Spreadsheet: 08e76668-804b-411b-a45a-dfc9fd0ce15a
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 | ADM INVESTOR SERVICES INC | N | CBOT | 2010-05-31 00:00:00 | 187378845 | 90879144 | 96499701 | 2025539671 | 83888431
2 | ADVANCED MARKETS LLC | N | NFA | 2010-05-31 00:00:00 | 20117012 | 20000000 | 117012 | 0 | 0
3 | ADVANTAGE FUTURES LLC | N | CME | 2010-05-31 00:00:00 | 18148729 | 7320167 | 10828562 | 302449177 | 41543754
4 | ADVANTAGE SECURITIES LLC | Y | NFA | 2010-05-31 00:00:00 | 4184819 | 1000000 | 3184819 | 4435774 | 0
5 | AIG CLEARING CORPORATION | N | NYME | 2010-05-31 00:00:00 | 225679083 | 1000000 | 224679083 | 0 | 0
6 | ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC* | Y | NFA | 2010-03-31 00:00:00 | 31950881 | 8179981 | 23770900 | 0 | 0
7 | [NAME] (US) LLC | N | NFA | 2010-05-31 00:00:00 | 20881494 | 20000000 | 881494 | 0 | 0
8 | AMERIPRISE FINANCIAL SERVICES INC | Y | NFA | 2010-05-31 00:00:00 | 119656579 | 1000000 | 118656579 | 0 | 0
9 | BANC OF AMERICA SECURITIES LLC | Y | CME | 2010-05-31 00:00:00 | 3301211577 | 176295014 | 3124916563 | 0 | 0
10 | BARCLAYS CAPITAL INC | Y | NYME | 2010-05-31 00:00:00 | 5477061980 | 745520774 | 4731541206 | 5001581083 | 2116866085
11 | BGC FINANCIAL LP | Y | NFA | 2010-05-31 00:00:00 | 37737654 | 1000000 | 36737654 | 0 | 0
12 | BNP PARIBAS COMMODITY FUTURES INC | N | NYME | 2010-05-31 00:00:00 | 350090279 | 177566304 | 172523975 | 1262842950 | 454995256
13 | BNP PARIBAS SECURITIES CORP | Y | CBOT | 2010-05-31 00:00:00 | 2004201387 | 61713922 | 1942487465 | 238939322 | 0
14 | BNY MELLON CLEARING LLC | N | NFA | 2010-05-31 00:00:00 | 9983178 | 1000000 | 8983178 | 0 | 0
15 | CANTOR FITZGERALD & CO | Y | CBOT | 2010-05-31 00:00:00 | 133920943 | 3317944 | 130602999 | 11738663 | 0
16 | CAPITAL MARKET SERVICES LLC | N | NFA | 2010-05-31 00:00:00 | 26309883 | 20992049 | 5317834 | 0 | 0
17 | CIBC WORLD MARKETS CORP | Y | CME | 2010-05-31 00:00:00 | 1395076856 | 1500000 | 1393576856 | 0 | 0
18 | CITADEL SECURITIES LLC | Y | CME | 2010-05-31 00:00:00 | 223677594 | 20170341 | 203507253 | 0 | 0
19 | CITIGROUP GLOBAL MARKETS INC | Y | CBOT | 2010-05-31 00:00:00 | 7917107505 | 716173220 | 7200934285 | 10361718894 | 2673966040
20 | COMMONWEALTH FOREIGN EXCHANGE INC | N | NFA | 2010-05-31 00:00:00 | 1360635 | 1000000 | 360635 | 0 | 0
21 | COMPASS PROFESSIONAL SERVICES LLC | Y | NFA | 2010-05-31 00:00:00 | 3386171 | 1000000 | 2386171 | 0 | 0
22 | COUNTRY HEDGING INC | N | NFA | 2010-05-31 00:00:00 | 15737671 | 6826277 | 8911394 | 121707542 | 39611
23 | CREDIT SUISSE SECURITIES (USA) LLC | Y | CBOT | 2010-05-31 00:00:00 | 9797652373 | 819734386 | 8977917987 | 4693783113 | 1558078332
24 | CROSSLAND LLC | N | CBOT | 2010-05-31 00:00:00 | 8796659 | 2535142 | 6261517 | 34857951 | 23108471
25 | CUNNINGHAM COMMODITIES LLC | N | CBOT | 2010-05-31 00:00:00 | 3759598 | 1000000 | 2759598 | 35518848 | 64927
26 | CX CAPITAL MARKETS LLC | N | NFA | 2010-05-31 00:00:00 | 2237188 | 1000000 | 1237188 | 19594776 | 0
27 | DAIWA CAPITAL MARKETS AMERICA INC | Y | CME | 2010-05-31 00:00:00 | 236005491 | 1332026 | 234673465 | 4811877 | 40979
28 | DEUTSCHE BANK SECURITIES INC | Y | CBOT | 2010-05-31 00:00:00 | 7229741449 | 610656794 | 6619084655 | 12122580370 | 1128792796
29 | DORMAN TRADING LLC | N | CME | 2010-05-31 00:00:00 | 7957827 | 1000000 | 6957827 | 95146618 | 81606
30 | EAGLE MARKET MAKERS INC | N | CBOT | 2010-05-31 00:00:00 | 5978247 | 1000000 | 4978247 | 6461499 | 0
31 | EASY FOREX US LTD | N | NFA | 2010-05-31 00:00:00 | 20097949 | 20000000 | 97949 | 0 | 0
32 | ELECTRONIC BROKERAGE SYSTEMS LLC | Y | NFA | 2010-05-31 00:00:00 | 8044648 | 1000000 | 7044648 | 0 | 0
33 | ENSKILDA FUTURES LTD | N | CME | 2010-05-31 00:00:00 | 25814940 | 16720622 | 9094318 | 283193249 | 0
34 | FARR FINANCIAL INC | N | NFA | 2010-05-31 00:00:00 | 1878749 | 1000000 | 878749 | 38899672 | 0
35 | FCSTONE LLC | N | CME | 2010-05-31 00:00:00 | 69154838 | 33516204 | 35638634 | 1006452491 | 8998204
36 | FOREX CAPITAL MARKETS LLC | N | NFA | 2010-05-31 00:00:00 | 76532090 | 25103287 | 51428803 | 0 | 0
37 | FOREX CLUB FINANCIAL COMPANY INC | N | NFA | 2010-05-31 00:00:00 | 20998436 | 20000000 | 998436 | 0 | 0
38 | FORTIS CLEARING AMERICAS LLC | Y | CBOT | 2010-05-31 00:00:00 | 225188963 | 60188230 | 165000733 | 1202206106 | 131094856
39 | FRIEDBERG MERCANTILE GROUP INC | N | NFA | 2010-05-31 00:00:00 | 3361286 | 1000000 | 2361286 | 5560026 | 418537
40 | FRONTIER FUTURES INC | N | NFA | 2010-05-31 00:00:00 | 1606718 | 1000000 | 606718 | 28412201 | 0
41 | FUTURES TECH LLC | N | NFA | 2010-05-31 00:00:00 | 1590213 | 1000000 | 590213 | 0 | 0
42 | FX SOLUTIONS LLC | N | NFA | 2010-05-31 00:00:00 | 38389047 | 20368251 | 18020796 | 0 | 0
43 | FXDIRECTDEALER LLC | N | NFA | 2010-05-31 00:00:00 | 35386273 | 21999482 | 13386791 | 0 | 0
44 | GAIN CAPITAL GROUP LLC | N | NFA | 2010-05-31 00:00:00 | 104449491 | 26267152 | 78182339 | 0 | 0
45 | GENESIS FUTURES LLC | N | NFA | 2010-05-31 00:00:00 | 1515083 | 1000000 | 515083 | 0 | 0
46 | GILDER GAGNON HOWE & CO LLC | Y | NFA | 2010-05-31 00:00:00 | 16162451 | 1000000 | 15162451 | 0 | 0
47 | GLOBAL FUTURES & FOREX LTD | N | NFA | 2010-05-31 00:00:00 | 88883708 | 25569756 | 63313952 | 261758 | 209034
48 | GOLDMAN SACHS & CO | Y | CBOT | 2010-05-31 00:00:00 | 12016429153 | 1947602322 | 10068826831 | 18044102954 | 6434675209
49 | GOLDMAN SACHS EXECUTION & CLEARING LP | Y | CME | 2010-05-31 00:00:00 | 1739630501 | 99109023 | 1640521478 | 1330897797 | 17377769
50 | HG CLEARING SERVICES LLC | N | NFA | 2010-05-31 00:00:00 | 1000653 | 1000000 | 653 | 0 | 0
51 | HSBC SECURITIES USA INC | Y | CME | 2010-05-31 00:00:00 | 1118105649 | 100967740 | 1017137909 | 765411303 | 96565016
52 | ICAP FUTURES LLC | N | NFA | 2010-05-31 00:00:00 | 10334447 | 1000000 | 9334447 | 0 | 0
53 | IG MARKETS INC | N | NFA | 2010-05-31 00:00:00 | 16461621 | 7500000 | 8961621 | 42733 | 0
54 | IKON GLOBAL MARKETS INC | N | NFA | 2010-05-31 00:00:00 | 22493069 | 20494499 | 1998570 | 3650351 | 108434
55 | INSTINET LLC | Y | NFA | 2010-05-31 00:00:00 | 106548604 | 2060345 | 104488259 | 0 | 0
56 | INTEGRATED BROKERAGE SERVICES LLC | N | NFA | 2010-05-31 00:00:00 | 1882415 | 1000000 | 882415 | 0 | 0
57 | INTERACTIVE BROKERS LLC | Y | NFA | 2010-05-31 00:00:00 | 982178989 | 104386755 | 877792234 | 407950545 | 140727593
58 | INTERBANK FX LLC | N | NFA | 2010-05-31 00:00:00 | 29503484 | 21482829 | 8020655 | 0 | 0
59 | ITG DERIVATIVES LLC | Y | NFA | 2010-05-31 00:00:00 | 3951346 | 1000000 | 2951346 | 0 | 0
60 | JP MORGAN CLEARING CORP | Y | CME | 2010-05-28 00:00:00 | 5115555754 | 1610263152 | 3505292602 | 589296552 | 232101057
61 | JP MORGAN FUTURES INC | N | NYME | 2010-05-31 00:00:00 | 2078133027 | 1186025470 | 892107557 | 14098855848 | 1626468047
62 | JP MORGAN SECURITIES INC | Y | NFA | 2010-05-28 00:00:00 | 7522230008 | 548677109 | 6973552899 | 0 | 0
63 | LEK SECURITIES CORPORATION | Y | NFA | 2010-05-31 00:00:00 | 10512645 | 1500000 | 9012645 | 697915 | 0
64 | LIMESTONE TRADING LLC | N | NFA | 2010-05-31 00:00:00 | 9569018 | 1000000 | 8569018 | 0 | 0
65 | LINN GROUP THE | N | NFA | 2010-05-31 00:00:00 | 1792448 | 1000000 | 792448 | 35586242 | 67873
66 | LPL FINANCIAL CORPORATION | Y | NFA | 2010-05-31 00:00:00 | 139677634 | 5257166 | 134420468 | 0 | 0
67 | MACQUARIE FUTURES USA INC | N | CBOT | 2010-05-31 00:00:00 | 84849503 | 40854269 | 43995234 | 688476330 | 5151901
68 | MAREX USA LIMITED | N | NFA | 2010-05-31 00:00:00 | 4009689 | 1000000 | 3009689 | 0 | 0
69 | MB TRADING FUTURES INC | N | NFA | 2010-05-31 00:00:00 | 25052764 | 20000000 | 5052764 | 0 | 0
70 | MBF CLEARING CORP | N | NYME | 2010-05-31 00:00:00 | 11664949 | 1752469 | 9912480 | 72235740 | 6129889
71 | MCVEAN TRADING & INVESTMENTS LLC | N | NFA | 2010-05-31 00:00:00 | 10222757 | 2569990 | 7652767 | 569339968 | 0
72 | MERRILL LYNCH PIERCE FENNER & SMITH | Y | CBOT | 2010-05-31 00:00:00 | 5185488062 | 650743865 | 4534744197 | 8292577556 | 1903931882
73 | MERRILL LYNCH PROFESSIONAL CLEARING CORP | Y | NFA | 2010-05-31 00:00:00 | 3637192276 | 139584660 | 3497607616 | 760784236 | 33328050
74 | MF GLOBAL INC | Y | CME | 2010-05-31 00:00:00 | 530492794 | 344022290 | 186470504 | 7484303201 | 377001864
75 | MG FINANCIAL LLC | N | NFA | 2010-05-31 00:00:00 | 4761290 | 1000000 | 3761290 | 0 | 0
76 | MID CO COMMODITIES INC | N | NFA | 2010-05-31 00:00:00 | 5401449 | 3102164 | 2299285 | 40233748 | 0
77 | MITSUBISHI UFJ SECURITIES USA INC | Y | NFA | 2010-05-31 00:00:00 | 95687157 | 1070374 | 94616783 | 0 | 0
78 | MITSUI BUSSAN COMMODITIES USA INC | N | NYME | 2010-05-31 00:00:00 | 8090911 | 5571929 | 2518982 | 0 | 0
79 | MIZUHO SECURITIES USA INC | Y | CME | 2010-05-31 00:00:00 | 484059598 | 63930111 | 420129487 | 726660285 | 274522314
80 | MORGAN KEEGAN & COMPANY INC | Y | NFA | 2010-05-31 00:00:00 | 431872617 | 11040555 | 420832062 | 0 | 0
81 | MORGAN STANLEY & CO INCORPORATED | Y | CME | 2010-05-31 00:00:00 | 7395529273 | 1083008453 | 6312520820 | 4165736012 | 1825997973
82 | MORGAN STANLEY SMITH BARNEY LLC | Y | NFA | 2010-05-31 00:00:00 | 1193720373 | 37659830 | 1156060543 | 605769904 | 1466052978
83 | NATIXIS SECURITIES NORTH AMERICA INC | Y | NFA | 2010-05-31 00:00:00 | 217833337 | 1000000 | 216833337 | 0 | 0
84 | NEUBERGER BERMAN LLC | Y | NFA | 2010-05-31 00:00:00 | 88584207 | 1500000 | 87084207 | 0 | 0
85 | NEWEDGE USA LLC | Y | NYME | 2010-05-31 00:00:00 | 2455917477 | 1193815373 | 1262102104 | 17823962129 | 5869984122
86 | NOMURA SECURITIES INTERNATIONAL INC | Y | CBOT | 2010-05-31 00:00:00 | 1291010039 | 34727721 | 1256282318 | 82949286 | 1573948
87 | OANDA CORPORATION | N | NFA | 2010-05-31 00:00:00 | 168659597 | 29064177 | 139595420 | 0 | 0
88 | OPEN E CRY LLC | N | NFA | 2010-05-31 00:00:00 | 3793084 | 1000000 | 2793084 | 87905595 | 757372
89 | OPPENHEIMER & CO INC | Y | NFA | 2010-05-31 00:00:00 | 169595521 | 23969305 | 145626216 | 20748607 | 0
90 | OPTIONSXPRESS INC | Y | NFA | 2010-05-31 00:00:00 | 106527939 | 12843359 | 93684580 | 91134740 | 358892
91 | [NAME] | N | CBOT | 2010-05-31 00:00:00 | 24378660 | 15292862 | 9085798 | 494039469 | 22495376
92 | PEREGRINE FINANCIAL GROUP INC | N | NFA | 2010-05-31 00:00:00 | 34898456 | 20000000 | 14898456 | 384973482 | 25754048
93 | PIONEER FUTURES INC | N | NYME | 2010-05-31 00:00:00 | 1676056 | 1000000 | 676056 | 0 | 0
94 | PRUDENTIAL BACHE COMMODITIES LLC | N | CBOT | 2010-05-31 00:00:00 | 218155000 | 155128720 | 63026280 | 2457821000 | 189669000
95 | RAND FINANCIAL SERVICES INC | N | CME | 2010-05-31 00:00:00 | 69231303 | 11936133 | 57295170 | 95621900 | 25084600
96 | RAYMOND JAMES & ASSOCIATES INC | Y | NFA | 2010-05-31 00:00:00 | 370580563 | 27237299 | 343343264 | 0 | 0
97 | RBC CAPITAL MARKETS CORPORATION | Y | CME | 2010-05-31 00:00:00 | 847920133 | 78350826 | 769569307 | 561063316 | 80560387
98 | RBS SECURITIES INC | Y | CBOT | 2010-05-28 00:00:00 | 1553946000 | 217784000 | 1336162000 | 1525613000 | 120052000
99 | RJ OBRIEN ASSOCIATES LLC | N | CME | 2010-05-31 00:00:00 | 118709694 | 64851816 | 53857878 | 1882360159 | 30757503
100 | ROSENTHAL COLLINS GROUP LLC | N | CME | 2010-05-31 00:00:00 | 67148574 | 31423223 | 35725351 | 1176932220 | 9322688
101 | ROSENTHAL GLOBAL SECURITIES LLC | Y | NFA | 2010-05-31 00:00:00 | 52176996 | 1000000 | 51176996 | 0 | 0
102 | SANFORD C BERNSTEIN & CO LLC | Y | NFA | 2010-05-31 00:00:00 | 170633822 | 12393505 | 158240317 | 0 | 0
103 | SANTANDER INVESTMENT SECURITIES INC | Y | NFA | 2010-05-28 00:00:00 | 81688046 | 1143027 | 80545019 | 0 | 0
104 | SHAY GRAIN CLEARING COMPANY | N | KCBT | 2010-05-31 00:00:00 | 2576254 | 1000000 | 1576254 | 13358868 | 0
105 | SMW TRADING COMPANY INC | N | CME | 2010-05-31 00:00:00 | 26135340 | 1000000 | 25135340 | 6466560 | 0
106 | STATE STREET GLOBAL MARKETS LLC | Y | CME | 2010-05-31 00:00:00 | 354263966 | 1000000 | 353263966 | 10692007 | 19134880
107 | STEPHENS | Y | NFA | 2010-05-31 00:00:00 | 67088715 | 12314491 | 54774224 | 0 | 0
108 | STERLING COMMODITIES CORP | N | NYME | 2010-05-31 00:00:00 | 8042687 | 1585137 | 6457550 | 46648652 | 303935
109 | TCA FUTURES LLC | N | NFA | 2010-05-31 00:00:00 | 1580387 | 1000000 | 580387 | 0 | 0
110 | TD AMERITRADE INC | Y | NFA | 2010-05-31 00:00:00 | 339434715 | 1000000 | 338434715 | 0 | 0
111 | TENCO INC | N | CBOT | 2010-05-31 00:00:00 | 51145296 | 5987206 | 45158090 | 275910925 | 2
112 | TERRA NOVA FINANCIAL LLC | Y | NFA | 2010-05-31 00:00:00 | 10052193 | 1500000 | 8552193 | 0 | 0
113 | TIMBER HILL LLC | Y | CME | 2010-05-31 00:00:00 | 813757828 | 30862322 | 782895506 | 504056720 | 0
114 | TOWER RESEARCH CAPITAL EUROPE LLC | N | NFA | 2010-05-31 00:00:00 | 3201539 | 1000000 | 2201539 | 0 | 0
115 | TRADELINK LLC | Y | CBOT | 2010-05-31 00:00:00 | 29013887 | 1000000 | 28013887 | 0 | 0
116 | TRADESTATION SECURITIES INC | Y | NFA | 2010-05-31 00:00:00 | 83110726 | 2382118 | 80728608 | 361609629 | 307202
117 | TRADITION SECURITIES AND FUTURES INC | N | NFA | 2010-05-28 00:00:00 | 1571994 | 1000000 | 571994 | 0 | 0
118 | TRILAND USA INC | N | NYME | 2010-05-31 00:00:00 | 23660306 | 15451378 | 8208928 | 164760583 | 18220423
119 | UBS FINANCIAL SERVICES INC | Y | NFA | 2010-05-31 00:00:00 | 1313567812 | 87687102 | 1225880710 | 183288863 | 1151804
120 | UBS SECURITIES LLC | Y | CBOT | 2010-05-31 00:00:00 | 11282900466 | 940240504 | 10342659962 | 9630108991 | 4705487238
121 | VELOCITY FUTURES LLC | N | NFA | 2010-05-31 00:00:00 | 1592622 | 1000000 | 592622 | 54082449 | 6302758
122 | VISION FINANCIAL MARKETS LLC | Y | CME | 2010-05-31 00:00:00 | 20750863 | 6730578 | 14020285 | 333054137 | 3631850
123 | WELLS FARGO ADVISORS FINANCIAL NETWORK LLC | Y | NFA | 2010-05-31 00:00:00 | 22126268 | 3322846 | 18803422 | 0 | 0
124 | WELLS FARGO ADVISORS LLC | Y | NFA | 2010-05-31 00:00:00 | 492981907 | 1500000 | 491481907 | 0 | 0
125 | WELLS FARGO SECURITIES LLC | Y | CME | 2010-05-31 00:00:00 | 1299047837 | 3985368 | 1295062469 | 0 | 0
126 | WHITE COMMERCIAL CORPORATION | N | NFA | 2010-05-31 00:00:00 | 2269043 | 1000000 | 1269043 | 0 | 0
127 | WSD FINANCIAL USA INC | N | NFA | 2010-05-31 00:00:00 | 1206991 | 1000000 | 206991 | 0 | 0
128 | YORK BUSINESS ASSOCIATES LLC | N | NFA | 2010-05-31 00:00:00 | 2395050 | 1000000 | 1395050 | 57222788 | 1203138
 | Totals |  |  |  |  |  |  | 135917688926 | 33794507934 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0
 | April Web Page Update | 130
 | Additions | 0
 | Deletions | 2
 | ACM USA LLC
 | TRANSMARKET GROUP LLC
 | Name Change
 | May Web Page Update | 128
 | *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) $1,000,000; or
 | (2) risk based capital requirement, the sum of 8% of total customer risk maintenance margin and 8% 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] or [EMAIL].