 0
73 | MF GLOBAL INC | FCM BD | CME | 2011-08-31 00:00:00 | 495665616 | 328485943 | 167179673 | 7270301248 | 722852077 | 0
74 | MID CO COMMODITIES INC | FCM | NFA | 2011-08-31 00:00:00 | 12336128 | 6757816 | 5578312 | 61476168 | 0 | 0
75 | MITSUBISHI UFJ SECURITIES USA INC | FCM BD | NFA | 2011-08-31 00:00:00 | 108908005 | 1461579 | 107446426 | 0 | 0 | 0
76 | MITSUI BUSSAN COMMODITIES USA INC | FCM | NFA | 2011-08-31 00:00:00 | 2981295 | 1000000 | 1981295 | 0 | 0 | 0
77 | MIZUHO SECURITIES USA INC | FCM BD | CME | 2011-08-31 00:00:00 | 321444803 | 103021916 | 218422887 | 885739182 | 506034885 | 0
78 | MORGAN KEEGAN & COMPANY INC | FCM BD | NFA | 2011-08-31 00:00:00 | 453036240 | 8399364 | 444636876 | 0 | 0 | 0
79 | MORGAN STANLEY & CO LLC | FCM BD | CME | 2011-08-31 00:00:00 | 6685669923 | 1119493330 | 5566176593 | 5586486618 | 2078950067 | 0
80 | MORGAN STANLEY SMITH BARNEY LLC | FCM BD | NFA | 2011-08-31 00:00:00 | 1036306870 | 38917977 | 997388893 | 622547356 | 2005852464 | 0
81 | NATIXIS SECURITIES NORTH AMERICA INC | FCM BD | NFA | 2011-08-31 00:00:00 | 214261018 | 1000000 | 213261018 | 0 | 0 | 0
82 | NEUBERGER BERMAN LLC | FCM BD | NFA | 2011-08-31 00:00:00 | 47954140 | 1500000 | 46454140 | 0 | 0 | 0
83 | NEWEDGE USA LLC | FCM BD | NYME | 2011-08-31 00:00:00 | 2208154006 | 1455692649 | 752461357 | 22348933866 | 6962103616 | 0
84 | NOMURA SECURITIES INTERNATIONAL INC | FCM BD | CBOT | 2011-08-31 00:00:00 | 2122533472 | 23011104 | 2099522368 | 79859195 | 213060 | 0
85 | OANDA CORPORATION | FCMRFD | NFA | 2011-08-31 00:00:00 | 157069503 | 27573894 | 129495609 | 0 | 0 | 161477887
86 | OPEN E CRY LLC | FCM | NFA | 2011-08-31 00:00:00 | 3319394 | 1000000 | 2319394 | 81526403 | 2879791 | 0
87 | OPPENHEIMER & CO INC | FCM BD | NFA | 2011-08-31 00:00:00 | 164082477 | 24429076 | 139653401 | 20527356 | 0 | 0
88 | OPTIONSXPRESS INC | FCM BD | NFA | 2011-08-31 00:00:00 | 79565119 | 13822249 | 65742870 | 96584128 | 2934199 | 0
89 | PENSON FINANCIAL SERVICES INC | FCM BD | CBOT | 2011-08-31 00:00:00 | 191148644 | 33100070 | 158048574 | 867775264 | 35403831 | 0
90 | PENSON FUTURES | FCM | NFA | 2011-08-31 00:00:00 | 2152683 | 1000000 | 1152683 | 774464 | 0 | 0
91 | PEREGRINE FINANCIAL GROUP INC | FCM | NFA | 2011-08-31 00:00:00 | 35922896 | 21199593 | 14723303 | 410835847 | 27129986 | 33991858
92 | PHILLIP FUTURES INC | FCM | CME | 2011-08-31 00:00:00 | 9787785 | 1103086 | 8684699 | 48723777 | 0 | 0
93 | PIONEER FUTURES INC | FCM | NFA | 2011-08-31 00:00:00 | 3181608 | 1000000 | 2181608 | 0 | 0 | 0
94 | RAND FINANCIAL SERVICES INC | FCM | CME | 2011-08-31 00:00:00 | 74673034 | 17183293 | 57489741 | 207273400 | 28240900 | 0
95 | RAYMOND JAMES & ASSOCIATES INC | FCM BD | NFA | 2011-08-31 00:00:00 | 434295925 | 30604913 | 403691012 | 0 | 0 | 0
96 | RBC CAPITAL MARKETS LLC | FCM BD | CME | 2011-08-31 00:00:00 | 1159503935 | 87452235 | 1072051700 | 419595870 | 27273785 | 0
97 | RBS SECURITIES INC | FCM BD | CBOT | 2011-08-31 00:00:00 | 2417786700 | 295179160 | 2122607540 | 2181456842 | 116444635 | 0
98 | RJ OBRIEN ASSOCIATES LLC | FCM | CME | 2011-08-31 00:00:00 | 165942254 | 109830025 | 56112229 | 2777662134 | 82413509 | 3257564
99 | ROSENTHAL COLLINS GROUP LLC | FCM | CME | 2011-08-31 00:00:00 | 71118764 | 46060126 | 25058638 | 1477750577 | 20420330 | 0
100 | ROSENTHAL GLOBAL SECURITIES LLC | FCM BD | NFA | 2011-08-31 00:00:00 | 42480711 | 1000000 | 41480711 | 0 | 0 | 0
101 | SANFORD C BERNSTEIN & CO LLC | FCM BD | NFA | 2011-08-31 00:00:00 | 178661142 | 13641849 | 165019293 | 0 | 0 | 0
102 | SANTANDER INVESTMENT SECURITIES INC | FCM BD | NYME | 2011-08-31 00:00:00 | 224487717 | 14169209 | 210318508 | 432041515 | 0 | 0
103 | STATE STREET GLOBAL MARKETS LLC | FCM BD | CME | 2011-08-31 00:00:00 | 425238397 | 7685741 | 417552656 | 61957187 | 3129268 | 0
104 | STEPHENS | FCM BD | NFA | 2011-08-31 00:00:00 | 76008021 | 13615787 | 62392234 | 0 | 0 | 0
105 | STERLING COMMODITIES CORP | FCM | NFA | 2011-08-31 00:00:00 | 4143072 | 1000000 | 3143072 | 0 | 0 | 0
106 | STRAITS FINANCIAL LLC | FCM | CME | 2011-08-31 00:00:00 | 7558514 | 1000000 | 6558514 | 14497560 | 74307 | 0
107 | TCA FUTURES LLC | FCM | NFA | 2011-08-31 00:00:00 | 1598611 | 1000000 | 598611 | 0 | 0 | 0
108 | TD AMERITRADE INC | FCM BD | NFA | 2011-08-31 00:00:00 | 367642606 | 1000000 | 366642606 | 0 | 0 | 0
109 | TENCO INC | FCM | CBOT | 2011-08-31 00:00:00 | 61508561 | 8359439 | 53149122 | 267767842 | 0 | 0
110 | TIMBER HILL LLC | FCM BD | CME | 2011-08-31 00:00:00 | 876232874 | 54457279 | 821775595 | 633344713 | 0 | 0
111 | TOWER RESEARCH CAPITAL EUROPE LLC | FCM | NFA | 2011-08-31 00:00:00 | 1547117 | 1000000 | 547117 | 0 | 0 | 0
112 | TRADELINK LLC | FCM BD | CBOT | 2011-08-31 00:00:00 | 35250005 | 1000000 | 34250005 | 0 | 0 | 0
113 | TRADESTATION FOREX INC | RFED | NFA | 2011-08-31 00:00:00 | 24638534 | 21366830 | 3271704 | 0 | 0 | 37336604
114 | TRADESTATION SECURITIES INC | FCM BD | NFA | 2011-08-31 00:00:00 | 58390273 | 2556652 | 55833621 | 421542431 | 9523579 | 0
115 | TRADITION SECURITIES AND FUTURES INC | FCM | NFA | 2011-08-31 00:00:00 | 1542288 | 1000000 | 542288 | 0 | 0 | 0
116 | UBS FINANCIAL SERVICES INC | FCM BD | NFA | 2011-08-31 00:00:00 | 1426293972 | 127441001 | 1298852971 | 175966344 | 424682 | 0
117 | UBS SECURITIES LLC | FCM BD | CBOT | 2011-08-31 00:00:00 | 10947812161 | 1101711750 | 9846100411 | 9845853959 | 5383509589 | 0
118 | VELOCITY FUTURES LLC | FCM | NFA | 2011-08-31 00:00:00 | 1901168 | 1000000 | 901168 | 80465444 | 16813785 | 0
119 | VISION FINANCIAL MARKETS LLC | FCM BD | CME | 2011-08-31 00:00:00 | 27969471 | 8964130 | 19005341 | 360781068 | 9222600 | 0
120 | WALL STREET DERIVATIVES INC | FCM | NFA | 2011-08-31 00:00:00 | 1477897 | 1000000 | 477897 | 0 | 0 | 0
121 | WELLS FARGO ADVISORS FINANCIAL NETWORK LLC | FCM BD | NFA | 2011-08-31 00:00:00 | 53738006 | 4178999 | 49559007 | 0 | 0 | 0
122 | WELLS FARGO ADVISORS LLC | FCM BD | NFA | 2011-08-31 00:00:00 | 848868046 | 1500000 | 847368046 | 0 | 0 | 0
123 | WELLS FARGO SECURITIES LLC | FCM BD | CME | 2011-08-31 00:00:00 | 1909474162 | 13659425 | 1895814737 | 0 | 0 | 0
124 | WHITE COMMERCIAL CORPORATION | FCM | NFA | 2011-08-31 00:00:00 | 2668191 | 1000000 | 1668191 | 0 | 0 | 0
125 | XPRESSTRADE LLC | RFED | NFA | 2011-08-31 00:00:00 | 22865434 | 20000000 | 2865434 | 0 | 0 | 578289
126 | YORK BUSINESS ASSOCIATES LLC | FCM | NFA | 2011-08-31 00:00:00 | 3400473 | 1000000 | 2400473 | 79337509 | 1798598 | 0
 | Totals
 | July Web Page Update | 125
 | Additions | 2
 | BNP PARIBAS PRIME BROKERAGE INC
 | PENSON FINANCIAL SERVICES INC
 | Deletions | 1
 | TRILAND USA INC
 | Name Change
 | None
 | August Web Page Update | 126
 | *Allianz Global Investors Distributors LLC files financial statements quarterly.
 | (a):  FCM:         Futures Commission Merchant that is registered with the Commodity Futures Trading Commission;
 | BD:           The FCM is also registered with the Securities and Exchange Commission as a securities broker or dealer;
 | RFED:       Retail Foreign Exchange Dealer that is registered with the Commodity Futures Trading Commission;
 | FCMRFD:  The FCM is also registered with the Commodity Futures Trading Commission as a Retail Foreign Exchange Dealer.
 | (b):  DSRO: Designated Self-Regulatory Organization.
 | (c):  A firm's net capital requirement is the greater of:
 | •  FCM minimum dollar amount ($1,000,000); or
 | •  risk based capital requirement, the sum of 8% of total customer risk maintenance margin and 8% of total non-customer risk maintenance margin; or
 | •  the amount of capital required by a registered futures association (currently NFA is the only such association); or
 | •  for securities brokers and dealers, the amount of net capital required by Rule 15c3-1(a) of the Securities and Exchange Commission; or
 | •  minimum dollar amount for FCM’s offering or engaged in retail forex transactions and RFEDs ($20,000,000); or
 | •  minimum dollar amount for FCM’s offering or engaged in retail forex transactions and RFEDs ($20,000,000) plus five percent of the FCM’s or RFED’s total retail forex obligation in excess of $10,000,000.
 | (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.
 | (g):  This represents the total amount of funds at an FCM, RFED, or FCMRFD that would be obtained by combining all money, securities and property deposited by a retail forex customer into a retail forex account or accounts, adjusted for the realized and unrealized net profit or loss.
 | Note:  Any comments regarding information contained in this table may be brought to the attention of the CFTC's Division of Swap Dealer and [NAME] via e-mail:
 | [EMAIL]