Spreadsheet: 08c67311-74b7-43ef-b357-7584d54bcd18
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 | ACM USA LLC | N | NFA | 2010-02-28 00:00:00 | 743473 | 500000 | 243473 | 0 | 0
2 | ADM INVESTOR SERVICES INC | N | CBOT | 2010-02-28 00:00:00 | 178941498 | 87523288 | 91418210 | 1828855246 | 67566345
3 | ADVANCED MARKETS LLC | N | NFA | 2010-02-28 00:00:00 | 20350386 | 20000000 | 350386 | 0 | 0
4 | ADVANTAGE FUTURES LLC | N | CME | 2010-02-26 00:00:00 | 17961367 | 10047970 | 7913397 | 275193961 | 44028619
5 | ADVANTAGE SECURITIES LLC | Y | NFA | 2010-02-26 00:00:00 | 4612057 | 500000 | 4112057 | 3434957 | 0
6 | AIG CLEARING CORPORATION | N | NYME | 2010-02-28 00:00:00 | 224756979 | 500000 | 224256979 | 0 | 0
7 | ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC* | Y | NFA | 2009-12-31 00:00:00 | 28024917 | 8706179 | 19318738 | 0 | 0
8 | [NAME] (US) LLC | N | NFA | 2010-02-28 00:00:00 | 21469750 | 20000000 | 1469750 | 0 | 0
9 | AMERIPRISE FINANCIAL SERVICES INC | Y | NFA | 2010-02-28 00:00:00 | 70327847 | 500000 | 69827847 | 0 | 0
10 | BANC OF AMERICA SECURITIES LLC | Y | CME | 2010-02-26 00:00:00 | 3483212561 | 120275650 | 3362936911 | 0 | 0
11 | BARCLAYS CAPITAL INC | Y | NYME | 2010-02-26 00:00:00 | 5009167392 | 609564270 | 4399603122 | 4166732174 | 2017828671
12 | BGC FINANCIAL LP | Y | NFA | 2010-02-28 00:00:00 | 34405722 | 500000 | 33905722 | 0 | 0
13 | BNP PARIBAS COMMODITY FUTURES INC | N | NYME | 2010-02-28 00:00:00 | 395450616 | 183480661 | 211969955 | 1467824860 | 478297874
14 | BNP PARIBAS SECURITIES CORP | Y | CBOT | 2010-02-28 00:00:00 | 1780638858 | 40112067 | 1740526791 | 377318436 | 0
15 | CADENT FINANCIAL SERVICES LLC | N | NFA | 2010-02-28 00:00:00 | 726494 | 350000 | 376494 | 0 | 0
16 | CANTOR FITZGERALD & CO | Y | CBOT | 2010-02-28 00:00:00 | 168094872 | 3884640 | 164210232 | 13288913 | 0
17 | CAPITAL MARKET SERVICES LLC | N | NFA | 2010-02-28 00:00:00 | 26711661 | 21099655 | 5612006 | 0 | 0
18 | CIBC WORLD MARKETS CORP | Y | CME | 2010-02-26 00:00:00 | 1382961895 | 1500000 | 1381461895 | 0 | 0
19 | CITADEL SECURITIES LLC | Y | CME | 2010-02-26 00:00:00 | 226823611 | 16966732 | 209856879 | 0 | 0
20 | CITIGROUP GLOBAL MARKETS INC | Y | CBOT | 2010-02-26 00:00:00 | 8476913179 | 639262993 | 7837650186 | 10392346965 | 2444900207
21 | COMMONWEALTH FOREIGN EXCHANGE INC | N | NFA | 2010-02-28 00:00:00 | 1238591 | 500000 | 738591 | 0 | 0
22 | COMPASS PROFESSIONAL SERVICES LLC | Y | NFA | 2010-02-28 00:00:00 | 3270669 | 500000 | 2770669 | 0 | 0
23 | COUNTRY HEDGING INC | N | NFA | 2010-02-28 00:00:00 | 16379596 | 6660116 | 9719480 | 80800009 | 37219
24 | CREDIT SUISSE SECURITIES (USA) LLC | Y | CBOT | 2010-02-26 00:00:00 | 8997890935 | 777796740 | 8220094195 | 4206886099 | 2272720548
25 | CROSSLAND LLC | N | CBOT | 2010-02-28 00:00:00 | 8530221 | 5103001 | 3427220 | 62998622 | 26874367
26 | CUNNINGHAM COMMODITIES LLC | N | CBOT | 2010-02-28 00:00:00 | 3847529 | 1297930 | 2549599 | 43612525 | 59570
27 | CX CAPITAL MARKETS LLC | N | NFA | 2010-02-28 00:00:00 | 1007250 | 500000 | 507250 | 9830236 | 0
28 | DAIWA SECURITIES AMERICA INC | Y | CME | 2010-02-28 00:00:00 | 274458684 | 1000000 | 273458684 | 3313594 | 40979
29 | DEUTSCHE BANK SECURITIES INC | Y | CBOT | 2010-02-26 00:00:00 | 6626825255 | 447895855 | 6178929400 | 13359051262 | 1209764783
30 | DORMAN TRADING LLC | N | CME | 2010-02-28 00:00:00 | 7759360 | 784134 | 6975226 | 87260155 | 71869
31 | EAGLE MARKET MAKERS INC | N | CBOT | 2010-02-28 00:00:00 | 5901987 | 500000 | 5401987 | 5013909 | 0
32 | EASY FOREX US LTD | N | NFA | 2010-02-28 00:00:00 | 20283551 | 20000000 | 283551 | 0 | 0
33 | ELECTRONIC BROKERAGE SYSTEMS LLC | Y | NFA | 2010-02-28 00:00:00 | 8995093 | 500000 | 8495093 | 0 | 0
34 | ENSKILDA FUTURES LTD | N | CME | 2010-02-28 00:00:00 | 24952125 | 16607998 | 8344127 | 310058470 | 0
35 | FARR FINANCIAL INC | N | NFA | 2010-02-28 00:00:00 | 1440557 | 685272 | 755285 | 38355688 | 18593
36 | FCSTONE LLC | N | CME | 2010-02-28 00:00:00 | 74111569 | 33481888 | 40629681 | 767538443 | 7045298
37 | FOREX CAPITAL MARKETS LLC | N | NFA | 2010-02-28 00:00:00 | 64711438 | 24707103 | 40004335 | 0 | 0
38 | FOREX CLUB FINANCIAL COMPANY INC | N | NFA | 2010-02-28 00:00:00 | 21804109 | 20000000 | 1804109 | 0 | 0
39 | FORTIS CLEARING AMERICAS LLC | Y | CBOT | 2010-02-26 00:00:00 | 218884319 | 51561847 | 167322472 | 1066154029 | 66618502
40 | FRIEDBERG MERCANTILE GROUP INC | N | NFA | 2010-02-28 00:00:00 | 3370475 | 500000 | 2870475 | 4921036 | 171551
41 | FRONTIER FUTURES INC | N | NFA | 2010-02-28 00:00:00 | 1340695 | 783675 | 557020 | 23516157 | 0
42 | FUTURES TECH LLC | N | NFA | 2010-02-28 00:00:00 | 825922 | 500000 | 325922 | 0 | 0
43 | FX SOLUTIONS LLC | N | NFA | 2010-02-28 00:00:00 | 34172077 | 20501006 | 13671071 | 0 | 0
44 | FXDIRECTDEALER LLC | N | NFA | 2010-02-28 00:00:00 | 34717702 | 23095763 | 11621939 | 0 | 0
45 | GAIN CAPITAL GROUP LLC | N | NFA | 2010-02-28 00:00:00 | 61565742 | 25897354 | 35668388 | 0 | 0
46 | GENESIS FUTURES LLC | N | NFA | 2010-02-28 00:00:00 | 761217 | 500000 | 261217 | 0 | 0
47 | GFS FOREX & FUTURES INC | N | NFA | 2010-02-28 00:00:00 | 1402625 | 500000 | 902625 | 0 | 0
48 | GILDER GAGNON HOWE & CO LLC | Y | NFA | 2010-02-28 00:00:00 | 14101836 | 500000 | 13601836 | 0 | 0
49 | GLOBAL FUTURES & FOREX LTD | N | NFA | 2010-02-28 00:00:00 | 71121251 | 25127250 | 45994001 | 266778 | 209034
50 | GOLDMAN SACHS & CO | Y | CBOT | 2010-02-28 00:00:00 | 11728468594 | 1982583379 | 9745885215 | 18354903201 | 6431369085
51 | GOLDMAN SACHS EXECUTION & CLEARING LP | Y | CME | 2010-02-26 00:00:00 | 2053718465 | 136991390 | 1916727075 | 1304524747 | 36700217
52 | HG CLEARING SERVICES LLC | N | NFA | 2010-02-28 00:00:00 | 598462 | 500000 | 98462 | 0 | 0
53 | HSBC SECURITIES USA INC | Y | CME | 2010-02-26 00:00:00 | 1104578914 | 70456762 | 1034122152 | 684754368 | 110359515
54 | I TRADE FX LLC | N | NFA | 2010-02-25 00:00:00 | 500195 | 500000 | 195 | 0 | 0
55 | ICAP FUTURES LLC | N | NFA | 2010-02-28 00:00:00 | 12598092 | 500000 | 12098092 | 0 | 0
56 | IG MARKETS INC | N | NFA | 2010-02-28 00:00:00 | 30584797 | 20000000 | 10584797 | 0 | 0
57 | IKON GLOBAL MARKETS INC | N | NFA | 2010-02-28 00:00:00 | 22060807 | 20513202 | 1547605 | 1970800 | 984022
58 | INSTINET LLC | Y | NFA | 2010-02-26 00:00:00 | 118082822 | 1525609 | 116557213 | 0 | 0
59 | INTEGRATED BROKERAGE SERVICES LLC | N | NFA | 2010-02-28 00:00:00 | 1353862 | 500000 | 853862 | 0 | 0
60 | INTERACTIVE BROKERS LLC | Y | NFA | 2010-02-28 00:00:00 | 851193812 | 95971073 | 755222739 | 499775157 | 153141341
61 | INTERBANK FX LLC | N | NFA | 2010-02-28 00:00:00 | 31758002 | 21415845 | 10342157 | 0 | 0
62 | ITG DERIVATIVES LLC | Y | NFA | 2010-02-28 00:00:00 | 3061516 | 500000 | 2561516 | 0 | 0
63 | JP MORGAN CLEARING CORP | Y | CME | 2010-02-28 00:00:00 | 5331965540 | 1546861325 | 3785104215 | 386947550 | 245458246
64 | JP MORGAN FUTURES INC | N | NYME | 2010-02-28 00:00:00 | 2227076524 | 1050857994 | 1176218530 | 13814453434 | 1717011294
65 | JP MORGAN SECURITIES INC | Y | NFA | 2010-02-28 00:00:00 | 8326105109 | 552091164 | 7774013945 | 0 | 0
66 | LADENBURG THALMANN & CO INC | Y | NFA | 2010-02-26 00:00:00 | 5314970 | 500000 | 4814970 | 0 | 0
67 | LEK SECURITIES CORPORATION | Y | NFA | 2010-02-28 00:00:00 | 12730374 | 1500000 | 11230374 | 232329 | 0
68 | LIMESTONE TRADING LLC | N | NFA | 2010-02-28 00:00:00 | 5416141 | 500000 | 4916141 | 0 | 0
69 | LINN GROUP THE | N | NFA | 2010-02-28 00:00:00 | 2372152 | 692790 | 1679362 | 32277181 | 59151
70 | LPL FINANCIAL CORPORATION | Y | NFA | 2010-02-26 00:00:00 | 99886227 | 5399483 | 94486744 | 0 | 0
71 | MACQUARIE FUTURES USA INC | N | CBOT | 2010-02-28 00:00:00 | 87708967 | 38509882 | 49199085 | 683508251 | 1917844
72 | MAREX USA LIMITED | N | NFA | 2010-02-28 00:00:00 | 971636 | 500000 | 471636 | 0 | 0
73 | MB TRADING FUTURES INC | N | NFA | 2010-02-28 00:00:00 | 23741892 | 20000000 | 3741892 | 0 | 0
74 | MBF CLEARING CORP | N | NYME | 2010-02-28 00:00:00 | 10941529 | 1852603 | 9088926 | 76128495 | 6454094
75 | MCVEAN TRADING & INVESTMENTS LLC | N | NFA | 2010-02-28 00:00:00 | 9890735 | 1625537 | 8265198 | 563058389 | 0
76 | MERRILL LYNCH PIERCE FENNER & SMITH | Y | CBOT | 2010-02-28 00:00:00 | 5606537156 | 592583217 | 5013953939 | 8408982617 | 821444203
77 | MERRILL LYNCH PROFESSIONAL CLEARING CORP | Y | NFA | 2010-02-28 00:00:00 | 1599278259 | 187724419 | 1411553840 | 940762826 | 28030125
78 | MF GLOBAL INC | Y | CME | 2010-02-28 00:00:00 | 561600731 | 376014552 | 185586179 | 7555416890 | 410680477
79 | MG FINANCIAL LLC | N | NFA | 2010-02-28 00:00:00 | 5029218 | 500000 | 4529218 | 0 | 0
80 | MID CO COMMODITIES INC | N | NFA | 2010-02-28 00:00:00 | 11310964 | 2348256 | 8962708 | 20760809 | 0
81 | MITSUBISHI UFJ SECURITIES USA INC | Y | NFA | 2010-02-28 00:00:00 | 85477903 | 1286039 | 84191864 | 0 | 0
82 | MITSUI BUSSAN COMMODITIES USA INC | N | NYME | 2010-02-28 00:00:00 | 8140053 | 2717475 | 5422578 | 0 | 0
83 | MIZUHO SECURITIES USA INC | Y | CME | 2010-02-26 00:00:00 | 325035618 | 43703997 | 281331621 | 715813539 | 225279508
84 | MORGAN KEEGAN & COMPANY INC | Y | NFA | 2010-02-26 00:00:00 | 421507831 | 9673488 | 411834343 | 0 | 0
85 | MORGAN STANLEY & CO INCORPORATED | Y | CME | 2010-02-26 00:00:00 | 8087643364 | 1084134214 | 7003509150 | 5686163740 | 3645588087
86 | MORGAN STANLEY SMITH BARNEY LLC | Y | NFA | 2010-02-28 00:00:00 | 749889469 | 500000 | 749389469 | 0 | 0
87 | NATIXIS SECURITIES NORTH AMERICA INC | Y | NFA | 2010-02-26 00:00:00 | 205465394 | 500000 | 204965394 | 0 | 0
88 | NEUBERGER BERMAN LLC | Y | NFA | 2010-02-26 00:00:00 | 62871792 | 1500000 | 61371792 | 0 | 0
89 | NEWEDGE USA LLC | Y | NYME | 2010-02-28 00:00:00 | 2381618964 | 1210422583 | 1171196381 | 17925590916 | 6395509822
90 | NOMURA SECURITIES INTERNATIONAL INC | Y | CBOT | 2010-02-26 00:00:00 | 1283918383 | 10549693 | 1273368690 | 73494641 | 98176
91 | OANDA CORPORATION | N | NFA | 2010-02-28 00:00:00 | 166736982 | 28878006 | 137858976 | 0 | 0
92 | OPEN E CRY LLC | N | NFA | 2010-02-28 00:00:00 | 3635622 | 730157 | 2905465 | 78303682 | 784007
93 | OPPENHEIMER & CO INC | Y | NFA | 2010-02-26 00:00:00 | 169163862 | 20997740 | 148166122 | 30141182 | 0
94 | OPTIONSXPRESS INC | Y | NFA | 2010-02-28 00:00:00 | 103962227 | 17632669 | 86329558 | 65950052 | 762456
95 | [NAME] | N | CBOT | 2010-02-28 00:00:00 | 23384309 | 16605615 | 6778694 | 447419575 | 21330810
96 | PEREGRINE FINANCIAL GROUP INC | N | NFA | 2010-02-28 00:00:00 | 32331737 | 20000000 | 12331737 | 373230445 | 30485599
97 | PIONEER FUTURES INC | N | NYME | 2010-02-28 00:00:00 | 1225451 | 500000 | 725451 | 0 | 0
98 | PRUDENTIAL BACHE COMMODITIES LLC | N | CBOT | 2010-02-28 00:00:00 | 206917000 | 161255840 | 45661160 | 2633941000 | 262026000
99 | RAND FINANCIAL SERVICES INC | N | CME | 2010-02-28 00:00:00 | 68225198 | 8323117 | 59902081 | 88988000 | 27436100
100 | RAYMOND JAMES & ASSOCIATES INC | Y | NFA | 2010-02-28 00:00:00 | 401031203 | 27204491 | 373826712 | 0 | 0
101 | RBC CAPITAL MARKETS CORPORATION | Y | CME | 2010-02-26 00:00:00 | 1235005065 | 70101886 | 1164903179 | 757788182 | 293716343
102 | RBS SECURITIES INC | Y | CBOT | 2010-02-26 00:00:00 | 1425803000 | 162345000 | 1263458000 | 1277879000 | 68785000
103 | RJ OBRIEN ASSOCIATES LLC | N | CME | 2010-02-28 00:00:00 | 115011001 | 65014363 | 49996638 | 1701348414 | 29928946
104 | ROBBINS FUTURES INC | N | NFA | 2010-02-28 00:00:00 | 600863 | 500000 | 100863 | 0 | 0
105 | ROSENTHAL COLLINS GROUP LLC | N | CME | 2010-02-28 00:00:00 | 65483849 | 33368855 | 32114994 | 1201784221 | 26072468
106 | ROSENTHAL GLOBAL SECURITIES LLC | Y | NFA | 2010-02-28 00:00:00 | 19807594 | 590573 | 19217021 | 0 | 0
107 | SANFORD C BERNSTEIN & CO LLC | Y | NFA | 2010-02-26 00:00:00 | 154808276 | 12043752 | 142764524 | 0 | 0
108 | SANTANDER INVESTMENT SECURITIES INC | Y | NFA | 2010-02-26 00:00:00 | 91946229 | 1027037 | 90919192 | 0 | 0
109 | SHAY GRAIN CLEARING COMPANY | N | KCBT | 2010-02-28 00:00:00 | 2548379 | 508099 | 2040280 | 13936360 | 0
110 | SMW TRADING COMPANY INC | N | CME | 2010-02-28 00:00:00 | 25461082 | 500000 | 24961082 | 3664040 | 0
111 | STATE STREET GLOBAL MARKETS LLC | Y | CME | 2010-02-28 00:00:00 | 290819738 | 500000 | 290319738 | 1627114 | 0
112 | STEPHENS | Y | NFA | 2010-02-28 00:00:00 | 63447481 | 10436553 | 53010928 | 0 | 0
113 | STERLING COMMODITIES CORP | N | NYME | 2010-02-28 00:00:00 | 6874653 | 1415410 | 5459243 | 44525544 | 367947
114 | TCA FUTURES LLC | N | NFA | 2010-02-28 00:00:00 | 833186 | 500000 | 333186 | 0 | 0
115 | TD AMERITRADE INC | Y | NFA | 2010-02-28 00:00:00 | 259512293 | 500000 | 259012293 | 0 | 0
116 | TENCO INC | N | CBOT | 2010-02-28 00:00:00 | 48345725 | 5794109 | 42551616 | 143728244 | 0
117 | TERRA NOVA FINANCIAL LLC | Y | NFA | 2010-02-26 00:00:00 | 9698419 | 1500000 | 8198419 | 0 | 0
118 | TIMBER HILL LLC | Y | CME | 2010-02-28 00:00:00 | 903837309 | 42849678 | 860987631 | 485275908 | 0
119 | TOWER RESEARCH CAPITAL EUROPE LLC | N | NFA | 2010-02-28 00:00:00 | 4696309 | 500000 | 4196309 | 0 | 0
120 | TRADELINK LLC | Y | CBOT | 2010-02-28 00:00:00 | 28446621 | 500000 | 27946621 | 0 | 0
121 | TRADESTATION SECURITIES INC | Y | NFA | 2010-02-28 00:00:00 | 83672730 | 2765004 | 80907726 | 360727945 | 404658
122 | TRADITION SECURITIES AND FUTURES INC | N | NFA | 2010-02-28 00:00:00 | 753469 | 500000 | 253469 | 0 | 0
123 | TRANSMARKET GROUP LLC | Y | CBOT | 2010-02-28 00:00:00 | 9356950 | 500000 | 8856950 | 0 | 0
124 | TRILAND USA INC | N | NYME | 2010-02-28 00:00:00 | 36731975 | 11672405 | 25059570 | 131545253 | 9827724
125 | UBS FINANCIAL SERVICES INC | Y | NFA | 2010-02-26 00:00:00 | 1289939836 | 89085530 | 1200854306 | 184825160 | 1275339
126 | UBS SECURITIES LLC | Y | CBOT | 2010-02-26 00:00:00 | 11248367065 | 857358242 | 10391008823 | 9574962294 | 4760169191
127 | VELOCITY FUTURES LLC | N | NFA | 2010-02-28 00:00:00 | 1495786 | 500000 | 995786 | 37257519 | 2417797
128 | VISION FINANCIAL MARKETS LLC | Y | CME | 2010-02-28 00:00:00 | 20817437 | 9077145 | 11740292 | 353641105 | 3847416
129 | WELLS FARGO ADVISORS FINANCIAL NETWORK LLC | Y | NFA | 2010-02-26 00:00:00 | 25908480 | 2668340 | 23240140 | 0 | 0
130 | WELLS FARGO ADVISORS LLC | Y | NFA | 2010-02-26 00:00:00 | 291383307 | 1500000 | 289883307 | 0 | 0
131 | WELLS FARGO SECURITIES LLC | Y | CME | 2010-02-28 00:00:00 | 1336071155 | 1640471 | 1334430684 | 0 | 0
132 | WHITE COMMERCIAL CORPORATION | N | NFA | 2010-02-28 00:00:00 | 2409193 | 500000 | 1909193 | 0 | 0
133 | WSD FINANCIAL USA INC | N | NFA | 2010-02-28 00:00:00 | 1223198 | 500000 | 723198 | 0 | 0
134 | YORK BUSINESS ASSOCIATES LLC | N | NFA | 2010-02-28 00:00:00 | 1747134 | 500000 | 1247134 | 52972100 | 1147571
 | Totals |  |  |  |  |  |  | 136369554743 | 34407124608 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0
 | January 2010 Web Page Update | 133
 | Additions | 1
 | ADVANTAGE SECURITIES LLC
 | Deletions | 0
 | Name Change
 | None
 | February 2010 Web Page Update | 134
 | *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], or [EMAIL]