Spreadsheet: 19e4fb0c-3285-4e68-9650-9eb2f9fb545a
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 | 3DFOREX LLC | N | NFA | 2009-08-31 00:00:00 | 3142269 | 500000 | 2642269 | 0 | 0
2 | ACM USA LLC | N | NFA | 2009-08-31 00:00:00 | 770704 | 500000 | 270704 | 0 | 0
3 | ADM INVESTOR SERVICES INC | N | CBOT | 2009-08-31 00:00:00 | 163136302 | 85418810 | 77717492 | 1982910714 | 68239951
4 | ADVANCED MARKETS LLC | N | NFA | 2009-08-31 00:00:00 | 20650540 | 20000000 | 650540 | 0 | 0
5 | ADVANTAGE FUTURES LLC | N | CME | 2009-08-31 00:00:00 | 13234002 | 6836007 | 6397995 | 338723628 | 22560211
6 | AIG CLEARING CORPORATION | N | NYME | 2009-08-31 00:00:00 | 221549640 | 938275 | 220611365 | 0 | 0
7 | ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC* | Y | NFA | 2009-06-30 00:00:00 | 20380910 | 6459884 | 13921026 | 0 | 0
8 | [NAME] (US) LLC | N | NFA | 2009-08-31 00:00:00 | 21409108 | 20000000 | 1409108 | 0 | 0
9 | AMERIPRISE ADVISOR SERVICES INC | Y | NFA | 2009-08-31 00:00:00 | 72009927 | 6079156 | 65930771 | 0 | 0
10 | BANC OF AMERICA SECURITIES LLC | Y | CME | 2009-08-31 00:00:00 | 3396757436 | 96617220 | 3300140216 | 0 | 0
11 | BARCLAYS CAPITAL INC | Y | NYME | 2009-08-31 00:00:00 | 6604274370 | 508741512 | 6095532858 | 4875668265 | 1759657525
12 | BGC FINANCIAL LP | Y | NFA | 2009-08-31 00:00:00 | 34564868 | 500000 | 34064868 | 0 | 0
13 | BNP PARIBAS COMMODITY FUTURES INC | N | NYME | 2009-08-31 00:00:00 | 267066857 | 198293299 | 68773558 | 2046391373 | 619900884
14 | BNP PARIBAS SECURITIES CORP | Y | CBOT | 2009-08-31 00:00:00 | 1344501635 | 87926274 | 1256575361 | 312446452 | 0
15 | CADENT FINANCIAL SERVICES LLC | N | CME | 2009-08-31 00:00:00 | 2526488 | 1820835 | 705653 | 69425999 | 920637
16 | CANTOR FITZGERALD & CO | Y | CBOT | 2009-08-31 00:00:00 | 180479545 | 2033037 | 178446508 | 10721005 | 0
17 | CAPITAL MARKET SERVICES LLC | N | NFA | 2009-08-31 00:00:00 | 25428571 | 20000000 | 5428571 | 0 | 0
18 | CIBC WORLD MARKETS CORP | Y | CME | 2009-08-31 00:00:00 | 1333036971 | 1500000 | 1331536971 | 0 | 0
19 | CITADEL SECURITIES LLC | Y | CME | 2009-08-31 00:00:00 | 470217839 | 1000000 | 469217839 | 0 | 0
20 | CITIGROUP GLOBAL MARKETS INC | Y | CBOT | 2009-08-31 00:00:00 | 9269113597 | 749376063 | 8519737534 | 10995051694 | 1261506608
21 | COMMONWEALTH FOREIGN EXCHANGE INC | N | NFA | 2009-08-31 00:00:00 | 807045 | 500000 | 307045 | 0 | 0
22 | COMPASS PROFESSIONAL SERVICES LLC | Y | NFA | 2009-08-31 00:00:00 | 3047100 | 500000 | 2547100 | 0 | 0
23 | COUNTRY HEDGING INC | N | NFA | 2009-08-31 00:00:00 | 13284912 | 7244512 | 6040400 | 116103522 | 22147
24 | CREDIT SUISSE SECURITIES (USA) LLC | Y | CBOT | 2009-08-31 00:00:00 | 8745448179 | 638901045 | 8106547134 | 3389132633 | 1378629546
25 | CROSSLAND LLC | N | CBOT | 2009-08-31 00:00:00 | 5883412 | 5086286 | 797126 | 47546701 | 38963448
26 | CUNNINGHAM COMMODITIES LLC | N | CBOT | 2009-08-31 00:00:00 | 3297456 | 638868 | 2658588 | 31353504 | 33656
27 | CX CAPITAL MARKETS LLC | N | NFA | 2009-08-31 00:00:00 | 772735 | 500000 | 272735 | 6204968 | 0
28 | DAIWA SECURITIES AMERICA INC | Y | CME | 2009-08-31 00:00:00 | 262918389 | 1000000 | 261918389 | 3867160 | 46698
29 | DEUTSCHE BANK SECURITIES INC | Y | CBOT | 2009-08-31 00:00:00 | 7404705174 | 443484411 | 6961220763 | 10397974385 | 1240185312
30 | DORMAN TRADING LLC | N | CME | 2009-08-31 00:00:00 | 7885094 | 856594 | 7028500 | 89912578 | 74443
31 | EAGLE MARKET MAKERS INC | N | CBOT | 2009-08-31 00:00:00 | 5252334 | 500000 | 4752334 | 4888637 | 0
32 | EASY FOREX US LTD | N | NFA | 2009-08-31 00:00:00 | 20490925 | 20000000 | 490925 | 0 | 0
33 | ELECTRONIC BROKERAGE SYSTEMS LLC | Y | NFA | 2009-08-31 00:00:00 | 9268536 | 500000 | 8768536 | 0 | 0
34 | ENSKILDA FUTURES LTD | N | CME | 2009-08-31 00:00:00 | 23506396 | 13404170 | 10102226 | 225152783 | 0
35 | FARR FINANCIAL INC | N | NFA | 2009-08-31 00:00:00 | 922411 | 548551 | 373860 | 33657661 | 0
36 | FCSTONE LLC | N | CME | 2009-08-31 00:00:00 | 63102331 | 36390702 | 26711629 | 888167803 | 8542429
37 | FOREX CAPITAL MARKETS LLC | N | NFA | 2009-08-31 00:00:00 | 67728355 | 20000000 | 47728355 | 0 | 0
38 | FOREX CLUB FINANCIAL COMPANY INC | N | NFA | 2009-08-31 00:00:00 | 24664036 | 20000000 | 4664036 | 0 | 0
39 | FORTIS CLEARING AMERICAS LLC | Y | CBOT | 2009-08-31 00:00:00 | 202475796 | 48464516 | 154011280 | 1042815569 | 72248420
40 | FRIEDBERG MERCANTILE GROUP INC | N | NFA | 2009-08-31 00:00:00 | 3368741 | 500000 | 2868741 | 3955056 | 0
41 | FRONTIER FUTURES INC | N | NFA | 2009-08-31 00:00:00 | 1167919 | 703642 | 464277 | 26440320 | 0
42 | FUTURES TECH LLC | N | NFA | 2009-08-31 00:00:00 | 862393 | 500000 | 362393 | 0 | 0
43 | FX SOLUTIONS LLC | N | NFA | 2009-08-31 00:00:00 | 45800258 | 20000000 | 25800258 | 0 | 0
44 | GAIN CAPITAL GROUP LLC | N | NFA | 2009-08-31 00:00:00 | 81436967 | 20000000 | 61436967 | 0 | 0
45 | GENESIS FUTURES LLC | N | NFA | 2009-08-31 00:00:00 | 762717 | 500000 | 262717 | 0 | 0
46 | GFS FOREX & FUTURES INC | N | NFA | 2009-08-31 00:00:00 | 3531116 | 500000 | 3031116 | 0 | 0
47 | GILDER GAGNON HOWE & CO LLC | Y | NFA | 2009-08-31 00:00:00 | 17467343 | 500000 | 16967343 | 0 | 0
48 | GLOBAL FUTURES & FOREX LTD | N | NFA | 2009-08-31 00:00:00 | 76429474 | 20000000 | 56429474 | 360304 | 194696
49 | GOLDMAN SACHS & CO | Y | CBOT | 2009-08-28 00:00:00 | 14170276406 | 1871832523 | 12298443883 | 17899999023 | 7131464313
50 | GOLDMAN SACHS EXECUTION & CLEARING LP | Y | CME | 2009-08-28 00:00:00 | 1935210696 | 110613016 | 1824597680 | 1120955835 | 22127838
51 | HOTSPOT FXR LLC | N | NFA | 2009-08-31 00:00:00 | 6350154 | 500000 | 5850154 | 0 | 0
52 | HSBC SECURITIES USA INC | Y | CME | 2009-08-31 00:00:00 | 1455007379 | 73576879 | 1381430500 | 855575946 | 68836036
53 | I TRADE FX LLC | N | NFA | 2009-08-31 00:00:00 | 348228 | 500000 | -151772 | 0 | 0
54 | ICAP FUTURES LLC | N | NFA | 2009-08-31 00:00:00 | 14203906 | 500000 | 13703906 | 0 | 0
55 | IG MARKETS INC | N | NFA | 2009-08-31 00:00:00 | 30982387 | 20000000 | 10982387 | 0 | 0
56 | IKON GLOBAL MARKETS INC | N | NFA | 2009-08-31 00:00:00 | 21226238 | 20000000 | 1226238 | 1748108 | 1139335
57 | INSTINET LLC | Y | NFA | 2009-08-31 00:00:00 | 119967127 | 1602952 | 118364175 | 0 | 0
58 | INTEGRATED BROKERAGE SERVICES LLC | N | NFA | 2009-08-31 00:00:00 | 1300913 | 500000 | 800913 | 0 | 0
59 | INTERACTIVE BROKERS LLC | Y | NFA | 2009-08-31 00:00:00 | 720687742 | 70094010 | 650593732 | 344428215 | 121453529
60 | INTERBANK FX LLC | N | NFA | 2009-08-31 00:00:00 | 35064682 | 20000000 | 15064682 | 0 | 0
61 | ITG DERIVATIVES LLC | Y | NFA | 2009-08-31 00:00:00 | 3050727 | 607765 | 2442962 | 0 | 0
62 | JP MORGAN CLEARING CORP | Y | CME | 2009-08-31 00:00:00 | 5398337223 | 1489324827 | 3909012396 | 643744234 | 208898164
63 | JP MORGAN FUTURES INC | N | NYME | 2009-08-31 00:00:00 | 2196103038 | 1045010462 | 1151092576 | 14474230255 | 2144747540
64 | JP MORGAN SECURITIES INC | Y | NFA | 2009-08-31 00:00:00 | 8952226063 | 561293575 | 8390932488 | 0 | 0
65 | LADENBURG THALMANN & CO INC | Y | NFA | 2009-08-31 00:00:00 | 1363905 | 500000 | 863905 | 0 | 0
66 | LEK SECURITIES CORPORATION | Y | NFA | 2009-08-31 00:00:00 | 11957071 | 1500000 | 10457071 | 167319 | 0
67 | LIMESTONE TRADING LLC | N | NFA | 2009-08-31 00:00:00 | 15931255 | 500000 | 15431255 | 0 | 0
68 | LINN GROUP THE | N | NFA | 2009-08-31 00:00:00 | 2431631 | 608363 | 1823268 | 33301638 | 2505
69 | LPL FINANCIAL CORPORATION | Y | NFA | 2009-08-31 00:00:00 | 133527735 | 5768338 | 127759397 | 0 | 0
70 | MACQUARIE FUTURES USA INC | N | CBOT | 2009-08-31 00:00:00 | 70665037 | 40279265 | 30385772 | 669694051 | 397000
71 | MAREX USA LIMITED | N | NFA | 2009-08-31 00:00:00 | 839075 | 500000 | 339075 | 0 | 0
72 | MB TRADING FUTURES INC | N | NFA | 2009-08-31 00:00:00 | 21990965 | 20000000 | 1990965 | 0 | 0
73 | MBF CLEARING CORP | N | NYME | 2009-08-31 00:00:00 | 11068838 | 2013155 | 9055683 | 83764067 | 7925202
74 | MCVEAN TRADING & INVESTMENTS LLC | N | NFA | 2009-08-31 00:00:00 | 7803616 | 2052642 | 5750974 | 558357730 | 0
75 | MERRILL LYNCH PIERCE FENNER & SMITH | Y | CBOT | 2009-08-31 00:00:00 | 5184465139 | 630045844 | 4554419295 | 8523986941 | 1222924068
76 | MERRILL LYNCH PROFESSIONAL CLEARING CORP | Y | NFA | 2009-08-31 00:00:00 | 1405474313 | 98270428 | 1307203885 | 1254096337 | 41004155
77 | MF GLOBAL INC | Y | CME | 2009-08-31 00:00:00 | 589104997 | 353785396 | 235319601 | 7877848837 | 441644476
78 | MG FINANCIAL LLC | N | NFA | 2009-08-31 00:00:00 | 5010681 | 500000 | 4510681 | 0 | 0
79 | MID CO COMMODITIES INC | N | NFA | 2009-08-31 00:00:00 | 11154988 | 2274174 | 8880814 | 26233152 | 0
80 | MITSUBISHI UFJ SECURITIES USA INC | Y | NFA | 2009-08-31 00:00:00 | 76589705 | 1030142 | 75559563 | 0 | 0
81 | MITSUI BUSSAN COMMODITIES USA INC | N | NYME | 2009-08-31 00:00:00 | 7439391 | 2294255 | 5145136 | 0 | 0
82 | MIZUHO SECURITIES USA INC | Y | CME | 2009-08-31 00:00:00 | 319454943 | 44891981 | 274562962 | 674148472 | 301230649
83 | MORGAN KEEGAN & COMPANY INC | Y | NFA | 2009-08-31 00:00:00 | 359766301 | 9145496 | 350620805 | 0 | 0
84 | MORGAN STANLEY & CO INCORPORATED | Y | CME | 2009-08-31 00:00:00 | 10022172589 | 1029351352 | 8992821237 | 4763059818 | 3747090604
85 | MORGAN STANLEY SMITH BARNEY LLC | Y | NFA | 2009-08-31 00:00:00 | 402379429 | 500000 | 401879429 | 0 | 0
86 | NATIXIS SECURITIES NORTH AMERICA INC | Y | NFA | 2009-08-31 00:00:00 | 216972828 | 500000 | 216472828 | 0 | 0
87 | NEUBERGER BERMAN LLC | Y | NFA | 2009-08-31 00:00:00 | 67880403 | 1500000 | 66380403 | 0 | 0
88 | NEWEDGE USA LLC | Y | NYME | 2009-08-31 00:00:00 | 2419510957 | 1265135954 | 1154375003 | 19160393574 | 7353870225
89 | NOMURA SECURITIES INTERNATIONAL INC | Y | CBOT | 2009-08-31 00:00:00 | 1076979661 | 1882581 | 1075097080 | 0 | 0
90 | OANDA CORPORATION | N | NFA | 2009-08-31 00:00:00 | 162306790 | 20000000 | 142306790 | 0 | 0
91 | OPEN E CRY LLC | N | NFA | 2009-08-31 00:00:00 | 2814766 | 737421 | 2077345 | 70107929 | 719919
92 | OPPENHEIMER & CO INC | Y | NFA | 2009-08-31 00:00:00 | 169285224 | 19912700 | 149372524 | 20513594 | 0
93 | OPTIONSXPRESS INC | Y | NFA | 2009-08-31 00:00:00 | 84342894 | 13589616 | 70753278 | 56088603 | 919968
94 | [NAME] | N | CBOT | 2009-08-31 00:00:00 | 19637862 | 13676610 | 5961252 | 385858535 | 27936601
95 | PEREGRINE FINANCIAL GROUP INC | N | NFA | 2009-08-31 00:00:00 | 33291134 | 20000000 | 13291134 | 318717499 | 31038956
96 | PIONEER FUTURES INC | N | NYME | 2009-08-31 00:00:00 | 1266331 | 500000 | 766331 | 0 | 0
97 | PRUDENTIAL BACHE COMMODITIES LLC | N | CBOT | 2009-08-31 00:00:00 | 231435000 | 176912200 | 54522800 | 2799001000 | 351240000
98 | RAND FINANCIAL SERVICES INC | N | CME | 2009-08-31 00:00:00 | 57583869 | 8394920 | 49188949 | 97352000 | 29549100
99 | RAYMOND JAMES & ASSOCIATES INC | Y | NFA | 2009-08-31 00:00:00 | 326596275 | 25469508 | 301126767 | 0 | 0
100 | RBC CAPITAL MARKETS CORPORATION | Y | CME | 2009-08-31 00:00:00 | 1098374280 | 106881781 | 991492499 | 845477532 | 1237701551
101 | RBS SECURITIES INC | Y | CBOT | 2009-08-31 00:00:00 | 1996270722 | 175735000 | 1820535722 | 1555302000 | 64580000
102 | RJ OBRIEN ASSOCIATES LLC | N | CME | 2009-08-31 00:00:00 | 112500433 | 61768993 | 50731440 | 2038596835 | 33710735
103 | ROBBINS FUTURES INC | N | NFA | 2009-08-31 00:00:00 | 593914 | 500000 | 93914 | 2350556 | 0
104 | ROSENTHAL COLLINS GROUP LLC | N | CME | 2009-08-31 00:00:00 | 60006754 | 31432238 | 28574516 | 1124769554 | 24616026
105 | ROSENTHAL GLOBAL SECURITIES LLC | Y | NFA | 2009-08-31 00:00:00 | 6383483 | 881114 | 5502369 | 0 | 0
106 | SANFORD C BERNSTEIN & CO LLC | Y | NFA | 2009-08-31 00:00:00 | 135709729 | 10209033 | 125500696 | 0 | 0
107 | SANTANDER INVESTMENT SECURITIES INC | Y | NFA | 2009-08-31 00:00:00 | 83608331 | 862557 | 82745774 | 0 | 0
108 | SHAY GRAIN CLEARING COMPANY | N | KCBT | 2009-08-31 00:00:00 | 2576852 | 500000 | 2076852 | 13327817 | 0
109 | SMW TRADING COMPANY INC | N | CME | 2009-08-31 00:00:00 | 32899959 | 500000 | 32399959 | 5227894 | 0
110 | STEPHENS INC | Y | NFA | 2009-08-31 00:00:00 | 50140477 | 11824624 | 38315853 | 0 | 0
111 | STERLING COMMODITIES CORP | N | NYME | 2009-08-31 00:00:00 | 8532906 | 500000 | 8032906 | 28645901 | 814009
112 | TCA FUTURES LLC | N | NFA | 2009-08-31 00:00:00 | 825232 | 500000 | 325232 | 0 | 0
113 | TD AMERITRADE INC | Y | NFA | 2009-08-31 00:00:00 | 194001715 | 500000 | 193501715 | 0 | 0
114 | TENCO INC | N | CBOT | 2009-08-31 00:00:00 | 46385668 | 7164553 | 39221115 | 160302329 | 0
115 | TERRA NOVA FINANCIAL LLC | Y | NFA | 2009-08-31 00:00:00 | 11520314 | 1500000 | 10020314 | 0 | 0
116 | TIMBER HILL LLC | Y | CME | 2009-08-31 00:00:00 | 1210682804 | 19869018 | 1190813786 | 239275595 | 0
117 | TOWER RESEARCH CAPITAL EUROPE LLC | N | NFA | 2009-08-31 00:00:00 | 2717615 | 500000 | 2217615 | 0 | 0
118 | TRADELINK LLC | Y | CBOT | 2009-08-31 00:00:00 | 25252884 | 516849 | 24736035 | 0 | 0
119 | TRADESTATION SECURITIES INC | Y | NFA | 2009-08-31 00:00:00 | 93111559 | 1721631 | 91389928 | 0 | 0
120 | TRADITION SECURITIES AND FUTURES INC | N | NFA | 2009-08-31 00:00:00 | 796198 | 500000 | 296198 | 0 | 0
121 | TRANSMARKET GROUP LLC | Y | CBOT | 2009-08-31 00:00:00 | 14012522 | 500000 | 13512522 | 0 | 0
122 | TRILAND USA INC | N | NYME | 2009-08-31 00:00:00 | 38233470 | 10776466 | 27457004 | 156555811 | 39227965
123 | UBS FINANCIAL SERVICES INC | Y | NFA | 2009-08-31 00:00:00 | 891265650 | 93029521 | 798236129 | 131770111 | 2021628
124 | UBS SECURITIES LLC | Y | CBOT | 2009-08-31 00:00:00 | 13194590871 | 939873793 | 12254717078 | 10093787745 | 6558603019
125 | VELOCITY FUTURES LLC | N | NFA | 2009-08-31 00:00:00 | 1103689 | 500000 | 603689 | 37559773 | 1028538
126 | VISION FINANCIAL MARKETS LLC | Y | CME | 2009-08-31 00:00:00 | 22611485 | 6685777 | 15925708 | 272778377 | 1694926
127 | WELLS FARGO ADVISORS FINANCIAL NETWORK LLC | Y | NFA | 2009-08-31 00:00:00 | 16006880 | 2264586 | 13742294 | 0 | 0
128 | WELLS FARGO ADVISORS LLC | Y | NFA | 2009-08-31 00:00:00 | 743193257 | 1500000 | 741693257 | 0 | 0
129 | WELLS FARGO SECURITIES LLC | Y | CME | 2009-08-31 00:00:00 | 2304570145 | 1066062 | 2303504083 | 0 | 0
130 | WHITE COMMERCIAL CORPORATION | N | NFA | 2009-08-31 00:00:00 | 2302365 | 500000 | 1802365 | 0 | 0
131 | WSD FINANCIAL USA INC | N | NFA | 2009-08-31 00:00:00 | 1247827 | 500000 | 747827 | 0 | 0
132 | YORK BUSINESS ASSOCIATES LLC | N | NFA | 2009-08-31 00:00:00 | 1607169 | 500000 | 1107169 | 46758216 | 1384617
 | Totals |  |  |  |  |  |  | 136404731472 | 37693269808
 | July Web Page Update | 132
 | Additions | 2
 | CITADEL SECURITIES LLC
 | COMPASS PROFESSIONAL SERVICES LLC
 | Deletions | 2
 | ALARON TRADING CORPORATION
 | PUMA FINANCIAL LLC
 | Name Change
 | August Web Page Update | 132
 | *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);
 | (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]; [EMAIL]; or [EMAIL]