Spreadsheet: 10160fd5-45d3-464a-9811-2af485d2b1e2
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 | 2008-11-30 00:00:00 | 18461937 | 500000 | 17961937 | 0 | 0
2 | ACM USA LLC | N | NFA | 2008-11-30 00:00:00 | 11165241 | 10000000 | 1165241 | 0 | 0
3 | ADM INVESTOR SERVICES INC | N | CBOT | 2008-11-30 00:00:00 | 152395366 | 69715102 | 82680264 | 1907563003 | 129765593
4 | ADVANCED MARKETS INC | N | NFA | 2008-11-30 00:00:00 | 10195947 | 10000000 | 195947 | 0 | 0
5 | ADVANTAGE FUTURES LLC | N | CME | 2008-11-28 00:00:00 | 16358148 | 6512044 | 9846104 | 211835755 | 24802900
6 | AIG CLEARING CORPORATION | N | NYME | 2008-11-30 00:00:00 | 323477037 | 15601686 | 307875351 | 0 | 0
7 | ALARON TRADING CORPORATION | N | NFA | 2008-11-30 00:00:00 | 4040860 | 2645616 | 1395244 | 133688746 | 11779020
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 | 2008-11-30 00:00:00 | 18158297 | 10000000 | 8158297 | 0 | 0
10 | AMERIPRISE ADVISOR SERVICES INC | Y | NFA | 2008-11-30 00:00:00 | 27084892 | 5514136 | 21570756 | 0 | 0
11 | BACERA CORPORATION | N | NFA | 2008-11-30 00:00:00 | 5368662 | 500000 | 4868662 | 0 | 0
12 | BANC OF AMERICA SECURITIES LLC | Y | CME | 2008-11-28 00:00:00 | 2958395611 | 170947501 | 2787448110 | 1161489887 | 16453602
13 | BARCLAYS CAPITAL INC | Y | NYME | 2008-11-28 00:00:00 | 6780179748 | 500000000 | 6280179748 | 6607685707 | 2632821294
14 | BGC SECURITIES | Y | NFA | 2008-11-30 00:00:00 | 8942770 | 500000 | 8442770 | 0 | 0
15 | BNP PARIBAS COMMODITY FUTURES INC | N | NYME | 2008-11-28 00:00:00 | 300837786 | 258024532 | 42813254 | 3322921306 | 498916891
16 | BNP PARIBAS SECURITIES CORP | Y | CBOT | 2008-11-30 00:00:00 | 998029829 | 33274465 | 964755364 | 249234333 | 0
17 | CADENT FINANCIAL SERVICES LLC | N | CME | 2008-11-30 00:00:00 | 9296883 | 5573673 | 3723210 | 258767956 | 2120414
18 | CANTOR FITZGERALD & CO | Y | CBOT | 2008-11-30 00:00:00 | 304096951 | 24643102 | 279453849 | 17047547 | 19816
19 | CAPITAL MARKET SERVICES LLC | N | NFA | 2008-11-30 00:00:00 | 26540892 | 10000000 | 16540892 | 0 | 0
20 | CIBC WORLD MARKETS CORP | Y | CME | 2008-11-28 00:00:00 | 1082570262 | 4211720 | 1078358542 | 0 | 0
21 | CITIGROUP GLOBAL MARKETS INC | Y | CBOT | 2008-11-30 00:00:00 | 5548646362 | 935602012 | 4613044350 | 16262378349 | 1439500575
22 | CLIFF LARSON COMPANY THE | N | NFA | 2008-11-30 00:00:00 | 3464163 | 1998292 | 1465871 | 22985910 | 0
23 | COMMONWEALTH FOREIGN EXCHANGE INC | N | NFA | 2008-11-30 00:00:00 | 1437856 | 500000 | 937856 | 0 | 0
24 | COMTRUST INC | N | NFA | 2008-11-30 00:00:00 | 824866 | 500000 | 324866 | 917715 | 0
25 | COUNTRY HEDGING INC | N | NFA | 2008-11-30 00:00:00 | 12889946 | 8084551 | 4805395 | 118606127 | 156217
26 | CREDIT SUISSE SECURITIES (USA) LLC | Y | CBOT | 2008-11-30 00:00:00 | 8945673805 | 684408637 | 8261265168 | 3495251592 | 1819253096
27 | CROSSLAND LLC | N | CBOT | 2008-11-30 00:00:00 | 3436165 | 593336 | 2842829 | 27322872 | 312569
28 | CUNNINGHAM COMMODITIES LLC | N | CBOT | 2008-11-30 00:00:00 | 3134152 | 500000 | 2634152 | 17571978 | 154814
29 | DAIWA SECURITIES AMERICA INC | Y | CME | 2008-11-30 00:00:00 | 228149024 | 1820012 | 226329012 | 28746840 | 634437
30 | DEUTSCHE BANK SECURITIES INC | Y | CBOT | 2008-11-28 00:00:00 | 2837910823 | 536072471 | 2301838352 | 6959500455 | 1392197454
31 | DORMAN TRADING LLC | N | CME | 2008-11-30 00:00:00 | 7852424 | 500000 | 7352424 | 65359948 | 0
32 | DUNAVANT COMMODITY CORP | N | NFA | 2008-11-30 00:00:00 | 27998971 | 604749 | 27394222 | 0 | 0
33 | EAGLE MARKET MAKERS INC | N | CBOT | 2008-11-30 00:00:00 | 5990893 | 500000 | 5490893 | 7734881 | 0
34 | EASY FOREX US LTD | N | NFA | 2008-11-30 00:00:00 | 10606977 | 10000000 | 606977 | 0 | 0
35 | ELECTRONIC BROKERAGE SYSTEMS LLC | Y | NFA | 2008-11-30 00:00:00 | 11219121 | 500000 | 10719121 | 0 | 0
36 | ENSKILDA FUTURES LTD | N | CME | 2008-11-30 00:00:00 | 24490987 | 12331522 | 12159465 | 246506870 | 0
37 | FARR FINANCIAL INC | N | NFA | 2008-11-30 00:00:00 | 1499770 | 500000 | 999770 | 33350559 | 0
38 | FC STONE LLC | N | CME | 2008-11-30 00:00:00 | 89964022 | 47322891 | 42641131 | 1034746253 | 13153155
39 | FOREX CAPITAL MARKETS LLC | N | NFA | 2008-11-30 00:00:00 | 131416979 | 10000000 | 121416979 | 0 | 0
40 | FOREX CLUB FINANCIAL COMPANY INC | N | NFA | 2008-11-30 00:00:00 | 15823325 | 10000000 | 5823325 | 0 | 0
41 | FORTIS CLEARING AMERICAS LLC | Y | CBOT | 2008-11-30 00:00:00 | 195971823 | 54356748 | 141615075 | 962615440 | 147170684
42 | FRIEDBERG MERCANTILE GROUP INC | N | NFA | 2008-11-30 00:00:00 | 8201858 | 5000000 | 3201858 | 3072207 | 177981
43 | FRONTIER FUTURES INC | N | NFA | 2008-11-30 00:00:00 | 1248882 | 730803 | 518079 | 36201417 | 0
44 | FUTURES TECH LLC | N | NFA | 2008-11-30 00:00:00 | 852362 | 500000 | 352362 | 0 | 0
45 | FX SOLUTIONS LLC | N | NFA | 2008-11-30 00:00:00 | 45125703 | 10000000 | 35125703 | 0 | 0
46 | GAIN CAPITAL GROUP LLC | N | NFA | 2008-11-30 00:00:00 | 102959741 | 10000000 | 92959741 | 0 | 0
47 | GATEWAY CAPITAL L.L.C. | N | NFA | 2008-11-30 00:00:00 | 644866 | 500000 | 144866 | 0 | 0
48 | GELBER GROUP LLC | N | CBOT | 2008-11-30 00:00:00 | 134837396 | 946067 | 133891329 | 88856032 | 0
49 | GFS FOREX & FUTURES INC | N | NFA | 2008-11-30 00:00:00 | 12861954 | 10000000 | 2861954 | 0 | 0
50 | GILDER GAGNON HOWE AND CO LLC | Y | NFA | 2008-11-30 00:00:00 | 15102111 | 500000 | 14602111 | 0 | 0
51 | GLOBAL FUTURES &  FOREX LTD | N | NFA | 2008-11-30 00:00:00 | 73808315 | 10000000 | 63808315 | 512508 | 696
52 | GOLDMAN SACHS & CO | Y | CBOT | 2008-11-28 00:00:00 | 10919704718 | 2046619737 | 8873084981 | 23320222623 | 9188085368
53 | GOLDMAN SACHS EXECUTION & CLEARING LP | Y | CME | 2008-11-28 00:00:00 | 1375037585 | 88914577 | 1286123008 | 1660331073 | 12298593
54 | HOTSPOT FXR LLC | N | NFA | 2008-11-30 00:00:00 | 10527057 | 10000000 | 527057 | 0 | 0
55 | HSBC SECURITIES USA INC | Y | CME | 2008-11-30 00:00:00 | 1151113463 | 123489786 | 1027623677 | 1659024379 | 75818371
56 | I TRADE FX LLC | N | NFA | 2008-11-30 00:00:00 | 17098848 | 10000000 | 7098848 | 0 | 0
57 | ICAP FUTURES LLC | N | NFA | 2008-11-30 00:00:00 | 5487652 | 500000 | 4987652 | 0 | 0
58 | IG MARKETS INC. | N | NFA | 2008-11-30 00:00:00 | 16554120 | 10000000 | 6554120 | 0 | 0
59 | IKON GLOBAL MARKETS INC. | N | NFA | 2008-11-30 00:00:00 | 15013602 | 10000000 | 5013602 | 2182188 | 182098
60 | INSTINET LLC | Y | NFA | 2008-11-30 00:00:00 | 83918884 | 4225900 | 79692984 | 0 | 0
61 | INTEGRATED BROKERAGE SERVICES LLC | N | NFA | 2008-11-30 00:00:00 | 1506005 | 500000 | 1006005 | 140894 | 0
62 | INTERACTIVE BROKERS LLC | Y | EUXUS | 2008-11-30 00:00:00 | 611268845 | 38683786 | 572585059 | 204539550 | 70652693
63 | INTERBANK FX LLC | N | NFA | 2008-11-28 00:00:00 | 42954278 | 10000000 | 32954278 | 0 | 0
64 | ITG DERIVATIVES, LLC | Y | NFA | 2008-11-30 00:00:00 | 2305951 | 500000 | 1805951 | 0 | 0
65 | JP MORGAN CLEARING CORP | Y | CME | 2008-11-30 00:00:00 | 4774509858 | 1323048261 | 3451461597 | 1020527387 | 283760177
66 | JP MORGAN FUTURES INC | N | NYME | 2008-11-30 00:00:00 | 2105348802 | 1473403793 | 631945009 | 19825633184 | 2397610202
67 | JP MORGAN SECURITIES INC | Y | NFA | 2008-11-28 00:00:00 | 8640659189 | 624151713 | 8016507476 | 0 | 0
68 | KOTTKE ASSOCIATES LLC | N | CBOT | 2008-11-30 00:00:00 | 25725283 | 500000 | 25225283 | 40430333 | 1955
69 | LADENBURG THALMANN & CO INC | Y | NFA | 2008-11-30 00:00:00 | 7617859 | 500000 | 7117859 | 0 | 0
70 | LBS LIMITED PARTNERSHIP | N | NFA | 2008-11-30 00:00:00 | 779311 | 500000 | 279311 | 0 | 0
71 | LEK SECURITIES CORPORATION | Y | NFA | 2008-11-30 00:00:00 | 11460802 | 1500000 | 9960802 | 395059 | 0
72 | LIMESTONE TRADING LLC | N | NFA | 2008-11-30 00:00:00 | 16168026 | 500000 | 15668026 | 0 | 0
73 | LINN GROUP  ( THE ) | N | NFA | 2008-11-30 00:00:00 | 3000842 | 500000 | 2500842 | 15011710 | 965
74 | LPL FINANCIAL CORPORATION | Y | NFA | 2008-11-30 00:00:00 | 97419080 | 6658046 | 90761034 | 0 | 0
75 | MACQUARIE FUTURES USA INC | N | CBOT | 2008-11-30 00:00:00 | 51006543 | 26350821 | 24655722 | 504204310 | 1540437
76 | MB TRADING FUTURES INC. | N | NFA | 2008-11-30 00:00:00 | 14664024 | 10000000 | 4664024 | 0 | 0
77 | MBF CLEARING CORP | N | NYME | 2008-11-30 00:00:00 | 28103552 | 1348278 | 26755274 | 79236549 | 4854413
78 | MCVEAN TRADING AND INVESTMENTS LLC | N | NFA | 2008-11-30 00:00:00 | 14243427 | 1492248 | 12751179 | 686324792 | 0
79 | MERRILL LYNCH PIERCE FENNER & SMITH | Y | CBOT | 2008-11-28 00:00:00 | 3956325205 | 660749684 | 3295575521 | 9672811504 | 1647446562
80 | MERRILL LYNCH PROFESSIONAL CLEARING CORP | Y | NFA | 2008-11-28 00:00:00 | 1135017392 | 82008724 | 1053008668 | 985272400 | 51820212
81 | MF GLOBAL INC. | Y | CME | 2008-11-30 00:00:00 | 640389308 | 360377803 | 280011505 | 7676938871 | 692380286
82 | MG FINANCIAL LLC | N | NFA | 2008-11-30 00:00:00 | 5748123 | 500000 | 5248123 | 0 | 0
83 | MID-CO COMMODITIES INC | N | NFA | 2008-11-30 00:00:00 | 13903774 | 3204002 | 10699772 | 37285010 | 0
84 | MITSUI BUSSAN COMMODITIES USA INC | N | NYME | 2008-11-30 00:00:00 | 7668475 | 2293921 | 5374554 | 0 | 0
85 | MIZUHO SECURITIES USA INC | Y | CME | 2008-11-28 00:00:00 | 310770590 | 62432912 | 248337678 | 593205325 | 260587996
86 | MORGAN KEEGAN & COMPANY INC | Y | NFA | 2008-11-30 00:00:00 | 326450307 | 9984846 | 316465461 | 0 | 0
87 | MORGAN STANLEY & CO INCORPORATED | Y | CME | 2008-11-30 00:00:00 | 8283858226 | 922053898 | 7361804328 | 5770622763 | 4690238274
88 | NATIXIS SECURITIES NORTH AMERICA INC | Y | NFA | 2008-11-28 00:00:00 | 195107073 | 500000 | 194607073 | 0 | 0
89 | NEUBERGER BERMAN LLC | Y | NFA | 2008-11-28 00:00:00 | 106510527 | 5000000 | 101510527 | 0 | 0
90 | NEWEDGE USA LLC. | Y | NYME | 2008-11-30 00:00:00 | 2374285488 | 1582378655 | 791906833 | 22042391645 | 8511145895
91 | NOMURA SECURITIES INTERNATIONAL INC | Y | CBOT | 2008-11-28 00:00:00 | 732985472 | 2594412 | 730391060 | 0 | 0
92 | OANDA CORPORATION | N | NFA | 2008-11-30 00:00:00 | 170799434 | 10000000 | 160799434 | 0 | 0
93 | ODL SECURITIES INC | N | NFA | 2008-11-30 00:00:00 | 18982172 | 10000000 | 8982172 | 0 | 0
94 | OPEN E CRY LLC | N | NFA | 2008-11-30 00:00:00 | 2227120 | 623944 | 1603176 | 52721063 | 645655
95 | OPPENHEIMER & CO  INC | Y | NFA | 2008-11-28 00:00:00 | 186688705 | 17344138 | 169344567 | 15339939 | 0
96 | OPTIONSXPRESS INC | Y | NFA | 2008-11-30 00:00:00 | 80095620 | 5864817 | 74230803 | 39286932 | 396109
97 | [NAME] | N | CBOT | 2008-11-30 00:00:00 | 19500644 | 11439782 | 8060862 | 348465378 | 25307118
98 | PEREGRINE FINANCIAL GROUP INC | N | NFA | 2008-11-30 00:00:00 | 27704449 | 10000000 | 17704449 | 212712059 | 11822793
99 | PIONEER FUTURES INC | N | NYME | 2008-11-30 00:00:00 | 1566380 | 500000 | 1066380 | 0 | 0
100 | PRUDENTIAL BACHE COMMODITIES LLC | N | CBOT | 2008-11-30 00:00:00 | 276779000 | 208110280 | 68668720 | 3537860000 | 354704000
101 | PUMA FINANCIAL LLC | N | NFA | 2008-11-28 00:00:00 | 1581331 | 500000 | 1081331 | 4504737 | 0
102 | RAND FINANCIAL SERVICES INC | N | CME | 2008-11-30 00:00:00 | 65445699 | 8780879 | 56664820 | 82387100 | 35166900
103 | RAYMOND JAMES & ASSOCIATES INC | Y | NFA | 2008-11-30 00:00:00 | 276850014 | 23879105 | 252970909 | 0 | 0
104 | RBC CAPITAL MARKETS CORPORATION | Y | CME | 2008-11-28 00:00:00 | 433599140 | 172315555 | 261283585 | 903238225 | 1233027625
105 | RBS GREENWICH CAPITAL INC | Y | CBOT | 2008-11-30 00:00:00 | 1851602000 | 208791669 | 1642810331 | 1804779000 | 29190000
106 | RJ OBRIEN  &  ASSOCIATES LLC | N | CME | 2008-11-30 00:00:00 | 115788116 | 57883622 | 57904494 | 1977039832 | 27572598
107 | ROBBINS FUTURES INC | N | NFA | 2008-11-30 00:00:00 | 579893 | 500000 | 79893 | 5346290 | 0
108 | ROSENTHAL COLLINS GROUP LLC | N | CME | 2008-11-30 00:00:00 | 88673339 | 31842407 | 56830932 | 1062493038 | 25010896
109 | ROSENTHAL GLOBAL SECURITIES LLC | Y | NFA | 2008-11-30 00:00:00 | 31820918 | 1694247 | 30126671 | 0 | 0
110 | SANFORD C BERNSTEIN & CO LLC | Y | NFA | 2008-11-28 00:00:00 | 146518134 | 8112002 | 138406132 | 0 | 0
111 | SANTANDER INVESTMENT SECURITIES INC. | Y | NFA | 2008-11-28 00:00:00 | 94434084 | 500000 | 93934084 | 0 | 0
112 | SHAY GRAIN CLEARING COMPANY | N | KCBT | 2008-11-30 00:00:00 | 2571558 | 685654 | 1885904 | 15356791 | 0
113 | SMW TRADING COMPANY INC | N | CME | 2008-11-30 00:00:00 | 20918409 | 500000 | 20418409 | 7867067 | 0
114 | STEPHENS INC | Y | NFA | 2008-11-28 00:00:00 | 78292437 | 9799210 | 68493227 | 0 | 0
115 | STERLING COMMODITIES CORP | N | NYME | 2008-11-30 00:00:00 | 9689487 | 725052 | 8964435 | 41377275 | 999612
116 | TCA FUTURES LLC | N | NFA | 2008-11-30 00:00:00 | 822550 | 500000 | 322550 | 0 | 0
117 | TD AMERITRADE INC. | Y | NFA | 2008-11-28 00:00:00 | 93035719 | 250000 | 92785719 | 0 | 0
118 | TENCO INC | N | CBOT | 2008-11-30 00:00:00 | 42403834 | 5939336 | 36464498 | 162128961 | 0
119 | TERRA NOVA FINANCIAL, LLC | Y | NFA | 2008-11-30 00:00:00 | 10053408 | 1500000 | 8553408 | 0 | 0
120 | TIMBER HILL LLC | Y | CME | 2008-11-30 00:00:00 | 1072720959 | 10042435 | 1062678524 | 156027308 | 0
121 | TOWER RESEARCH CAPITAL EUROPE LLC | N | NFA | 2008-11-30 00:00:00 | 2888469 | 500000 | 2388469 | 0 | 0
122 | TRADELINK LLC | Y | CBOT | 2008-11-30 00:00:00 | 57136884 | 500000 | 56636884 | 0 | 0
123 | TRADESTATION SECURITIES INC | Y | NFA | 2008-11-30 00:00:00 | 93701802 | 1083187 | 92618615 | 0 | 0
124 | TRADITION SECURITIES AND FUTURES INC | N | NFA | 2008-11-30 00:00:00 | 845233 | 500000 | 345233 | 0 | 0
125 | TRANSMARKET GROUP LLC | Y | CBOT | 2008-11-30 00:00:00 | 22227419 | 500000 | 21727419 | 0 | 0
126 | TRILAND USA INC | N | NYME | 2008-11-30 00:00:00 | 46585439 | 10507587 | 36077852 | 163087580 | 479214
127 | UBS FINANCIAL SERVICES INC | Y | NFA | 2008-11-28 00:00:00 | 300966656 | 97510481 | 203456175 | 264324903 | 668720
128 | UBS SECURITIES LLC | Y | CBOT | 2008-11-30 00:00:00 | 15248161440 | 1089968702 | 14158192738 | 16298886579 | 6277733451
129 | VELOCITY FUTURES LP | N | NFA | 2008-11-30 00:00:00 | 1011926 | 500000 | 511926 | 43450369 | 358390
130 | VISION FINANCIAL MARKETS LLC | Y | CME | 2008-11-30 00:00:00 | 26740303 | 5712739 | 21027564 | 239698827 | 155236
131 | WACHOVIA CAPITAL MARKETS LLC | Y | CME | 2008-11-30 00:00:00 | 1355598925 | 1000000 | 1354598925 | 0 | 0
132 | WACHOVIA SECURITIES FINANCIAL NETWORK, LLC | Y | NFA | 2008-11-30 00:00:00 | 36647327 | 2092095 | 34555232 | 0 | 0
133 | WACHOVIA SECURITIES LLC | Y | NFA | 2008-11-30 00:00:00 | 669158914 | 22940307 | 646218607 | 0 | 0
134 | WHITE COMMERCIAL CORPORATION | N | NFA | 2008-11-30 00:00:00 | 2791940 | 500000 | 2291940 | 0 | 0
135 | WSD FINANCIAL USA, INC | N | NFA | 2008-11-30 00:00:00 | 1288050 | 500000 | 788050 | 0 | 0
136 | YORK BUSINESS ASSOCIATES LLC | N | NFA | 2008-11-30 00:00:00 | 1172569 | 500000 | 672569 | 40912350 | 1322202
 | TOTAL |  |  |  |  |  |  | 166558495345 | 44042376224
 | October Web Page Update | 139
 | Additions | 0
 | NONE
 | Deletions | 3
 | ED & F MAN COMMODITY ADVISORS INC
 | LOEB PARTNERS CORPORATION
 | GENESIS FUTURES LLC
 | Name Change
 | AMERIPRISE ADVISOR SERVICES INC (Formally H & R Block Financial Advisors Inc)
 | November Web Page Update | 136
 | *Allianz Global Investors Distributions 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);
 | (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].