Spreadsheet: 1664d26b-0fac-437e-9ad0-f68798443b37
Sheet: FCM Data July 2011

 |  | [NAME] As | DSRO | A/O | Adjusted | Net Capital | Excess | Customers' | Customer | Total Amount
 | Futures Commission Merchant / Retail Foreign Exchange Dealer |  |  | Date | Net Capital | Requirement | Net Capital | Seg Required | Amount | of Retail Forex
 |  |  |  |  |  |  |  | 4d(a)(2) | Pt. 30 Required | Obligation
 |  | (a) | (b) |  |  | (c) | (d) | (e) | (f) | (g)
1 | ABN AMRO CLEARING CHICAGO LLC | FCM BD | CBOT | 2011-07-31 00:00:00 | 240052233 | 108064625 | 131987608 | 2040306758 | 270884565 | 0
2 | ADM INVESTOR SERVICES INC | FCM | CBOT | 2011-07-31 00:00:00 | 264207197 | 139583098 | 124624099 | 2714553749 | 80934143 | 0
3 | ADVANCED MARKETS LLC | FCMRFD | NFA | 2011-07-31 00:00:00 | 20334655 | 20000000 | 334655 | 0 | 0 | 1675783
4 | ADVANTAGE FUTURES LLC | FCM | CME | 2011-07-29 00:00:00 | 19864362 | 11686179 | 8178183 | 428991786 | 34635702 | 0
5 | ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC * | FCM BD | NFA | 2011-06-30 00:00:00 | 84773980 | 4227112 | 80546868 | 0 | 0 | 0
6 | [NAME] (US) LLC | FCMRFD | NFA | 2011-07-31 00:00:00 | 25394755 | 20000000 | 5394755 | 44544 | 0 | 9656590
7 | AMERIPRISE FINANCIAL SERVICES INC | FCM BD | NFA | 2011-07-31 00:00:00 | 154717338 | 1000000 | 153717338 | 0 | 0 | 0
8 | AMP GLOBAL CLEARING LLC | FCM | NFA | 2011-07-31 00:00:00 | 1479172 | 1000000 | 479172 | 30821753 | 109953 | 0
9 | BARCLAYS CAPITAL INC | FCM BD | NYME | 2011-07-31 00:00:00 | 5422277016 | 768866049 | 4653410967 | 5178583151 | 2674473846 | 0
10 | BGC FINANCIAL LP | FCM BD | NFA | 2011-07-31 00:00:00 | 60151271 | 1000000 | 59151271 | 0 | 0 | 0
11 | BNP PARIBAS COMMODITY FUTURES INC | FCM | NYME | 2011-07-31 00:00:00 | 357774665 | 235971667 | 121802998 | 1502812974 | 615402397 | 0
12 | BNP PARIBAS SECURITIES CORP | FCM BD | CBOT | 2011-07-31 00:00:00 | 1747018270 | 61972341 | 1685045929 | 301067709 | 0 | 0
13 | BNY MELLON CLEARING LLC | FCM | CME | 2011-07-31 00:00:00 | 307437956 | 5282282 | 302155674 | 45365896 | 0 | 0
14 | CANTOR FITZGERALD & CO | FCM BD | CBOT | 2011-07-31 00:00:00 | 253684295 | 8340983 | 245343312 | 1629767 | 0 | 0
15 | CAPITAL MARKET SERVICES LLC | FCM | NFA | 2011-07-31 00:00:00 | 2486474 | 1000000 | 1486474 | 0 | 0 | 0
16 | CIBC WORLD MARKETS CORP | FCM BD | CME | 2011-07-31 00:00:00 | 478598126 | 1500000 | 477098126 | 0 | 0 | 0
17 | CITADEL SECURITIES LLC | FCM BD | CME | 2011-07-29 00:00:00 | 417334512 | 1000000 | 416334512 | 0 | 0 | 0
18 | CITIGROUP GLOBAL MARKETS INC | FCM BD | CBOT | 2011-07-31 00:00:00 | 7408736610 | 698755348 | 6709981262 | 10795137953 | 1714820349 | 0
19 | COMMONWEALTH FOREIGN EXCHANGE INC | FCM | NFA | 2011-07-31 00:00:00 | 1097160 | 1000000 | 97160 | 0 | 0 | 0
20 | COMPASS PROFESSIONAL SERVICES LLC | FCM BD | NFA | 2011-07-31 00:00:00 | 4225724 | 1000000 | 3225724 | 0 | 0 | 0
21 | COUNTRY HEDGING INC | FCM | NFA | 2011-07-31 00:00:00 | 24834865 | 17415577 | 7419288 | 248672913 | 229973 | 0
22 | CREDIT SUISSE SECURITIES (USA) LLC | FCM BD | CBOT | 2011-07-31 00:00:00 | 8600101633 | 1042030487 | 7558071146 | 5048013571 | 1834948706 | 0
23 | CROSSLAND LLC | FCM | CBOT | 2011-07-31 00:00:00 | 12687818 | 5286122 | 7401696 | 75247675 | 41722404 | 0
24 | CUNNINGHAM COMMODITIES LLC | FCM | CBOT | 2011-07-31 00:00:00 | 3241129 | 1000000 | 2241129 | 54154086 | 64242 | 0
25 | CX CAPITAL MARKETS LLC | FCM | NFA | 2011-07-31 00:00:00 | 3551690 | 1000000 | 2551690 | 26000269 | 0 | 0
26 | DAIWA CAPITAL MARKETS AMERICA INC | FCM BD | CME | 2011-07-31 00:00:00 | 283414816 | 1000000 | 282414816 | 3966162 | 40979 | 0
27 | DEUTSCHE BANK SECURITIES INC | FCM BD | CBOT | 2011-07-31 00:00:00 | 6987857067 | 625614680 | 6362242387 | 15954068325 | 1484869866 | 0
28 | DORMAN TRADING LLC | FCM | CME | 2011-07-31 00:00:00 | 10022341 | 1000000 | 9022341 | 104137842 | 1252940 | 0
29 | EAGLE MARKET MAKERS INC | FCM | CBOT | 2011-07-29 00:00:00 | 6895391 | 1000000 | 5895391 | 3352016 | 0 | 0
30 | EASY FOREX US LTD | FCM | NFA | 2011-07-31 00:00:00 | 1793699 | 1000000 | 793699 | 0 | 0 | 0
31 | ENSKILDA FUTURES LTD | FCM | CME | 2011-07-29 00:00:00 | 29712539 | 19034204 | 10678335 | 237920419 | 0 | 0
32 | FCSTONE LLC | FCM | CME | 2011-07-31 00:00:00 | 110332706 | 62892303 | 47440403 | 1341380624 | 21299442 | 4352390
33 | FOREX CAPITAL MARKETS LLC | FCMRFD | NFA | 2011-07-31 00:00:00 | 60062804 | 26202001 | 33860803 | 0 | 0 | 134040016
34 | FOREX CLUB LLC | FCMRFD | NFA | 2011-07-29 00:00:00 | 22778697 | 22000000 | 778697 | 0 | 0 | 2997656
35 | FRIEDBERG MERCANTILE GROUP INC | FCM | NFA | 2011-07-31 00:00:00 | 3394545 | 1000000 | 2394545 | 11513852 | 534011 | 0
36 | FRONTIER FUTURES INC | FCM | NFA | 2011-07-31 00:00:00 | 1905319 | 1000000 | 905319 | 31804535 | 0 | 0
37 | FUTURES TECH LLC | FCM | NFA | 2011-07-31 00:00:00 | 1604600 | 1000000 | 604600 | 0 | 0 | 0
38 | FX SOLUTIONS LLC | FCMRFD | NFA | 2011-07-31 00:00:00 | 38321287 | 20361295 | 17959992 | 0 | 0 | 17225895
39 | FXDIRECTDEALER LLC | FCMRFD | NFA | 2011-07-31 00:00:00 | 31505961 | 21330975 | 10174986 | 0 | 0 | 36619513
40 | GAIN CAPITAL GROUP LLC | FCMRFD | NFA | 2011-07-31 00:00:00 | 69931964 | 24404290 | 45527674 | 0 | 0 | 98085796
41 | GLOBAL FUTURES & FOREX LTD | FCMRFD | NFA | 2011-07-31 00:00:00 | 78430220 | 24184476 | 54245744 | 332253 | 220801 | 93689526
42 | GOLDMAN SACHS & CO | FCM BD | CBOT | 2011-07-31 00:00:00 | 11520881535 | 1917414250 | 9603467285 | 19877854542 | 7958023893 | 0
43 | GOLDMAN SACHS EXECUTION & CLEARING LP | FCM BD | CME | 2011-07-31 00:00:00 | 1768708384 | 120298125 | 1648410259 | 1166334534 | 19697749 | 0
44 | GUGGENHEIM SECURITIES LLC | FCM BD | NFA | 2011-07-31 00:00:00 | 84367140 | 2379769 | 81987371 | 0 | 0 | 0
45 | HSBC SECURITIES USA INC | FCM BD | CME | 2011-07-31 00:00:00 | 1050930223 | 107155200 | 943775023 | 1273992979 | 99555278 | 0
46 | ICAP CORPORATES LLC | FCM BD | NFA | 2011-07-31 00:00:00 | 51301032 | 1000000 | 50301032 | 0 | 0 | 0
47 | ICAP FUTURES LLC | FCM | NFA | 2011-07-31 00:00:00 | 7783642 | 1000000 | 6783642 | 0 | 0 | 0
48 | IKON GLOBAL MARKETS INC | FCM | NFA | 2011-07-31 00:00:00 | 16537384 | 1000000 | 15537384 | 9882050 | 108434 | 0
49 | INSTINET LLC | FCM BD | NFA | 2011-07-31 00:00:00 | 118697394 | 2550230 | 116147164 | 0 | 0 | 0
50 | INSTITUTIONAL LIQUIDITY LLC | FCMRFD | NFA | 2011-07-31 00:00:00 | 21020003 | 20000000 | 1020003 | 0 | 0 | 1170601
51 | INTEGRATED BROKERAGE SERVICES LLC | FCM | NFA | 2011-07-31 00:00:00 | 1609878 | 1000000 | 609878 | 0 | 0 | 0
52 | INTERACTIVE BROKERS LLC | FCM BD | NFA | 2011-07-31 00:00:00 | 1310911678 | 197619349 | 1113292329 | 793502830 | 257307898 | 0
53 | INTERBANK FX LLC | FCMRFD | NFA | 2011-07-31 00:00:00 | 25385414 | 21075838 | 4309576 | 0 | 0 | 31516768
54 | IRONBEAM INC | FCM | NFA | 2011-07-31 00:00:00 | 3285813 | 1000000 | 2285813 | 44881417 | 242924 | 0
55 | ITG DERIVATIVES LLC | FCM BD | NFA | 2011-07-31 00:00:00 | 2277500 | 1000000 | 1277500 | 0 | 0 | 0
56 | JEFFERIES & COMPANY INC | FCM BD | NFA | 2011-07-29 00:00:00 | 598362961 | 65387732 | 532975229 | 0 | 0 | 0
57 | JEFFERIES BACHE LLC | FCM | CBOT | 2011-07-31 00:00:00 | 248646000 | 186258400 | 62387600 | 2939400000 | 309319000 | 0
58 | JP MORGAN CLEARING CORP | FCM BD | CME | 2011-07-31 00:00:00 | 7048533493 | 1887558117 | 5160975376 | 444517214 | 443163158 | 0
59 | JP MORGAN SECURITIES LLC | FCM BD | CEI | 2011-07-31 00:00:00 | 11741582599 | 1546530927 | 10195051672 | 16413844453 | 2749180721 | 0
60 | LEK SECURITIES CORPORATION | FCM BD | NFA | 2011-07-31 00:00:00 | 10156234 | 1500000 | 8656234 | 1252085 | 0 | 0
61 | LIMESTONE TRADING LLC | FCM | NFA | 2011-07-31 00:00:00 | 4572982 | 1000000 | 3572982 | 0 | 0 | 0
62 | LINN GROUP THE | FCM | NFA | 2011-07-31 00:00:00 | 2532242 | 1000000 | 1532242 | 39695871 | 119240 | 0
63 | LPL FINANCIAL LLC | FCM BD | NFA | 2011-07-31 00:00:00 | 121362179 | 6347384 | 115014795 | 0 | 0 | 0
64 | MACQUARIE FUTURES USA INC | FCM | CBOT | 2011-07-31 00:00:00 | 130109327 | 66279648 | 63829679 | 772935998 | 51261792 | 0
65 | MAREX NORTH AMERICA LLC | FCM | CME | 2011-07-31 00:00:00 | 9195543 | 4938681 | 4256862 | 70609865 | 2008465 | 0
66 | MAREX USA LIMITED | FCM | NFA | 2011-07-31 00:00:00 | 1716374 | 1000000 | 716374 | 0 | 0 | 0
67 | MB TRADING FUTURES INC | FCMRFD | NFA | 2011-07-31 00:00:00 | 27009464 | 21146753 | 5862711 | 0 | 0 | 32935057
68 | MBF CLEARING CORP | FCM | NYME | 2011-07-31 00:00:00 | 8422290 | 1000000 | 7422290 | 72646644 | 4715593 | 0
69 | MCVEAN TRADING & INVESTMENTS LLC | FCM | NFA | 2011-07-31 00:00:00 | 14392180 | 2143246 | 12248934 | 856139375 | 0 | 0
70 | MERRILL LYNCH PIERCE FENNER & SMITH | FCM BD | CBOT | 2011-07-31 00:00:00 | 9524074203 | 801636338 | 8722437865 | 8443585899 | 3282224090 | 0
71 | MERRILL LYNCH PROFESSIONAL CLEARING CORP | FCM BD | NFA | 2011-07-31 00:00:00 | 2088286511 | 234170289 | 1854116222 | 779734512 | 51478519 | 0
72 | MF GLOBAL INC | FCM BD | CME | 2011-07-29 00:00:00 | 285219373 | 435788650 | -150569277 | 8813407681 | 890930453 | 0
73 | MID CO COMMODITIES INC | FCM | NFA | 2011-07-31 00:00:00 | 13252373 | 6383236 | 6869137 | 73181761 | 0 | 0
74 | MITSUBISHI UFJ SECURITIES USA INC | FCM BD | NFA | 2011-07-31 00:00:00 | 95411822 | 1227081 | 94184741 | 0 | 0 | 0
75 | MITSUI BUSSAN COMMODITIES USA INC | FCM | NFA | 2011-07-31 00:00:00 | 2955815 | 1000000 | 1955815 | 0 | 0 | 0
76 | MIZUHO SECURITIES USA INC | FCM BD | CME | 2011-07-31 00:00:00 | 263712405 | 87965658 | 175746747 | 771260591 | 511487060 | 0
77 | MORGAN KEEGAN & COMPANY INC | FCM BD | NFA | 2011-07-31 00:00:00 | 475243216 | 8883491 | 466359725 | 0 | 0 | 0
78 | MORGAN STANLEY & CO LLC | FCM BD | CME | 2011-07-31 00:00:00 | 5797915448 | 1169770472 | 4628144976 | 5206901427 | 1857877675 | 0
79 | MORGAN STANLEY SMITH BARNEY LLC | FCM BD | NFA | 2011-07-31 00:00:00 | 1264154689 | 38458421 | 1225696268 | 578531162 | 1942497225 | 0
80 | NATIXIS SECURITIES NORTH AMERICA INC | FCM BD | NFA | 2011-07-29 00:00:00 | 210425209 | 1000000 | 209425209 | 0 | 0 | 0
81 | NEUBERGER BERMAN LLC | FCM BD | NFA | 2011-07-31 00:00:00 | 90821020 | 1500000 | 89321020 | 0 | 0 | 0
82 | NEWEDGE USA LLC | FCM BD | NYME | 2011-07-31 00:00:00 | 2190963527 | 1516965286 | 673998241 | 24704981218 | 7127483624 | 0
83 | NOMURA SECURITIES INTERNATIONAL INC | FCM BD | CBOT | 2011-07-31 00:00:00 | 1990068563 | 20509732 | 1969558831 | 105405173 | 1092111 | 0
84 | OANDA CORPORATION | FCMRFD | NFA | 2011-07-31 00:00:00 | 156857941 | 27288085 | 129569856 | 0 | 0 | 155761706
85 | OPEN E CRY LLC | FCM | NFA | 2011-07-31 00:00:00 | 3523836 | 1266861 | 2256975 | 87273984 | 1419467 | 0
86 | OPPENHEIMER & CO INC | FCM BD | NFA | 2011-07-31 00:00:00 | 166624587 | 23061381 | 143563206 | 20557904 | 0 | 0
87 | OPTIONSXPRESS INC | FCM BD | NFA | 2011-07-31 00:00:00 | 77823551 | 8457977 | 69365574 | 124265559 | 2921230 | 0
88 | PENSON FUTURES | FCM | CBOT | 2011-07-31 00:00:00 | 33378470 | 22667817 | 10710653 | 748510923 | 38885865 | 38518301
89 | PEREGRINE FINANCIAL GROUP INC | FCM | NFA | 2011-07-31 00:00:00 | 36191814 | 21308739 | 14883075 | 441268788 | 30526197 | 36174784
90 | PHILLIP FUTURES INC | FCM | CME | 2011-07-31 00:00:00 | 9972848 | 1000000 | 8972848 | 44868210 | 0 | 0
91 | PIONEER FUTURES INC | FCM | NFA | 2011-07-31 00:00:00 | 2950799 | 1000000 | 1950799 | 0 | 0 | 0
92 | RAND FINANCIAL SERVICES INC | FCM | CME | 2011-07-31 00:00:00 | 75459017 | 20740835 | 54718182 | 189329200 | 26696000 | 0
93 | RAYMOND JAMES & ASSOCIATES INC | FCM BD | NFA | 2011-07-31 00:00:00 | 435256158 | 30428395 | 404827763 | 0 | 0 | 0
94 | RBC CAPITAL MARKETS LLC | FCM BD | CME | 2011-07-29 00:00:00 | 930928043 | 96648461 | 834279582 | 356663018 | 25744797 | 0
95 | RBS SECURITIES INC | FCM BD | CBOT | 2011-07-31 00:00:00 | 2516821916 | 261743559 | 2255078357 | 1841371997 | 161831348 | 0
96 | RJ OBRIEN ASSOCIATES LLC | FCM | CME | 2011-07-31 00:00:00 | 164075520 | 106341338 | 57734182 | 2721202173 | 70959638 | 3646138
97 | ROSENTHAL COLLINS GROUP LLC | FCM | CME | 2011-07-31 00:00:00 | 66964087 | 46227950 | 20736137 | 1447666124 | 41839465 | 0
98 | ROSENTHAL GLOBAL SECURITIES LLC | FCM BD | NFA | 2011-07-31 00:00:00 | 49567696 | 1000000 | 48567696 | 0 | 0 | 0
99 | SANFORD C BERNSTEIN & CO LLC | FCM BD | NFA | 2011-07-31 00:00:00 | 174729871 | 14467513 | 160262358 | 0 | 0 | 0
100 | SANTANDER INVESTMENT SECURITIES INC | FCM BD | NYME | 2011-07-29 00:00:00 | 221625042 | 20426285 | 201198757 | 485519773 | 0 | 0
101 | STATE STREET GLOBAL MARKETS LLC | FCM BD | CME | 2011-07-31 00:00:00 | 414277273 | 6543466 | 407733807 | 29623201 | 6987609 | 0
102 | STEPHENS | FCM BD | NFA | 2011-07-31 00:00:00 | 81892095 | 13679486 | 68212609 | 0 | 0 | 0
103 | STERLING COMMODITIES CORP | FCM | NYME | 2011-07-31 00:00:00 | 8589930 | 1000000 | 7589930 | 32278831 | 197848 | 0
104 | STRAITS FINANCIAL LLC | FCM | CME | 2011-07-31 00:00:00 | 8195852 | 1000000 | 7195852 | 11407390 | 53788 | 0
105 | TCA FUTURES LLC | FCM | NFA | 2011-07-31 00:00:00 | 1617602 | 1000000 | 617602 | 0 | 0 | 0
106 | TD AMERITRADE INC | FCM BD | NFA | 2011-07-31 00:00:00 | 330827075 | 1000000 | 329827075 | 0 | 0 | 0
107 | TENCO INC | FCM | CBOT | 2011-07-31 00:00:00 | 61021407 | 7805557 | 53215850 | 315625692 | 0 | 0
108 | TIMBER HILL LLC | FCM BD | CME | 2011-07-31 00:00:00 | 1014104506 | 48076025 | 966028481 | 560686714 | 0 | 0
109 | TOWER RESEARCH CAPITAL EUROPE LLC | FCM | NFA | 2011-07-31 00:00:00 | 1710712 | 1000000 | 710712 | 0 | 0 | 0
110 | TRADELINK LLC | FCM BD | CBOT | 2011-07-31 00:00:00 | 26592423 | 1000000 | 25592423 | 0 | 0 | 0
111 | TRADESTATION FOREX INC. | RFED | NFA | 2011-07-31 00:00:00 | 24527941 | 21285990 | 3241951 | 0 | 0 | 35719800
112 | TRADESTATION SECURITIES INC | FCM BD | NFA | 2011-07-31 00:00:00 | 55616253 | 2517926 | 53098327 | 431709685 | 7451616 | 0
113 | TRADITION SECURITIES AND FUTURES INC | FCM | NFA | 2011-07-29 00:00:00 | 1541987 | 1000000 | 541987 | 0 | 0 | 0
114 | TRILAND USA INC | FCM | NFA | 2011-07-31 00:00:00 | 11287612 | 1000000 | 10287612 | 0 | 0 | 0
115 | UBS FINANCIAL SERVICES INC | FCM BD | NFA | 2011-07-31 00:00:00 | 1354320438 | 111033400 | 1243287038 | 164742246 | 834433 | 0
116 | UBS SECURITIES LLC | FCM BD | CBOT | 2011-07-31 00:00:00 | 11434634207 | 987457727 | 10447176480 | 9112743328 | 4496908516 | 0
117 | VELOCITY FUTURES LLC | FCM | NFA | 2011-07-31 00:00:00 | 1637032 | 1000000 | 637032 | 73311981 | 15813565 | 0
118 | VISION FINANCIAL MARKETS LLC | FCM BD | CME | 2011-07-31 00:00:00 | 27813035 | 10680137 | 17132898 | 415724157 | 8110727 | 0
119 | WALL STREET DERIVATIVES INC | FCM | NFA | 2011-07-31 00:00:00 | 1504821 | 1000000 | 504821 | 0 | 0 | 0
120 | WELLS FARGO ADVISORS FINANCIAL NETWORK LLC | FCM BD | NFA | 2011-07-31 00:00:00 | 55059623 | 5236417 | 49823206 | 0 | 0 | 0
121 | WELLS FARGO ADVISORS LLC | FCM BD | NFA | 2011-07-31 00:00:00 | 853540384 | 1500000 | 852040384 | 0 | 0 | 0
122 | WELLS FARGO SECURITIES LLC | FCM BD | CME | 2011-07-31 00:00:00 | 1581660834 | 12409864 | 1569250970 | 0 | 0 | 0
123 | WHITE COMMERCIAL CORPORATION | FCM | NFA | 2011-07-31 00:00:00 | 2366238 | 1000000 | 1366238 | 0 | 0 | 0
124 | XPRESSTRADE LLC | RFED | NFA | 2011-07-31 00:00:00 | 22841980 | 20000000 | 2841980 | 0 | 0 | 17720
125 | YORK BUSINESS ASSOCIATES LLC | FCM | NFA | 2011-07-31 00:00:00 | 2777280 | 1000000 | 1777280 | 76882360 | 1816225 | 0
 | Totals
 | June Web Page Update | 123
 | Additions | 2
 | XPRESSTRADE LLC
 | GUGGENHEIM SECURITIES LLC
 | Deletions | 0
 | None
 | Name Change
 | PRUDENTIAL BACHE COMMODITIES LLC to
 | JEFFERIES BACHE LLC
 | July Web Page Update | 125
 | *Allianz Global Investors Distributors LLC files financial statements quarterly.
 | (a):  FCM:         Futures Commission Merchant that is registered with the Commodity Futures Trading Commission;
 | BD:           The FCM is also registered with the Securities and Exchange Commission as a securities broker or dealer;
 | RFED:       Retail Foreign Exchange Dealer that is registered with the Commodity Futures Trading Commission.
 | FCMRFD:  The FCM is also registered with the Commodity Futures Trading Commission as a Retail Foreign Exchange Dealer
 | (b):  DSRO: Designated Self-Regulatory Organization.
 | (c):  A firm's net capital requirement is the greater of:
 | •  FCM minimum dollar amount ($1,000,000); or
 | •  risk based capital requirement, the sum of 8% of total customer risk maintenance margin and 8% of total non-customer risk maintenance margin; or
 | •  the amount of capital required by a registered futures association (currently NFA is the only such association); or
 | •  for securities brokers and dealers, the amount of net capital required by Rule 15c3-1(a) of the Securities and Exchange Commission; or
 | •  minimum dollar amount for FCM’s offering or engaged in retail forex transactions and RFEDs ($20,000,000); or
 | •  minimum dollar amount for FCM’s offering or engaged in retail forex transactions and RFEDs ($20,000,000) plus five percent of the FCM’s or RFED’s total retail forex obligation in excess of $10,000,000.
 | (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.
 | (g):  This represents the total amount of funds at an FCM, RFED, or FCMRFD that would be obtained by combining all money, securities and property deposited by a retail forex customer into a retail forex account or accounts, adjusted for the realized and unrealized net profit or loss.
 | Note:  Any comments regarding information contained in this table may be brought to the attention of the CFTC's Division of Clearing and Intermediary Oversight via e-mail: [EMAIL]