Spreadsheet: 1887c5ca-b40f-43d7-97f9-6c016c08289e
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 | 2009-12-31 00:00:00 | 772316 | 500000 | 272316 | 0 | 0
2 | ADM INVESTOR SERVICES INC | N | CBOT | 2009-12-31 00:00:00 | 167311573 | 91397173 | 75914400 | 1844005556 | 101036182
3 | ADVANCED MARKETS LLC | N | NFA | 2009-12-31 00:00:00 | 20480496 | 20000000 | 480496 | 0 | 0
4 | ADVANTAGE FUTURES LLC | N | CME | 2009-12-31 00:00:00 | 17492246 | 8357656 | 9134590 | 275563880 | 29300531
5 | AIG CLEARING CORPORATION | N | NYME | 2009-12-31 00:00:00 | 224973524 | 500000 | 224473524 | 0 | 0
6 | ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC* | Y | NFA | 2009-12-31 00:00:00 | 28024917 | 8706179 | 19318738 | 0 | 0
7 | [NAME] (US) LLC | N | NFA | 2009-12-31 00:00:00 | 21948817 | 20000000 | 1948817 | 0 | 0
8 | AMERIPRISE FINANCIAL SERVICES INC | Y | NFA | 2009-12-31 00:00:00 | 78968216 | 500000 | 78468216 | 0 | 0
9 | BANC OF AMERICA SECURITIES LLC | Y | CME | 2009-12-31 00:00:00 | 2427447674 | 134009871 | 2293437803 | 0 | 0
10 | BARCLAYS CAPITAL INC | Y | NYME | 2009-12-31 00:00:00 | 7062927478 | 631289412 | 6431638066 | 3880192105 | 1891532805
11 | BGC FINANCIAL LP | Y | NFA | 2009-12-31 00:00:00 | 26683407 | 500000 | 26183407 | 0 | 0
12 | BNP PARIBAS COMMODITY FUTURES INC | N | NYME | 2009-12-31 00:00:00 | 304309685 | 166986429 | 137323256 | 1476757166 | 451657125
13 | BNP PARIBAS SECURITIES CORP | Y | CBOT | 2009-12-31 00:00:00 | 1590062547 | 62397779 | 1527664768 | 377446138 | 0
14 | CADENT FINANCIAL SERVICES LLC | N | NFA | 2009-12-31 00:00:00 | 568214 | 350000 | 218214 | 0 | 0
15 | CANTOR FITZGERALD & CO | Y | CBOT | 2009-12-31 00:00:00 | 164504573 | 3066696 | 161437877 | 11155860 | 0
16 | CAPITAL MARKET SERVICES LLC | N | NFA | 2009-12-31 00:00:00 | 25813783 | 21311555 | 4502228 | 0 | 0
17 | CIBC WORLD MARKETS CORP | Y | CME | 2009-12-31 00:00:00 | 1398216713 | 1500000 | 1396716713 | 0 | 0
18 | CITADEL SECURITIES LLC | Y | CME | 2009-12-31 00:00:00 | 313905623 | 1000000 | 312905623 | 0 | 0
19 | CITIGROUP GLOBAL MARKETS INC | Y | CBOT | 2009-12-31 00:00:00 | 10886418135 | 668692748 | 10217725387 | 10221862252 | 2392257726
20 | COMMONWEALTH FOREIGN EXCHANGE INC | N | NFA | 2009-12-31 00:00:00 | 1070832 | 500000 | 570832 | 0 | 0
21 | COMPASS PROFESSIONAL SERVICES LLC | Y | NFA | 2009-12-31 00:00:00 | 3278016 | 500000 | 2778016 | 0 | 0
22 | COUNTRY HEDGING INC | N | NFA | 2009-12-31 00:00:00 | 15651723 | 7725086 | 7926637 | 106459092 | 47397
23 | CREDIT SUISSE SECURITIES (USA) LLC | Y | CBOT | 2009-12-31 00:00:00 | 8672003478 | 759012886 | 7912990592 | 3438679178 | 1419130650
24 | CROSSLAND LLC | N | CBOT | 2009-12-31 00:00:00 | 7113481 | 5132131 | 1981350 | 74334067 | 30291361
25 | CUNNINGHAM COMMODITIES LLC | N | CBOT | 2009-12-31 00:00:00 | 3662255 | 967675 | 2694580 | 35672719 | 39510
26 | CX CAPITAL MARKETS LLC | N | NFA | 2009-12-31 00:00:00 | 1038141 | 500000 | 538141 | 9033756 | 0
27 | DAIWA SECURITIES AMERICA INC | Y | CME | 2009-12-31 00:00:00 | 281777964 | 1000000 | 280777964 | 3417611 | 40979
28 | DEUTSCHE BANK SECURITIES INC | Y | CBOT | 2009-12-31 00:00:00 | 7779245053 | 390885364 | 7388359689 | 17669257079 | 1416275938
29 | DORMAN TRADING LLC | N | CME | 2009-12-31 00:00:00 | 7728691 | 749043 | 6979648 | 85430126 | 78193
30 | EAGLE MARKET MAKERS INC | N | CBOT | 2009-12-31 00:00:00 | 5659610 | 500000 | 5159610 | 3652907 | 0
31 | EASY FOREX US LTD | N | NFA | 2009-12-31 00:00:00 | 20581271 | 20000000 | 581271 | 0 | 0
32 | ELECTRONIC BROKERAGE SYSTEMS LLC | Y | NFA | 2009-12-31 00:00:00 | 9643877 | 500000 | 9143877 | 0 | 0
33 | ENSKILDA FUTURES LTD | N | CME | 2009-12-31 00:00:00 | 26044509 | 16006100 | 10038409 | 251290207 | 0
34 | FARR FINANCIAL INC | N | NFA | 2009-12-31 00:00:00 | 1205639 | 573523 | 632116 | 34982572 | 10178
35 | FCSTONE LLC | N | CME | 2009-12-31 00:00:00 | 72167847 | 36462619 | 35705228 | 830296178 | 6056564
36 | FOREX CAPITAL MARKETS LLC | N | NFA | 2009-12-31 00:00:00 | 63823536 | 25009102 | 38814434 | 0 | 0
37 | FOREX CLUB FINANCIAL COMPANY INC | N | NFA | 2009-12-31 00:00:00 | 20804494 | 20000000 | 804494 | 0 | 0
38 | FORTIS CLEARING AMERICAS LLC | Y | CBOT | 2009-12-31 00:00:00 | 218392536 | 50453635 | 167938901 | 1029754793 | 90205566
39 | FRIEDBERG MERCANTILE GROUP INC | N | NFA | 2009-12-31 00:00:00 | 3331913 | 500000 | 2831913 | 5232964 | 0
40 | FRONTIER FUTURES INC | N | NFA | 2009-12-31 00:00:00 | 1352215 | 758384 | 593831 | 24795288 | 0
41 | FUTURES TECH LLC | N | NFA | 2009-12-31 00:00:00 | 852385 | 500000 | 352385 | 0 | 0
42 | FX SOLUTIONS LLC | N | NFA | 2009-12-31 00:00:00 | 44826160 | 20623173 | 24202987 | 0 | 0
43 | FXDIRECTDEALER LLC | N | NFA | 2009-12-31 00:00:00 | 37079144 | 25631331 | 11447813 | 0 | 0
44 | GAIN CAPITAL GROUP LLC | N | NFA | 2009-12-31 00:00:00 | 89583772 | 26001260 | 63582512 | 0 | 0
45 | GENESIS FUTURES LLC | N | NFA | 2009-12-31 00:00:00 | 761717 | 500000 | 261717 | 0 | 0
46 | GFS FOREX & FUTURES INC | N | NFA | 2009-12-31 00:00:00 | 1648905 | 500000 | 1148905 | 0 | 0
47 | GILDER GAGNON HOWE & CO LLC | Y | NFA | 2009-12-31 00:00:00 | 11830694 | 500000 | 11330694 | 0 | 0
48 | GLOBAL FUTURES & FOREX LTD | N | NFA | 2009-12-31 00:00:00 | 81588107 | 25576614 | 56011493 | 273769 | 209508
49 | GOLDMAN SACHS & CO | Y | CBOT | 2009-12-31 00:00:00 | 13654951093 | 1846967521 | 11807983572 | 16868382742 | 6670375410
50 | GOLDMAN SACHS EXECUTION & CLEARING LP | Y | CME | 2009-12-31 00:00:00 | 1973950959 | 110588745 | 1863362214 | 1110625130 | 19251475
51 | HG CLEARING SERVICES LLC | N | NFA | 2009-12-31 00:00:00 | 599547 | 500000 | 99547 | 0 | 0
52 | HSBC SECURITIES USA INC | Y | CME | 2009-12-31 00:00:00 | 1177213503 | 67992039 | 1109221464 | 725430044 | 111480434
53 | I TRADE FX LLC | N | NFA | 2009-12-31 00:00:00 | 512417 | 500000 | 12417 | 0 | 0
54 | ICAP FUTURES LLC | N | NFA | 2009-12-31 00:00:00 | 13602814 | 500000 | 13102814 | 0 | 0
55 | IG MARKETS INC | N | NFA | 2009-12-31 00:00:00 | 30233214 | 20000000 | 10233214 | 0 | 0
56 | IKON GLOBAL MARKETS INC | N | NFA | 2009-12-31 00:00:00 | 20965254 | 20586644 | 378610 | 1750732 | 972476
57 | INSTINET LLC | Y | NFA | 2009-12-31 00:00:00 | 111374732 | 1500000 | 109874732 | 0 | 0
58 | INTEGRATED BROKERAGE SERVICES LLC | N | NFA | 2009-12-31 00:00:00 | 1361636 | 500000 | 861636 | 0 | 0
59 | INTERACTIVE BROKERS LLC | Y | NFA | 2009-12-31 00:00:00 | 787396003 | 85101725 | 702294278 | 454391783 | 144045200
60 | INTERBANK FX LLC | N | NFA | 2009-12-31 00:00:00 | 33148577 | 21450664 | 11697913 | 0 | 0
61 | ITG DERIVATIVES LLC | Y | NFA | 2009-12-31 00:00:00 | 3343737 | 500000 | 2843737 | 0 | 0
62 | JP MORGAN CLEARING CORP | Y | CME | 2009-12-31 00:00:00 | 5178908488 | 1542797075 | 3636111413 | 428101810 | 254291815
63 | JP MORGAN FUTURES INC | N | NYME | 2009-12-31 00:00:00 | 2276085447 | 1010002944 | 1266082503 | 13880864861 | 1808047840
64 | JP MORGAN SECURITIES INC | Y | NFA | 2009-12-31 00:00:00 | 7414789982 | 538370983 | 6876418999 | 0 | 0
65 | LADENBURG THALMANN & CO INC | Y | NFA | 2009-12-31 00:00:00 | 2671858 | 500000 | 2171858 | 0 | 0
66 | LEK SECURITIES CORPORATION | Y | NFA | 2009-12-31 00:00:00 | 12817061 | 1500000 | 11317061 | 209264 | 0
67 | LIMESTONE TRADING LLC | N | NFA | 2009-12-31 00:00:00 | 3411389 | 500000 | 2911389 | 0 | 0
68 | LINN GROUP THE | N | NFA | 2009-12-31 00:00:00 | 2520377 | 542726 | 1977651 | 30770374 | 4335
69 | LPL FINANCIAL CORPORATION | Y | NFA | 2009-12-31 00:00:00 | 65194494 | 6221169 | 58973325 | 0 | 0
70 | MACQUARIE FUTURES USA INC | N | CBOT | 2009-12-31 00:00:00 | 84683611 | 32089576 | 52594035 | 584696390 | 2211240
71 | MAREX USA LIMITED | N | NFA | 2009-12-31 00:00:00 | 669961 | 500000 | 169961 | 0 | 0
72 | MB TRADING FUTURES INC | N | NFA | 2009-12-31 00:00:00 | 22386555 | 20000000 | 2386555 | 0 | 0
73 | MBF CLEARING CORP | N | NYME | 2009-12-31 00:00:00 | 11253992 | 980540 | 10273452 | 75407278 | 8279589
74 | MCVEAN TRADING & INVESTMENTS LLC | N | NFA | 2009-12-31 00:00:00 | 9380645 | 1919868 | 7460777 | 538497374 | 0
75 | MERRILL LYNCH PIERCE FENNER & SMITH | Y | CBOT | 2009-12-31 00:00:00 | 5283800106 | 527105875 | 4756694231 | 7440642194 | 897009153
76 | MERRILL LYNCH PROFESSIONAL CLEARING CORP | Y | NFA | 2009-12-31 00:00:00 | 1655804231 | 223079313 | 1432724918 | 857517105 | 24415683
77 | MF GLOBAL INC | Y | CME | 2009-12-31 00:00:00 | 562942321 | 331584975 | 231357346 | 7262470019 | 444829315
78 | MG FINANCIAL LLC | N | NFA | 2009-12-31 00:00:00 | 5060949 | 500000 | 4560949 | 0 | 0
79 | MID CO COMMODITIES INC | N | NFA | 2009-12-31 00:00:00 | 11307724 | 2561588 | 8746136 | 26697707 | 0
80 | MITSUBISHI UFJ SECURITIES USA INC | Y | NFA | 2009-12-31 00:00:00 | 87541971 | 1379465 | 86162506 | 0 | 0
81 | MITSUI BUSSAN COMMODITIES USA INC | N | NYME | 2009-12-31 00:00:00 | 8078460 | 2555414 | 5523046 | 0 | 0
82 | MIZUHO SECURITIES USA INC | Y | CME | 2009-12-31 00:00:00 | 312667000 | 34367496 | 278299504 | 599912041 | 230473661
83 | MORGAN KEEGAN & COMPANY INC | Y | NFA | 2009-12-31 00:00:00 | 417136285 | 19175841 | 397960444 | 0 | 0
84 | MORGAN STANLEY & CO INCORPORATED | Y | CME | 2009-12-31 00:00:00 | 7970395918 | 1095824330 | 6874571588 | 4476939304 | 3489113477
85 | MORGAN STANLEY SMITH BARNEY LLC | Y | NFA | 2009-12-31 00:00:00 | 395724596 | 500000 | 395224596 | 0 | 0
86 | NATIXIS SECURITIES NORTH AMERICA INC | Y | NFA | 2009-12-31 00:00:00 | 215024783 | 500000 | 214524783 | 0 | 0
87 | NEUBERGER BERMAN LLC | Y | NFA | 2009-12-31 00:00:00 | 119203341 | 1500000 | 117703341 | 0 | 0
88 | NEWEDGE USA LLC | Y | NYME | 2009-12-31 00:00:00 | 2393490941 | 1133098033 | 1260392908 | 17623503395 | 6576417461
89 | NOMURA SECURITIES INTERNATIONAL INC | Y | CBOT | 2009-12-31 00:00:00 | 997408234 | 21478523 | 975929711 | 0 | 0
90 | OANDA CORPORATION | N | NFA | 2009-12-31 00:00:00 | 165401463 | 28788020 | 136613443 | 0 | 0
91 | OPEN E CRY LLC | N | NFA | 2009-12-31 00:00:00 | 3313815 | 638284 | 2675531 | 78081180 | 720516
92 | OPPENHEIMER & CO INC | Y | NFA | 2009-12-31 00:00:00 | 157791512 | 23004829 | 134786683 | 31825551 | 0
93 | OPTIONSXPRESS INC | Y | NFA | 2009-12-31 00:00:00 | 97502879 | 17906316 | 79596563 | 57064811 | 742565
94 | [NAME] | N | CBOT | 2009-12-31 00:00:00 | 22958655 | 14955821 | 8002834 | 408663597 | 25616942
95 | PEREGRINE FINANCIAL GROUP INC | N | NFA | 2009-12-31 00:00:00 | 31346477 | 20000000 | 11346477 | 342572309 | 29629532
96 | PIONEER FUTURES INC | N | NYME | 2009-12-31 00:00:00 | 1093640 | 500000 | 593640 | 0 | 0
97 | PRUDENTIAL BACHE COMMODITIES LLC | N | CBOT | 2009-12-31 00:00:00 | 209511000 | 162696280 | 46814720 | 2742205000 | 257554000
98 | RAND FINANCIAL SERVICES INC | N | CME | 2009-12-31 00:00:00 | 60069863 | 8154193 | 51915670 | 87937000 | 35350900
99 | RAYMOND JAMES & ASSOCIATES INC | Y | NFA | 2009-12-31 00:00:00 | 399283445 | 28655599 | 370627846 | 0 | 0
100 | RBC CAPITAL MARKETS CORPORATION | Y | CME | 2009-12-31 00:00:00 | 1120091272 | 99586764 | 1020504508 | 884169121 | 385190948
101 | RBS SECURITIES INC | Y | CBOT | 2009-12-31 00:00:00 | 1521400000 | 166762000 | 1354638000 | 1130439000 | 65814000
102 | RJ OBRIEN ASSOCIATES LLC | N | CME | 2009-12-31 00:00:00 | 108330628 | 58495837 | 49834791 | 1989879576 | 35693675
103 | ROBBINS FUTURES INC | N | NFA | 2009-12-31 00:00:00 | 556090 | 500000 | 56090 | 3360241 | 0
104 | ROSENTHAL COLLINS GROUP LLC | N | CME | 2009-12-31 00:00:00 | 53496118 | 33177396 | 20318722 | 1192813945 | 16111388
105 | ROSENTHAL GLOBAL SECURITIES LLC | Y | NFA | 2009-12-31 00:00:00 | 53764153 | 735933 | 53028220 | 0 | 0
106 | SANFORD C BERNSTEIN & CO LLC | Y | NFA | 2009-12-31 00:00:00 | 163491635 | 11501709 | 151989926 | 0 | 0
107 | SANTANDER INVESTMENT SECURITIES INC | Y | NFA | 2009-12-31 00:00:00 | 62211230 | 500000 | 61711230 | 0 | 0
108 | SHAY GRAIN CLEARING COMPANY | N | KCBT | 2009-12-31 00:00:00 | 2549959 | 735868 | 1814091 | 14715514 | 0
109 | SMW TRADING COMPANY INC | N | CME | 2009-12-31 00:00:00 | 27163338 | 500000 | 26663338 | 3984508 | 0
110 | STATE STREET GLOBAL MARKETS LLC | Y | NFA | 2009-12-31 00:00:00 | 273851567 | 500000 | 273351567 | 0 | 0
111 | STEPHENS INC | Y | NFA | 2009-12-31 00:00:00 | 66553698 | 12630941 | 53922757 | 0 | 0
112 | STERLING COMMODITIES CORP | N | NYME | 2009-12-31 00:00:00 | 7353423 | 1047123 | 6306300 | 36873659 | 865983
113 | TCA FUTURES LLC | N | NFA | 2009-12-31 00:00:00 | 821719 | 500000 | 321719 | 0 | 0
114 | TD AMERITRADE INC | Y | NFA | 2009-12-31 00:00:00 | 344983823 | 500000 | 344483823 | 0 | 0
115 | TENCO INC | N | CBOT | 2009-12-31 00:00:00 | 47985417 | 5696212 | 42289205 | 155303619 | 0
116 | TERRA NOVA FINANCIAL LLC | Y | NFA | 2009-12-31 00:00:00 | 10394818 | 1500000 | 8894818 | 0 | 0
117 | TIMBER HILL LLC | Y | CME | 2009-12-31 00:00:00 | 1108813968 | 37634093 | 1071179875 | 387676283 | 0
118 | TOWER RESEARCH CAPITAL EUROPE LLC | N | NFA | 2009-12-31 00:00:00 | 3673121 | 500000 | 3173121 | 0 | 0
119 | TRADELINK LLC | Y | CBOT | 2009-12-31 00:00:00 | 28034954 | 500000 | 27534954 | 0 | 0
120 | TRADESTATION SECURITIES INC | Y | NFA | 2009-12-31 00:00:00 | 85586716 | 1797596 | 83789120 | 0 | 0
121 | TRADITION SECURITIES AND FUTURES INC | N | NFA | 2009-12-31 00:00:00 | 774346 | 500000 | 274346 | 0 | 0
122 | TRANSMARKET GROUP LLC | Y | CBOT | 2009-12-31 00:00:00 | 11225409 | 500000 | 10725409 | 0 | 0
123 | TRILAND USA INC | N | NYME | 2009-12-31 00:00:00 | 33731042 | 11299460 | 22431582 | 144792469 | 6844178
124 | UBS FINANCIAL SERVICES INC | Y | NFA | 2009-12-31 00:00:00 | 1303357969 | 88885791 | 1214472178 | 192208656 | 1345772
125 | UBS SECURITIES LLC | Y | CBOT | 2009-12-31 00:00:00 | 13687349342 | 820215902 | 12867133440 | 9148218349 | 5416495175
126 | VELOCITY FUTURES LLC | N | NFA | 2009-12-31 00:00:00 | 1120606 | 500000 | 620606 | 36758073 | 906024
127 | VISION FINANCIAL MARKETS LLC | Y | CME | 2009-12-31 00:00:00 | 20198108 | 6851490 | 13346618 | 341509789 | 4128931
128 | WELLS FARGO ADVISORS FINANCIAL NETWORK LLC | Y | NFA | 2009-12-31 00:00:00 | 24245472 | 2134953 | 22110519 | 0 | 0
129 | WELLS FARGO ADVISORS LLC | Y | NFA | 2009-12-31 00:00:00 | 210242483 | 1500000 | 208742483 | 0 | 0
130 | WELLS FARGO SECURITIES LLC | Y | CME | 2009-12-31 00:00:00 | 1438686506 | 1032883 | 1437653623 | 0 | 0
131 | WHITE COMMERCIAL CORPORATION | N | NFA | 2009-12-31 00:00:00 | 2570577 | 500000 | 2070577 | 0 | 0
132 | WSD FINANCIAL USA INC | N | NFA | 2009-12-31 00:00:00 | 1211397 | 500000 | 711397 | 0 | 0
133 | YORK BUSINESS ASSOCIATES LLC | N | NFA | 2009-12-31 00:00:00 | 1725521 | 500000 | 1225521 | 49151765 | 1196884
 | Totals |  |  |  |  |  |  | 134136558825 | 34793596190 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0
 | November Web Page Update | 133
 | Additions | 2
 | FXDIRECTDEALER LLC
 | HG CLEARING SERVICES LLC
 | Deletions | 2
 | AMERIPRISE ADVISOR SERVICES INC
 | HOTSPOT FXR LLC
 | Name Change
 | December 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].