Spreadsheet: 03968f60-45b0-4ac2-8389-778135751f9c
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 | 2009-06-30 00:00:00 | 9889340 | 500000 | 9389340 | 0 | 0
2 | ACM USA LLC | N | NFA | 2009-06-30 00:00:00 | 782268 | 500000 | 282268 | 0 | 0
3 | ADM INVESTOR SERVICES INC | N | CBOT | 2009-06-30 00:00:00 | 160496289 | 82507381 | 77988908 | 2064549197 | 64094659
4 | ADVANCED MARKETS LLC | N | NFA | 2009-06-30 00:00:00 | 20759733 | 20000000 | 759733 | 0 | 0
5 | ADVANTAGE FUTURES LLC | N | CME | 2009-06-30 00:00:00 | 15467149 | 4478000 | 10989149 | 211320016 | 21065359
6 | AIG CLEARING CORPORATION | N | NYME | 2009-06-30 00:00:00 | 215696915 | 1084174 | 214612741 | 0 | 0
7 | ALARON TRADING CORPORATION | N | NFA | 2009-06-30 00:00:00 | 1354923 | 500000 | 854923 | 0 | 0
8 | ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC* | Y | NFA | 2009-06-30 00:00:00 | 20380910 | 6459884 | 13921026 | 0 | 0
9 | [NAME] (US) LLC | N | NFA | 2009-06-30 00:00:00 | 21738927 | 20000000 | 1738927 | 0 | 0
10 | AMERIPRISE ADVISOR SERVICES INC | Y | NFA | 2009-06-30 00:00:00 | 80135845 | 5868517 | 74267328 | 0 | 0
11 | BANC OF AMERICA SECURITIES LLC | Y | CME | 2009-06-30 00:00:00 | 2364587402 | 68999741 | 2295587661 | 0 | 0
12 | BARCLAYS CAPITAL INC | Y | NYME | 2009-06-30 00:00:00 | 4925400400 | 506585790 | 4418814610 | 4930438567 | 1837223837
13 | BGC FINANCIAL LP | Y | NFA | 2009-06-30 00:00:00 | 46924356 | 1033303 | 45891053 | 0 | 0
14 | BNP PARIBAS COMMODITY FUTURES INC | N | NYME | 2009-06-30 00:00:00 | 276865682 | 225412659 | 51453023 | 2490946574 | 544829164
15 | BNP PARIBAS SECURITIES CORP | Y | CBOT | 2009-06-30 00:00:00 | 1295195302 | 62719200 | 1232476102 | 267629984 | 0
16 | CADENT FINANCIAL SERVICES LLC | N | CME | 2009-06-30 00:00:00 | 3948628 | 4100314 | -151686 | 183989414 | 1162638
17 | CANTOR FITZGERALD & CO | Y | CBOT | 2009-06-30 00:00:00 | 207086260 | 7369412 | 199716848 | 16152240 | 0
18 | CAPITAL MARKET SERVICES LLC | N | NFA | 2009-06-30 00:00:00 | 27054958 | 20000000 | 7054958 | 0 | 0
19 | CIBC WORLD MARKETS CORP | Y | CME | 2009-06-30 00:00:00 | 1245442071 | 2923955 | 1242518116 | 0 | 0
20 | CITIGROUP GLOBAL MARKETS INC | Y | CBOT | 2009-06-30 00:00:00 | 8149921048 | 678512207 | 7471408841 | 10690211529 | 621112402
21 | COMMONWEALTH FOREIGN EXCHANGE INC | N | NFA | 2009-06-30 00:00:00 | 952127 | 500000 | 452127 | 0 | 0
22 | COUNTRY HEDGING INC | N | NFA | 2009-06-30 00:00:00 | 13300103 | 8187508 | 5112595 | 142672753 | 22106
23 | CREDIT SUISSE SECURITIES (USA) LLC | Y | CBOT | 2009-06-30 00:00:00 | 9339853966 | 598301274 | 8741552692 | 3101284233 | 1387516796
24 | CROSSLAND LLC | N | CBOT | 2009-06-30 00:00:00 | 5918935 | 3558684 | 2360251 | 45113270 | 30832056
25 | CUNNINGHAM COMMODITIES LLC | N | CBOT | 2009-06-30 00:00:00 | 3664098 | 500000 | 3164098 | 30975223 | 61357
26 | CX CAPITAL MARKETS LLC | N | NFA | 2009-06-30 00:00:00 | 799637 | 500000 | 299637 | 5963341 | 0
27 | DAIWA SECURITIES AMERICA INC | Y | CME | 2009-06-30 00:00:00 | 272279881 | 1049387 | 271230494 | 9067002 | 46698
28 | DEUTSCHE BANK SECURITIES INC | Y | CBOT | 2009-06-30 00:00:00 | 6952348418 | 433718561 | 6518629857 | 9614628113 | 1053725400
29 | DORMAN TRADING LLC | N | CME | 2009-06-30 00:00:00 | 8560647 | 969981 | 7590666 | 90072642 | 41290
30 | EAGLE MARKET MAKERS INC | N | CBOT | 2009-06-30 00:00:00 | 6540168 | 500000 | 6040168 | 5310156 | 0
31 | EASY FOREX US LTD | N | NFA | 2009-06-30 00:00:00 | 20801320 | 20000000 | 801320 | 0 | 0
32 | ELECTRONIC BROKERAGE SYSTEMS LLC | Y | NFA | 2009-06-30 00:00:00 | 9707378 | 550544 | 9156834 | 0 | 0
33 | ENSKILDA FUTURES LTD | N | CME | 2009-06-30 00:00:00 | 23791790 | 10176966 | 13614824 | 175928014 | 0
34 | FARR FINANCIAL INC | N | NFA | 2009-06-30 00:00:00 | 967781 | 500000 | 467781 | 34376742 | 58975
35 | FCSTONE LLC | N | CME | 2009-06-30 00:00:00 | 58094179 | 37321103 | 20773076 | 945179530 | 8251307
36 | FOREX CAPITAL MARKETS LLC | N | NFA | 2009-06-30 00:00:00 | 65695487 | 20000000 | 45695487 | 0 | 0
37 | FOREX CLUB FINANCIAL COMPANY INC | N | NFA | 2009-06-30 00:00:00 | 25420007 | 20000000 | 5420007 | 0 | 0
38 | FORTIS CLEARING AMERICAS LLC | Y | CBOT | 2009-06-30 00:00:00 | 200397679 | 59948328 | 140449351 | 1057845649 | 109610912
39 | FRIEDBERG MERCANTILE GROUP INC | N | NFA | 2009-06-30 00:00:00 | 3364966 | 500000 | 2864966 | 3500378 | 0
40 | FRONTIER FUTURES INC | N | NFA | 2009-06-30 00:00:00 | 1161838 | 700391 | 461447 | 31100635 | 0
41 | FUTURES TECH LLC | N | NFA | 2009-06-30 00:00:00 | 813783 | 500000 | 313783 | 0 | 0
42 | FX SOLUTIONS LLC | N | NFA | 2009-06-30 00:00:00 | 51096354 | 20000000 | 31096354 | 0 | 0
43 | GAIN CAPITAL GROUP LLC | N | NFA | 2009-06-30 00:00:00 | 99742273 | 20000000 | 79742273 | 0 | 0
44 | GENESIS FUTURES LLC | N | NFA | 2009-06-30 00:00:00 | 763749 | 500000 | 263749 | 0 | 0
45 | GFS FOREX & FUTURES INC | N | NFA | 2009-06-30 00:00:00 | 3558305 | 500000 | 3058305 | 0 | 0
46 | GILDER GAGNON HOWE & CO LLC | Y | NFA | 2009-06-30 00:00:00 | 17288548 | 500000 | 16788548 | 0 | 0
47 | GLOBAL FUTURES & FOREX LTD | N | NFA | 2009-06-30 00:00:00 | 81244495 | 20000000 | 61244495 | 407470 | 189748
48 | GOLDMAN SACHS & CO | Y | CBOT | 2009-06-26 00:00:00 | 13186909828 | 1771241221 | 11415668607 | 18683694841 | 7609828945
49 | GOLDMAN SACHS EXECUTION & CLEARING LP | Y | CME | 2009-06-26 00:00:00 | 1872647152 | 75758636 | 1796888516 | 1045342499 | 18096676
50 | HOTSPOT FXR LLC | N | NFA | 2009-06-30 00:00:00 | 6068405 | 500000 | 5568405 | 0 | 0
51 | HSBC SECURITIES USA INC | Y | CME | 2009-06-30 00:00:00 | 1331966188 | 75490440 | 1256475748 | 926546149 | 92878553
52 | I TRADE FX LLC | N | NFA | 2009-06-30 00:00:00 | 1039123 | 500000 | 539123 | 0 | 0
53 | ICAP FUTURES LLC | N | NFA | 2009-06-30 00:00:00 | 6038660 | 500000 | 5538660 | 0 | 0
54 | IG MARKETS INC | N | NFA | 2009-06-30 00:00:00 | 31124938 | 20000000 | 11124938 | 0 | 0
55 | IKON GLOBAL MARKETS INC | N | NFA | 2009-06-30 00:00:00 | 21065193 | 20000000 | 1065193 | 1781064 | 417748
56 | INSTINET LLC | Y | NFA | 2009-06-30 00:00:00 | 115448235 | 2367848 | 113080387 | 0 | 0
57 | INTEGRATED BROKERAGE SERVICES LLC | N | NFA | 2009-06-30 00:00:00 | 1573940 | 500000 | 1073940 | 0 | 0
58 | INTERACTIVE BROKERS LLC | Y | NFA | 2009-06-30 00:00:00 | 696556790 | 59794975 | 636761815 | 304214162 | 101727336
59 | INTERBANK FX LLC | N | NFA | 2009-06-30 00:00:00 | 35056967 | 20000000 | 15056967 | 0 | 0
60 | ITG DERIVATIVES LLC | Y | NFA | 2009-06-30 00:00:00 | 2980985 | 500000 | 2480985 | 0 | 0
61 | JP MORGAN CLEARING CORP | Y | CME | 2009-06-30 00:00:00 | 4709561531 | 1488196708 | 3221364823 | 657270358 | 231322821
62 | JP MORGAN FUTURES INC | N | NYME | 2009-06-30 00:00:00 | 1377866635 | 1140521964 | 237344671 | 15312370548 | 2021912050
63 | JP MORGAN SECURITIES INC | Y | NFA | 2009-06-30 00:00:00 | 7269789323 | 584185216 | 6685604107 | 0 | 0
64 | LADENBURG THALMANN & CO INC | Y | NFA | 2009-06-30 00:00:00 | 3238010 | 500000 | 2738010 | 0 | 0
65 | LEK SECURITIES CORPORATION | Y | NFA | 2009-06-30 00:00:00 | 13521655 | 1803584 | 11718071 | 667319 | 0
66 | LIMESTONE TRADING LLC | N | NFA | 2009-06-30 00:00:00 | 11856168 | 500000 | 11356168 | 0 | 0
67 | LINN GROUP THE | N | NFA | 2009-06-30 00:00:00 | 2074032 | 616320 | 1457712 | 37542226 | 1287
68 | LPL FINANCIAL CORPORATION | Y | NFA | 2009-06-30 00:00:00 | 93208554 | 6388077 | 86820477 | 0 | 0
69 | MACQUARIE FUTURES USA INC | N | CBOT | 2009-06-30 00:00:00 | 76356708 | 37598523 | 38758185 | 697190315 | 1890067
70 | MAREX USA LIMITED | N | NFA | 2009-06-30 00:00:00 | 840578 | 500000 | 340578 | 0 | 0
71 | MB TRADING FUTURES INC | N | NFA | 2009-06-30 00:00:00 | 21142486 | 20000000 | 1142486 | 0 | 0
72 | MBF CLEARING CORP | N | NYME | 2009-06-30 00:00:00 | 21831849 | 2803729 | 19028120 | 89827639 | 7775209
73 | MCVEAN TRADING & INVESTMENTS LLC | N | NFA | 2009-06-30 00:00:00 | 7497509 | 1940130 | 5557379 | 573869406 | 0
74 | MERRILL LYNCH PIERCE FENNER & SMITH | Y | CBOT | 2009-06-30 00:00:00 | 5003592032 | 575379041 | 4428212991 | 7860978892 | 1169555214
75 | MERRILL LYNCH PROFESSIONAL CLEARING CORP | Y | NFA | 2009-06-30 00:00:00 | 1630519413 | 73522602 | 1556996811 | 869992374 | 34054330
76 | MF GLOBAL INC | Y | CME | 2009-06-30 00:00:00 | 591275743 | 325611286 | 265664457 | 7533596882 | 403166951
77 | MG FINANCIAL LLC | N | NFA | 2009-06-30 00:00:00 | 5013736 | 500000 | 4513736 | 0 | 0
78 | MID CO COMMODITIES INC | N | NFA | 2009-06-30 00:00:00 | 11338742 | 2551675 | 8787067 | 42450258 | 0
79 | MITSUBISHI UFJ SECURITIES USA INC | Y | NFA | 2009-06-30 00:00:00 | 71961024 | 1029511 | 70931513 | 0 | 0
80 | MITSUI BUSSAN COMMODITIES USA INC | N | NYME | 2009-06-30 00:00:00 | 6965200 | 1970427 | 4994773 | 0 | 0
81 | MIZUHO SECURITIES USA INC | Y | CME | 2009-06-30 00:00:00 | 324745871 | 46446991 | 278298880 | 733653589 | 338739872
82 | MORGAN KEEGAN & COMPANY INC | Y | NFA | 2009-06-30 00:00:00 | 340428098 | 10895602 | 329532496 | 0 | 0
83 | MORGAN STANLEY & CO INCORPORATED | Y | CME | 2009-06-30 00:00:00 | 11259959490 | 1010538903 | 10249420587 | 4409112839 | 3800611448
84 | MORGAN STANLEY SMITH BARNEY LLC | Y | NFA | 2009-06-30 00:00:00 | 89306476 | 500000 | 88806476 | 0 | 0
85 | NATIXIS SECURITIES NORTH AMERICA INC | Y | NFA | 2009-06-30 00:00:00 | 208440383 | 500000 | 207940383 | 0 | 0
86 | NEUBERGER BERMAN LLC | Y | NFA | 2009-06-30 00:00:00 | 50052621 | 1500000 | 48552621 | 0 | 0
87 | NEWEDGE USA LLC | Y | NYME | 2009-06-30 00:00:00 | 2448567651 | 1461512780 | 987054871 | 19980426390 | 7212782384
88 | NOMURA SECURITIES INTERNATIONAL INC | Y | CBOT | 2009-06-30 00:00:00 | 677802417 | 3836161 | 673966256 | 0 | 0
89 | OANDA CORPORATION | N | NFA | 2009-06-30 00:00:00 | 160253525 | 20000000 | 140253525 | 0 | 0
90 | ODL SECURITIES INC | N | NFA | 2009-06-30 00:00:00 | 3186542 | 1000000 | 2186542 | 0 | 0
91 | OPEN E CRY LLC | N | NFA | 2009-06-30 00:00:00 | 2872644 | 875140 | 1997504 | 70679011 | 689678
92 | OPPENHEIMER & CO INC | Y | NFA | 2009-06-30 00:00:00 | 178898705 | 18642163 | 160256542 | 13019445 | 0
93 | OPTIONSXPRESS INC | Y | NFA | 2009-06-30 00:00:00 | 77969887 | 6543677 | 71426210 | 53971999 | 578262
94 | [NAME] | N | CBOT | 2009-06-30 00:00:00 | 20053648 | 14252468 | 5801180 | 416114451 | 23087539
95 | PEREGRINE FINANCIAL GROUP INC | N | NFA | 2009-06-30 00:00:00 | 33525381 | 20000000 | 13525381 | 319964109 | 32065424
96 | PIONEER FUTURES INC | N | NYME | 2009-06-30 00:00:00 | 1667517 | 500000 | 1167517 | 0 | 0
97 | PRUDENTIAL BACHE COMMODITIES LLC | N | CBOT | 2009-06-30 00:00:00 | 238549000 | 169869640 | 68679360 | 2861766000 | 340039000
98 | PUMA FINANCIAL LLC | N | NFA | 2009-06-30 00:00:00 | 1184311 | 750000 | 434311 | 6417033 | 0
99 | RAND FINANCIAL SERVICES INC | N | CME | 2009-06-30 00:00:00 | 57950221 | 8327893 | 49622328 | 84078400 | 17216700
100 | RAYMOND JAMES & ASSOCIATES INC | Y | NFA | 2009-06-30 00:00:00 | 299906454 | 25472138 | 274434316 | 0 | 0
101 | RBC CAPITAL MARKETS CORPORATION | Y | CME | 2009-06-30 00:00:00 | 1193909653 | 102989559 | 1090920094 | 1056580717 | 732208339
102 | RBS SECURITIES INC | Y | CBOT | 2009-06-30 00:00:00 | 2134514000 | 179676000 | 1954838000 | 1271867000 | 55638000
103 | RJ OBRIEN ASSOCIATES LLC | N | CME | 2009-06-30 00:00:00 | 118598809 | 60973755 | 57625054 | 2025992518 | 26159587
104 | ROBBINS FUTURES INC | N | NFA | 2009-06-30 00:00:00 | 586064 | 500000 | 86064 | 3128872 | 0
105 | ROSENTHAL COLLINS GROUP LLC | N | CME | 2009-06-30 00:00:00 | 59392124 | 31000548 | 28391576 | 1135888205 | 26681082
106 | ROSENTHAL GLOBAL SECURITIES LLC | Y | NFA | 2009-06-30 00:00:00 | 34066340 | 761862 | 33304478 | 0 | 0
107 | SANFORD C BERNSTEIN & CO LLC | Y | NFA | 2009-06-30 00:00:00 | 142532030 | 9157084 | 133374946 | 0 | 0
108 | SANTANDER INVESTMENT SECURITIES INC | Y | NFA | 2009-06-30 00:00:00 | 79746475 | 500000 | 79246475 | 0 | 0
109 | SHAY GRAIN CLEARING COMPANY | N | KCBT | 2009-06-30 00:00:00 | 2573918 | 500000 | 2073918 | 13972493 | 0
110 | SMW TRADING COMPANY INC | N | CME | 2009-06-30 00:00:00 | 35166459 | 500000 | 34666459 | 4594039 | 0
111 | STEPHENS INC | Y | NFA | 2009-06-30 00:00:00 | 57658459 | 11255796 | 46402663 | 0 | 0
112 | STERLING COMMODITIES CORP | N | NYME | 2009-06-30 00:00:00 | 9125585 | 732855 | 8392730 | 30719892 | 927938
113 | TCA FUTURES LLC | N | NFA | 2009-06-30 00:00:00 | 868766 | 500000 | 368766 | 0 | 0
114 | TD AMERITRADE INC | Y | NFA | 2009-06-30 00:00:00 | 229900805 | 500000 | 229400805 | 0 | 0
115 | TENCO INC | N | CBOT | 2009-06-30 00:00:00 | 44827288 | 7696976 | 37130312 | 169973255 | 0
116 | TERRA NOVA FINANCIAL LLC | Y | NFA | 2009-06-30 00:00:00 | 12243687 | 1500000 | 10743687 | 0 | 0
117 | TIMBER HILL LLC | Y | CME | 2009-06-30 00:00:00 | 1186370714 | 17017880 | 1169352834 | 228546297 | 0
118 | TOWER RESEARCH CAPITAL EUROPE LLC | N | NFA | 2009-06-30 00:00:00 | 4022010 | 500000 | 3522010 | 0 | 0
119 | TRADELINK LLC | Y | CBOT | 2009-06-30 00:00:00 | 20151168 | 500000 | 19651168 | 0 | 0
120 | TRADESTATION SECURITIES INC | Y | NFA | 2009-06-30 00:00:00 | 91093349 | 1460606 | 89632743 | 0 | 0
121 | TRADITION SECURITIES AND FUTURES INC | N | NFA | 2009-06-30 00:00:00 | 810895 | 500000 | 310895 | 0 | 0
122 | TRANSMARKET GROUP LLC | Y | CBOT | 2009-06-30 00:00:00 | 16778352 | 500000 | 16278352 | 0 | 0
123 | TRILAND USA INC | N | NYME | 2009-06-30 00:00:00 | 45377834 | 10537253 | 34840581 | 166733894 | 19733376
124 | UBS FINANCIAL SERVICES INC | Y | NFA | 2009-06-30 00:00:00 | 919187509 | 86522088 | 832665421 | 153048930 | 1673240
125 | UBS SECURITIES LLC | Y | CBOT | 2009-06-30 00:00:00 | 12957441801 | 949134123 | 12008307678 | 11701302252 | 6582964096
126 | VELOCITY FUTURES LLC | N | NFA | 2009-06-30 00:00:00 | 938092 | 500000 | 438092 | 33818837 | 989720
127 | VISION FINANCIAL MARKETS LLC | Y | CME | 2009-06-30 00:00:00 | 23402774 | 7385133 | 16017641 | 266552413 | 778408
128 | WACHOVIA CAPITAL MARKETS LLC | Y | CME | 2009-06-30 00:00:00 | 2011495921 | 1000000 | 2010495921 | 0 | 0
129 | WELLS FARGO ADVISORS FINANCIAL NETWORK LLC | Y | NFA | 2009-06-30 00:00:00 | 18898237 | 1544200 | 17354037 | 0 | 0
130 | WELLS FARGO ADVISORS LLC | Y | NFA | 2009-06-30 00:00:00 | 644159658 | 1500000 | 642659658 | 0 | 0
131 | WHITE COMMERCIAL CORPORATION | N | NFA | 2009-06-30 00:00:00 | 2309857 | 500000 | 1809857 | 0 | 0
132 | WSD FINANCIAL USA INC | N | NFA | 2009-06-30 00:00:00 | 1260952 | 500000 | 760952 | 0 | 0
133 | YORK BUSINESS ASSOCIATES LLC | N | NFA | 2009-06-30 00:00:00 | 1361842 | 500000 | 861842 | 46016782 | 1155769
 | Totals |  |  |  |  |  |  | 138043937266 | 36587191753 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0
 | May Web Page Update |  | 132
 | Additions |  | 1
 | GENESIS FUTURES LLC
 | Deletions
 | Name Change
 | June Web Page Update |  | 133
 | *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].