Spreadsheet: 19e561e7-b3da-4bc6-bb14-7d106ee32362
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 | 3D FOREX, LLC | N | NFA | 2008-09-30 00:00:00 | 16195040 | 500000 | 15695040 | 0 | 0
2 | ACM USA LLC | N | NFA | 2008-09-30 00:00:00 | 8891292 | 5000000 | 3891292 | 0 | 0
3 | ADM INVESTOR SERVICES INC | N | CBOT | 2008-09-30 00:00:00 | 153657171 | 76879351 | 76777820 | 2097248551 | 81241992
4 | ADVANCED MARKETS INC | N | NFA | 2008-09-30 00:00:00 | 6743097 | 5000000 | 1743097 | 0 | 0
5 | ADVANTAGE FUTURES LLC | N | CME | 2008-09-30 00:00:00 | 25393646 | 6463385 | 18930261 | 250248669 | 22256852
6 | AIG CLEARING CORPORATION | N | NYME | 2008-09-30 00:00:00 | 319866248 | 25967899 | 293898349 | 0 | 0
7 | ALARON TRADING CORPORATION | N | CME | 2008-09-30 00:00:00 | 7754821 | 2664345 | 5090476 | 175178858 | 9752956
8 | ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC | Y | NFA | 2008-09-30 00:00:00 | 25779452 | 7250234 | 18529218 | 0 | 0
9 | [NAME] (US) LLC | N | NFA | 2008-09-30 00:00:00 | 17437221 | 5000000 | 12437221 | 0 | 0
10 | BACERA CORPORATION | N | NFA | 2008-09-30 00:00:00 | 5489342 | 5000000 | 489342 | 0 | 0
11 | BANC OF AMERICA SECURITIES LLC | Y | CME | 2008-09-30 00:00:00 | 2792592516 | 276062957 | 2516529559 | 1790929961 | 22672456
12 | BARCLAYS CAPITAL INC | Y | NYME | 2008-09-30 00:00:00 | 8334665920 | 550369186 | 7784296734 | 5838745820 | 4803496867
13 | BEAR STEARNS & CO INC | Y | NFA | 2008-09-30 00:00:00 | 5098168548 | 553837792 | 4544330756 | 0 | 0
14 | BEAR STEARNS SECURITIES CORP | Y | CME | 2008-09-30 00:00:00 | 4750987921 | 1403927334 | 3347060587 | 758370117 | 204202952
15 | BGC SECURITIES | Y | NFA | 2008-09-30 00:00:00 | 8379996 | 500000 | 7879996 | 0 | 0
16 | BNP PARIBAS COMMODITY FUTURES INC | N | NYME | 2008-09-30 00:00:00 | 266860500 | 211546540 | 55313960 | 2053297604 | 577887144
17 | BNP PARIBAS SECURITIES CORP | Y | CBOT | 2008-09-30 00:00:00 | 845664489 | 128403898 | 717260591 | 360142298 | 0
18 | CADENT FINANCIAL SERVICES LLC | N | CME | 2008-09-30 00:00:00 | 3855697 | 5104753 | -1,249,056* | 225479422 | 2587771
19 | CANTOR FITZGERALD & CO | Y | CBOT | 2008-09-30 00:00:00 | 258064041 | 37305412 | 220758629 | 16901674 | 61825
20 | CAPITAL MARKET SERVICES LLC | N | NFA | 2008-09-30 00:00:00 | 22018126 | 5000000 | 17018126 | 0 | 0
21 | CIBC WORLD MARKETS CORP | Y | CME | 2008-09-30 00:00:00 | 1067895517 | 13096693 | 1054798824 | 0 | 0
22 | CITIGROUP GLOBAL MARKETS INC | Y | CBOT | 2008-09-30 00:00:00 | 4871985164 | 1015826523 | 3856158641 | 13083277257 | 684569062
23 | CLIFF LARSON COMPANY THE | N | NFA | 2008-09-30 00:00:00 | 3393322 | 1525228 | 1868094 | 23628015 | 0
24 | CMC MARKETS (US) LLC | N | NFA | 2008-09-30 00:00:00 | 8636095 | 5000000 | 3636095 | 0 | 0
25 | COMMONWEALTH FOREIGN EXCHANGE INC | N | NFA | 2008-09-30 00:00:00 | 1659047 | 500000 | 1159047 | 0 | 0
26 | COMTRUST INC | N | NFA | 2008-09-30 00:00:00 | 847040 | 500000 | 347040 | 1923604 | 0
27 | COUNTRY HEDGING INC | N | NFA | 2008-09-30 00:00:00 | 12790082 | 10262136 | 2527946 | 197222062 | 151139
28 | CREDIT SUISSE SECURITIES (USA) LLC | Y | CBOT | 2008-09-30 00:00:00 | 5817067960 | 771398423 | 5045669537 | 3086982194 | 1879029867
29 | CROSSLAND LLC | N | CBOT | 2008-09-30 00:00:00 | 3160979 | 500000 | 2660979 | 28385369 | 7405
30 | CUNNINGHAM COMMODITIES LLC | N | CBOT | 2008-09-30 00:00:00 | 3413531 | 868160 | 2545371 | 30561477 | 116659
31 | DAIWA SECURITIES AMERICA INC | Y | CME | 2008-09-30 00:00:00 | 157873129 | 43997474 | 113875655 | 19864200 | 1107591
32 | DEUTSCHE BANK SECURITIES INC | Y | CBOT | 2008-09-30 00:00:00 | 3423577796 | 486590772 | 2936987024 | 8004804729 | 1243988842
33 | DORMAN TRADING LLC | N | CME | 2008-09-30 00:00:00 | 8564950 | 537899 | 8027051 | 78591021 | 19217
34 | DUNAVANT COMMODITY CORP | N | NFA | 2008-09-30 00:00:00 | 43582086 | 739604 | 42842482 | 0 | 0
35 | EAGLE MARKET MAKERS INC | N | CBOT | 2008-09-30 00:00:00 | 6828134 | 500000 | 6328134 | 12419284 | 0
36 | EASY FOREX US LTD | N | NFA | 2008-09-30 00:00:00 | 9943778 | 5000000 | 4943778 | 0 | 0
37 | ED &F MAN COMMODITY ADVISORS INC | N | NFA | 2008-09-30 00:00:00 | 981275 | 500000 | 481275 | 0 | 0
38 | ELECTRONIC BROKERAGE SYSTEMS LLC | Y | NFA | 2008-09-30 00:00:00 | 12233593 | 500000 | 11733593 | 0 | 0
39 | ENSKILDA FUTURES LTD | N | CME | 2008-09-30 00:00:00 | 18294265 | 10646511 | 7647754 | 202185617 | 0
40 | FARR FINANCIAL INC | N | NFA | 2008-09-30 00:00:00 | 1778491 | 611421 | 1167070 | 36716021 | 0
41 | FC STONE LLC | N | CME | 2008-09-30 00:00:00 | 84458355 | 61226936 | 23231419 | 1504902503 | 10394588
42 | FOREX CAPITAL MARKETS LLC | N | NFA | 2008-09-30 00:00:00 | 114299767 | 12199221 | 102100546 | 0 | 0
43 | FOREX CLUB FINANCIAL COMPANY INC | N | NFA | 2008-09-30 00:00:00 | 9615811 | 5000000 | 4615811 | 0 | 0
44 | FORTIS CLEARING AMERICAS LLC | Y | CBOT | 2008-09-30 00:00:00 | 273955744 | 50167137 | 223788607 | 1134860136 | 54498372
45 | FRIEDBERG MERCANTILE GROUP INC | N | NFA | 2008-09-30 00:00:00 | 8164571 | 5000000 | 3164571 | 4956310 | 29800
46 | FRONTIER FUTURES INC | N | NFA | 2008-09-30 00:00:00 | 1512893 | 881883 | 631010 | 38069301 | 0
47 | FUTURES TECH LLC | N | NFA | 2008-09-30 00:00:00 | 829283 | 500000 | 329283 | 0 | 0
48 | FX SOLUTIONS LLC | N | NFA | 2008-09-30 00:00:00 | 21197643 | 5000000 | 16197643 | 0 | 0
49 | GAIN CAPITAL GROUP LLC | N | NFA | 2008-09-30 00:00:00 | 77580143 | 7689506 | 69890637 | 0 | 0
50 | GATEWAY CAPITAL L.L.C. | N | NFA | 2008-09-30 00:00:00 | 841639 | 500000 | 341639 | 0 | 0
51 | GELBER GROUP LLC | N | CBOT | 2008-09-30 00:00:00 | 131316336 | 500000 | 130816336 | 71274997 | 2500
52 | GENESIS FUTURES LLC | N | NFA | 2008-09-30 00:00:00 | 1020747 | 500000 | 520747 | 0 | 0
53 | GFS FOREX & FUTURES INC | N | NFA | 2008-09-30 00:00:00 | 11908980 | 5000000 | 6908980 | 0 | 0
54 | GILDER GAGNON HOWE AND CO LLC | Y | NFA | 2008-09-30 00:00:00 | 15337016 | 500000 | 14837016 | 0 | 0
55 | GLOBAL FUTURES &  FOREX LTD | N | NFA | 2008-09-30 00:00:00 | 67073561 | 5885312 | 61188249 | 551785 | 232
56 | GOLDMAN SACHS & CO | Y | CBOT | 2008-09-26 00:00:00 | 10053524008 | 2882651487 | 7170872521 | 19200777452 | 9423292889
57 | GOLDMAN SACHS EXECUTION & CLEARING LP | Y | CME | 2008-09-26 00:00:00 | 1227220738 | 61551275 | 1165669463 | 1280425065 | 13661946
58 | H & R BLOCK FINANCIAL ADVISORS INC | Y | NFA | 2008-09-30 00:00:00 | 41606220 | 7968790 | 33637430 | 0 | 0
59 | HOTSPOT FXR LLC | N | NFA | 2008-09-30 00:00:00 | 10021446 | 5000000 | 5021446 | 0 | 0
60 | HSBC SECURITIES USA INC | Y | CME | 2008-09-30 00:00:00 | 853015055 | 219519706 | 633495349 | 952607891 | 81811263
61 | I TRADE FX LLC | N | NFA | 2008-09-30 00:00:00 | 17258339 | 5000000 | 12258339 | 0 | 0
62 | ICAP FUTURES LLC | N | NFA | 2008-09-30 00:00:00 | 5357007 | 500000 | 4857007 | 0 | 0
63 | IG MARKETS INC. | N | NFA | 2008-09-30 00:00:00 | 16240340 | 5000000 | 11240340 | 0 | 0
64 | IKON GLOBAL MARKETS INC. | N | NFA | 2008-09-30 00:00:00 | 10424199 | 5000000 | 5424199 | 2875374 | 109503
65 | INSTINET LLC | Y | NFA | 2008-09-30 00:00:00 | 54378106 | 7372642 | 47005464 | 0 | 0
66 | INTEGRATED BROKERAGE SERVICES LLC | N | NFA | 2008-09-30 00:00:00 | 2202140 | 500000 | 1702140 | 195863 | 0
67 | INTERACTIVE BROKERS LLC | Y | EUXUS | 2008-09-30 00:00:00 | 551524984 | 47602873 | 503922111 | 262746253 | 78033015
68 | INTERBANK FX LLC | N | NFA | 2008-09-30 00:00:00 | 37596319 | 5000000 | 32596319 | 0 | 0
69 | ITG DERIVATIVES, LLC | Y | NFA | 2008-09-30 00:00:00 | 2679798 | 526285 | 2153513 | 0 | 0
70 | JP MORGAN FUTURES INC | N | NYME | 2008-09-30 00:00:00 | 1733660702 | 1144724184 | 588936518 | 14110500073 | 2297683812
71 | KOTTKE ASSOCIATES LLC | N | CBOT | 2008-09-30 00:00:00 | 22725498 | 500000 | 22225498 | 36504591 | 19362
72 | LADENBURG THALMANN & CO INC | Y | NFA | 2008-09-30 00:00:00 | 11596775 | 500000 | 11096775 | 0 | 0
73 | LBS LIMITED PARTNERSHIP | N | NFA | 2008-09-30 00:00:00 | 826973 | 500000 | 326973 | 0 | 0
74 | LEK SECURITIES CORPORATION | Y | NFA | 2008-09-30 00:00:00 | 11229858 | 1500000 | 9729858 | 128339 | 0
75 | LIMESTONE TRADING LLC | N | NFA | 2008-09-30 00:00:00 | 20118821 | 500000 | 19618821 | 0 | 0
76 | LINN GROUP  ( THE ) | N | NFA | 2008-09-30 00:00:00 | 3374621 | 500000 | 2874621 | 15494345 | 0
77 | LOEB PARTNERS CORPORATION | Y | NFA | 2008-09-30 00:00:00 | 15517349 | 500000 | 15017349 | 0 | 0
78 | LPL FINANCIAL CORPORATION | Y | NFA | 2008-09-30 00:00:00 | 80351808 | 9281982 | 71069826 | 0 | 0
79 | MACQUARIE FUTURES USA INC | N | CBOT | 2008-09-30 00:00:00 | 48516021 | 28781282 | 19734739 | 499479078 | 1853112
80 | MB TRADING FUTURES INC. | N | NFA | 2008-09-30 00:00:00 | 14245045 | 5000000 | 9245045 | 0 | 0
81 | MBF CLEARING CORP | N | NYME | 2008-09-30 00:00:00 | 29326963 | 1151710 | 28175253 | 78113616 | 5279253
82 | MCVEAN TRADING AND INVESTMENTS LLC | N | NFA | 2008-09-30 00:00:00 | 14479256 | 1957359 | 12521897 | 746953028 | 0
83 | MERRILL LYNCH PIERCE FENNER & SMITH | Y | CBOT | 2008-09-26 00:00:00 | 4704957228 | 684832535 | 4020124693 | 9058313299 | 1388448494
84 | MERRILL LYNCH PROFESSIONAL CLEARING CORP | Y | NFA | 2008-09-26 00:00:00 | 1460306208 | 103812811 | 1356493397 | 1214106658 | 68546336
85 | MF GLOBAL INC. | Y | CME | 2008-09-30 00:00:00 | 610021617 | 383693488 | 226328129 | 8650690042 | 991829415
86 | MG FINANCIAL LLC | N | NFA | 2008-09-30 00:00:00 | 5979092 | 5000000 | 979092 | 0 | 0
87 | MID-CO COMMODITIES INC | N | NFA | 2008-09-30 00:00:00 | 13409347 | 4415024 | 8994323 | 82401962 | 0
88 | MITSUI BUSSAN COMMODITIES USA INC | N | NYME | 2008-09-30 00:00:00 | 7499830 | 2394864 | 5104966 | 0 | 0
89 | MIZUHO SECURITIES USA INC | Y | CME | 2008-09-30 00:00:00 | 255988011 | 65987668 | 190000343 | 550492133 | 366379377
90 | MORGAN KEEGAN & COMPANY INC | Y | NFA | 2008-09-30 00:00:00 | 356183785 | 12867223 | 343316562 | 0 | 0
91 | MORGAN STANLEY & CO INCORPORATED | Y | CME | 2008-09-30 00:00:00 | 8753264672 | 2092182429 | 6661082243 | 5845327755 | 4016087458
92 | NATIXIS SECURITIES NORTH AMERICA INC | Y | NFA | 2008-09-30 00:00:00 | 187456249 | 500000 | 186956249 | 0 | 0
93 | NEUBERGER BERMAN LLC | Y | NFA | 2008-09-30 00:00:00 | 277046477 | 5000000 | 272046477 | 0 | 0
94 | NEWEDGE USA LLC. | Y | NYME | 2008-09-30 00:00:00 | 2015441407 | 1477133615 | 538307792 | 23958121258 | 8417179283
95 | NOMURA SECURITIES INTERNATIONAL INC | Y | CBOT | 2008-09-30 00:00:00 | 548096249 | 15160476 | 532935773 | 0 | 0
96 | OANDA CORPORATION | N | NFA | 2008-09-30 00:00:00 | 168344347 | 8045545 | 160298802 | 0 | 0
97 | ODL SECURITIES INC | N | NFA | 2008-09-30 00:00:00 | 15180254 | 5000000 | 10180254 | 0 | 0
98 | OPEN E CRY LLC | N | NFA | 2008-09-30 00:00:00 | 2040704 | 535971 | 1504733 | 52441919 | 694110
99 | OPPENHEIMER & CO  INC | Y | NFA | 2008-09-30 00:00:00 | 189055731 | 25988140 | 163067591 | 19965689 | 0
100 | OPTIONSXPRESS INC | Y | NFA | 2008-09-30 00:00:00 | 71630948 | 10694264 | 60936684 | 51628925 | 747477
101 | [NAME] | N | CBOT | 2008-09-30 00:00:00 | 18530729 | 13482583 | 5048146 | 436879695 | 19571345
102 | PEREGRINE FINANCIAL GROUP INC | N | NFA | 2008-09-30 00:00:00 | 22038818 | 5532588 | 16506230 | 246447913 | 12075646
103 | PIONEER FUTURES INC | N | NYME | 2008-09-30 00:00:00 | 1599113 | 500000 | 1099113 | 0 | 0
104 | PRUDENTIAL BACHE COMMODITIES LLC | N | CBOT | 2008-09-30 00:00:00 | 275513000 | 222762840 | 52750160 | 3784882000 | 364251000
105 | PUMA FINANCIAL LLC | N | NFA | 2008-09-30 00:00:00 | 1571556 | 500000 | 1071556 | 7975672 | 0
106 | RAND FINANCIAL SERVICES INC | N | CME | 2008-09-30 00:00:00 | 60351609 | 9913119 | 50438490 | 103696200 | 27040900
107 | RAYMOND JAMES & ASSOCIATES INC | Y | NFA | 2008-09-30 00:00:00 | 303192554 | 33096145 | 270096409 | 0 | 0
108 | RBC CAPITAL MARKETS CORPORATION | Y | CME | 2008-09-30 00:00:00 | 725435219 | 97531718 | 627903501 | 946808755 | 682975750
109 | RBS GREENWICH CAPITAL INC | Y | CBOT | 2008-09-30 00:00:00 | 1830594000 | 332812704 | 1497781296 | 1408796000 | 45238000
110 | RJ OBRIEN  &  ASSOCIATES LLC | N | CME | 2008-09-30 00:00:00 | 90320058 | 63844277 | 26475781 | 2289131269 | 29678762
111 | ROBBINS FUTURES INC | N | NFA | 2008-09-30 00:00:00 | 616520 | 500000 | 116520 | 5622226 | 0
112 | ROSENTHAL COLLINS GROUP LLC | N | CME | 2008-09-30 00:00:00 | 86733814 | 36349825 | 50383989 | 1275629551 | 11103800
113 | ROSENTHAL GLOBAL SECURITIES LLC | Y | NFA | 2008-09-30 00:00:00 | 22027717 | 2452522 | 19575195 | 0 | 0
114 | SANFORD C BERNSTEIN & CO LLC | Y | NFA | 2008-09-30 00:00:00 | 143951685 | 10522491 | 133429194 | 0 | 0
115 | SANTANDER INVESTMENT SECURITIES INC. | Y | NFA | 2008-09-30 00:00:00 | 77449602 | 617638 | 76831964 | 0 | 0
116 | SHAY GRAIN CLEARING COMPANY | N | KCBT | 2008-09-30 00:00:00 | 2799558 | 1021909 | 1777649 | 23776388 | 0
117 | SMW TRADING COMPANY INC | N | CME | 2008-09-30 00:00:00 | 34775547 | 500000 | 34275547 | 7754488 | 0
118 | SNC INVESTMENTS INC | N | NFA | 2008-09-30 00:00:00 | 636915 | 500000 | 136915 | 0 | 0
119 | STEPHENS INC | Y | NFA | 2008-09-26 00:00:00 | 77733628 | 10142589 | 67591039 | 0 | 0
120 | STERLING COMMODITIES CORP | N | NYME | 2008-09-30 00:00:00 | 9914352 | 1018575 | 8895777 | 71537860 | 600073
121 | TCA FUTURES LLC | N | NFA | 2008-09-30 00:00:00 | 855284 | 500000 | 355284 | 0 | 0
122 | TD AMERITRADE INC. | Y | NFA | 2008-09-30 00:00:00 | 44039280 | 250000 | 43789280 | 0 | 0
123 | TENCO INC | N | CBOT | 2008-09-30 00:00:00 | 41721804 | 7372692 | 34349112 | 182867943 | 110352
124 | TERRA NOVA FINANCIAL, LLC | Y | NFA | 2008-09-30 00:00:00 | 9494467 | 1527710 | 7966757 | 0 | 0
125 | TIMBER HILL LLC | Y | CME | 2008-09-30 00:00:00 | 1035961993 | 10327194 | 1025634799 | 162277633 | 0
126 | TOWER RESEARCH CAPITAL EUROPE LLC | N | NFA | 2008-09-30 00:00:00 | 1629309 | 500000 | 1129309 | 0 | 0
127 | TRADELINK LLC | Y | CBOT | 2008-09-30 00:00:00 | 61627360 | 500000 | 61127360 | 0 | 0
128 | TRADEMAVEN CLEARING LLC | N | NFA | 2008-09-30 00:00:00 | 704066 | 500000 | 204066 | 0 | 0
129 | TRADESTATION SECURITIES INC | Y | NFA | 2008-09-30 00:00:00 | 89444967 | 2097193 | 87347774 | 0 | 0
130 | TRADITION SECURITIES AND FUTURES INC | N | NFA | 2008-09-30 00:00:00 | 810417 | 500000 | 310417 | 0 | 0
131 | TRANSMARKET GROUP LLC | Y | CBOT | 2008-09-30 00:00:00 | 18776956 | 500000 | 18276956 | 0 | 0
132 | TRILAND USA INC | N | NYME | 2008-09-30 00:00:00 | 47492521 | 15363898 | 32128623 | 193218361 | 0
133 | UBS FINANCIAL SERVICES INC | Y | NFA | 2008-09-30 00:00:00 | 1310114303 | 134025405 | 1176088898 | 344936393 | 1140585
134 | UBS SECURITIES LLC | Y | CBOT | 2008-09-30 00:00:00 | 11822180437 | 1227761321 | 10594419116 | 16351748024 | 7021054505
135 | VELOCITY FUTURES LP | N | NFA | 2008-09-30 00:00:00 | 1016814 | 500000 | 516814 | 33240534 | 1862688
136 | VISION FINANCIAL MARKETS LLC | Y | CME | 2008-09-30 00:00:00 | 26538890 | 7134604 | 19404286 | 313162700 | 1074966
137 | WACHOVIA CAPITAL MARKETS LLC | Y | CME | 2008-09-30 00:00:00 | 1493607099 | 2901587 | 1490705512 | 0 | 0
138 | WACHOVIA SECURITIES FINANCIAL NETWORK, LLC | Y | NFA | 2008-09-30 00:00:00 | 31711043 | 1778626 | 29932417 | 0 | 0
139 | WACHOVIA SECURITIES LLC | Y | NFA | 2008-09-30 00:00:00 | 520546078 | 33860833 | 486685245 | 0 | 0
140 | WHITE COMMERCIAL CORPORATION | N | NFA | 2008-09-30 00:00:00 | 2581779 | 500000 | 2081779 | 0 | 0
141 | WSD FINANCIAL USA, INC | N | NFA | 2008-09-30 00:00:00 | 1287194 | 500000 | 787194 | 0 | 0
142 | YORK BUSINESS ASSOCIATES LLC | N | NFA | 2008-09-30 00:00:00 | 1152065 | 500000 | 652065 | 38514730 | 1126308
 | Total |  |  |  |  |  |  | 156026913799 | 44968636874
 | August Web Page Update | 145
 | Additions | 2
 | Allianz Global Investors Distributors LLC
 | TD Ameritrade Inc
 | Deletions | 5
 | CSC Futures Inc
 | First Capitol Group Inc
 | IFX Markets Inc
 | Newedge Financial Inc.
 | Shatkin Arbor Inc
 | Name Change
 | September Web Page Update | 142
 | *Cadent Financial Services LLC is currently in capital compliance
 | (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 vthe 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].