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SELECTED FCM FINANCIAL DATA AS OF 1 of 5
January 31, 2009
FROM REPORTS FILED BY
February 28, 2009
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 01/31/2009 20,033,851 500,000 19,533,851 0 0
2 ACM USA LLC N NFA 01/31/2009 1,695,592 500,000 1,195,592 0 0
3 ADM INVESTOR SERVICES INC N CBOT 01/31/2009 160,438,312 74,296,117 86,142,195 1,980,581,996 84,538,261
4 ADVANCED MARKETS LLC N NFA 01/31/2009 19,873,581 15,000,000 4,873,581 0 0
5 ADVANTAGE FUTURES LLC N CME 01/30/2009 19,751,808 5,596,760 14,155,048 205,301,225 28,344,076
6 AIG CLEARING CORPORATION N NYME 01/31/2009 128,352,260 12,683,357 115,668,903 0 0
7 ALARON TRADING CORPORATION N NFA 01/31/2009 2,831,646 500,000 2,331,646 0 0
8 ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC * Y NFA 12/31/2008 27,457,078 6,847,647 20,609,431 0 0
9 ALPARI (US) LLC N NFA 01/31/2009 19,690,941 15,000,000 4,690,941 0 0
10 AMERIPRISE ADVISOR SERVICES INC Y NFA 01/31/2009 85,426,561 5,499,948 79,926,613 0 0
11 BANC OF AMERICA SECURITIES LLC Y CME 01/30/2009 3,671,056,594 130,363,071 3,540,693,523 735,871,140 9,073,093
12 BARCLAYS CAPITAL INC Y NYME 01/30/2009 7,503,086,708 500,000,000 7,003,086,708 5,630,058,150 2,814,816,749
13 BGC FINANCIAL LP Y NFA 01/31/2009 57,145,672 250,000 56,895,672 0 0
14 BGC SECURITIES Y NFA 01/31/2009 9,301,951 500,000 8,801,951 0 0
15 BNP PARIBAS COMMODITY FUTURES INC N NYME 01/30/2009 311,928,016 245,439,573 66,488,443 3,116,482,616 515,268,331
16 BNP PARIBAS SECURITIES CORP Y CBOT 01/31/2009 1,364,762,343 97,113,272 1,267,649,071 287,226,471 0
17 CADENT FINANCIAL SERVICES LLC N CME 01/31/2009 9,209,883 4,628,272 4,581,611 188,266,673 1,923,635
18 CANTOR FITZGERALD & CO Y CBOT 01/31/2009 325,344,530 17,197,900 308,146,630 19,020,502 0
19 CAPITAL MARKET SERVICES LLC N NFA 01/31/2009 29,255,080 15,000,000 14,255,080 0 0
20 CIBC WORLD MARKETS CORP Y CME 01/30/2009 1,118,248,168 6,733,737 1,111,514,431 0 0
21 CITIGROUP GLOBAL MARKETS INC Y CBOT 01/31/2009 7,149,522,573 847,234,997 6,302,287,576 14,296,484,127 1,315,381,351
22 CLIFF LARSON COMPANY THE N NFA 01/31/2009 2,444,903 837,063 1,607,840 15,607,412 0
23 COMMONWEALTH FOREIGN EXCHANGE INC N NFA 01/31/2009 1,049,136 500,000 549,136 0 0
24 COUNTRY HEDGING INC N NFA 01/31/2009 15,093,393 8,097,690 6,995,703 97,722,304 135,504
25 CREDIT SUISSE SECURITIES (USA) LLC Y CBOT 01/31/2009 10,921,087,654 549,864,349 10,371,223,305 3,288,676,928 1,714,600,915
26 CROSSLAND LLC N CBOT 01/31/2009 3,146,328 587,406 2,558,922 24,608,480 407,348
27 CUNNINGHAM COMMODITIES LLC N CBOT 01/31/2009 3,063,469 500,000 2,563,469 14,814,255 163,538
28 CX CAPITAL MARKETS LLC N NFA 01/31/2009 803,967 500,000 303,967 0 0
29 DAIWA SECURITIES AMERICA INC Y CME 01/31/2009 226,815,407 3,144,487 223,670,920 12,362,179 1,344,096
30 DEUTSCHE BANK SECURITIES INC Y CBOT 01/30/2009 5,901,107,907 397,557,425 5,503,550,482 6,430,227,590 1,021,151,475
31 DORMAN TRADING LLC N CME 01/31/2009 7,227,165 500,000 6,727,165 67,042,593 0
32 EAGLE MARKET MAKERS INC N CBOT 01/31/2009 4,923,362 500,000 4,423,362 6,229,479 0
33 EASY FOREX US LTD N NFA 01/31/2009 15,440,303 15,000,000 440,303 0 0
34 ELECTRONIC BROKERAGE SYSTEMS LLC Y NFA 01/31/2009 9,769,833 196,773 9,573,060 0 0
35 ENSKILDA FUTURES LTD N CME 01/31/2009 22,595,009 15,068,638 7,526,371 196,863,372 0
36 FARR FINANCIAL INC N NFA 01/31/2009 969,662 500,000 469,662 32,204,381 0
37 FC STONE LLC N CME 01/31/2009 52,182,923 41,973,735 10,209,188 956,872,659 7,233,469
38 FOREX CAPITAL MARKETS LLC N NFA 01/31/2009 98,456,604 15,000,000 83,456,604 0 0
39 FOREX CLUB FINANCIAL COMPANY INC N NFA 01/31/2009 22,409,695 15,000,000 7,409,695 0 0
40 FORTIS CLEARING AMERICAS LLC Y CBOT 01/31/2009 194,407,282 53,122,076 141,285,206 897,650,898 171,084,966
41 FRIEDBERG MERCANTILE GROUP INC N NFA 01/31/2009 3,370,857 500,000 2,870,857 4,742,384 35,851
42 FRONTIER FUTURES INC N NFA 01/31/2009 1,255,321 733,807 521,514 33,773,932 0
43 FUTURES TECH LLC N NFA 01/31/2009 828,979 500,000 328,979 0 0
44 FX SOLUTIONS LLC N NFA 01/31/2009 43,785,065 15,000,000 28,785,065 0 0
45 GAIN CAPITAL GROUP LLC N NFA 01/31/2009 107,390,780 15,000,000 92,390,780 0 0
46 GELBER GROUP LLC N CBOT 01/31/2009 124,036,290 500,000 123,536,290 12,943,451 0
SELECTED FCM FINANCIAL DATA AS OF 2 of 5
January 31, 2009
FROM REPORTS FILED BY
February 28, 2009
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)
47 GFS FOREX & FUTURES INC N NFA 01/31/2009 15,957,382 15,000,000 957,382 0 0
48 GILDER GAGNON HOWE & CO LLC Y NFA 01/31/2009 12,654,362 500,000 12,154,362 0 0
49 GLOBAL FUTURES & FOREX LTD N NFA 01/31/2009 76,055,556 15,000,000 61,055,556 702,426 0
50 GOLDMAN SACHS & CO Y CBOT 01/30/2009 14,020,829,023 1,931,569,806 12,089,259,217 20,769,110,700 8,323,635,543
51 GOLDMAN SACHS EXECUTION & CLEARING LP Y CME 01/30/2009 1,748,729,336 62,677,421 1,686,051,915 1,341,655,936 18,543,324
52 HOTSPOT FXR LLC N NFA 01/31/2009 15,404,375 15,000,000 404,375 0 0
53 HSBC SECURITIES USA INC Y CME 01/30/2009 1,214,488,130 79,878,300 1,134,609,830 1,549,053,424 79,881,074
54 I TRADE FX LLC N NFA 01/31/2009 16,081,083 15,000,000 1,081,083 0 0
55 ICAP FUTURES LLC N NFA 01/31/2009 6,636,329 500,000 6,136,329 0 0
56 IG MARKETS INC N NFA 01/31/2009 24,132,296 15,000,000 9,132,296 0 0
57 IKON GLOBAL MARKETS INC N NFA 01/31/2009 16,548,536 15,000,000 1,548,536 1,857,708 359,660
58 INSTINET LLC Y NFA 01/31/2009 100,070,532 1,872,461 98,198,071 0 0
59 INTEGRATED BROKERAGE SERVICES LLC N NFA 01/31/2009 1,849,966 500,000 1,349,966 242,205 0
60 INTERACTIVE BROKERS LLC Y NFA 01/31/2009 618,460,008 38,523,301 579,936,707 221,036,474 97,119,440
61 INTERBANK FX LLC N NFA 01/31/2009 39,945,958 15,000,000 24,945,958 0 0
62 ITG DERIVATIVES LLC Y NFA 01/31/2009 1,151,338 500,000 651,338 0 0
63 JP MORGAN CLEARING CORP Y CME 01/31/2009 4,684,486,705 1,273,132,742 3,411,353,963 1,071,459,329 252,117,790
64 JP MORGAN FUTURES INC N NYME 01/31/2009 2,209,232,722 1,443,967,640 765,265,082 20,026,777,126 2,362,801,841
65 JP MORGAN SECURITIES INC Y NFA 01/31/2009 7,613,920,913 592,304,144 7,021,616,769 0 0
66 LADENBURG THALMANN & CO INC Y NFA 01/31/2009 4,155,321 500,000 3,655,321 0 0
67 LBS LIMITED PARTNERSHIP N NFA 01/31/2009 785,983 500,000 285,983 0 0
68 LEK SECURITIES CORPORATION Y NFA 01/31/2009 12,445,645 1,500,000 10,945,645 165,061 0
69 LIMESTONE TRADING LLC N NFA 01/31/2009 7,695,324 500,000 7,195,324 0 0
70 LINN GROUP THE N NFA 01/31/2009 2,986,846 500,000 2,486,846 13,849,719 1,207
71 LPL FINANCIAL CORPORATION Y NFA 01/31/2009 101,506,436 11,726,117 89,780,319 0 0
72 MACQUARIE FUTURES USA INC N CBOT 01/31/2009 52,711,788 26,090,350 26,621,438 458,706,870 2,179,854
73 MAREX CARLTON LIMITED N NFA 01/31/2009 771,088 500,000 271,088 0 0
74 MB TRADING FUTURES INC N NFA 01/31/2009 15,227,957 15,000,000 227,957 0 0
75 MBF CLEARING CORP N NYME 01/31/2009 26,856,991 2,027,363 24,829,628 88,652,979 5,754,517
76 MCVEAN TRADING & INVESTMENTS LLC N NFA 01/31/2009 11,744,460 1,171,098 10,573,362 654,625,087 0
77 MERRILL LYNCH PIERCE FENNER & SMITH Y CBOT 01/31/2009 5,321,864,072 626,198,416 4,695,665,656 9,161,310,654 1,299,342,431
78 MERRILL LYNCH PROFESSIONAL CLEARING CORP Y NFA 01/31/2009 2,168,499,702 66,864,883 2,101,634,819 1,113,561,380 33,324,278
79 MF GLOBAL INC Y CME 01/31/2009 657,659,591 360,555,795 297,103,796 7,577,653,900 580,401,952
80 MG FINANCIAL LLC N NFA 01/31/2009 5,406,476 500,000 4,906,476 0 0
81 MID CO COMMODITIES INC N NFA 01/31/2009 13,977,381 2,677,482 11,299,899 27,788,532 0
82 MITSUI BUSSAN COMMODITIES USA INC N NYME 01/31/2009 7,472,547 1,813,339 5,659,208 0 0
83 MIZUHO SECURITIES USA INC Y CME 01/30/2009 335,400,295 72,519,262 262,881,033 625,847,763 287,125,761
84 MORGAN KEEGAN & COMPANY INC Y NFA 01/31/2009 332,454,059 8,531,806 323,922,253 0 0
85 MORGAN STANLEY & CO INCORPORATED Y CME 01/31/2009 10,019,707,601 839,020,771 9,180,686,830 4,546,198,194 3,670,141,598
86 NATIXIS SECURITIES NORTH AMERICA INC Y NFA 01/30/2009 209,598,134 500,000 209,098,134 0 0
87 NEUBERGER BERMAN LLC Y NFA 01/31/2009 113,476,881 1,500,000 111,976,881 0 0
88 NEWEDGE USA LLC Y NYME 01/31/2009 2,387,235,113 1,665,488,155 721,746,958 21,049,675,137 8,074,522,213
89 NOMURA SECURITIES INTERNATIONAL INC Y CBOT 01/30/2009 727,071,685 1,662,350 725,409,335 0 0
90 OANDA CORPORATION N NFA 01/31/2009 169,501,514 15,000,000 154,501,514 0 0
91 ODL SECURITIES INC N NFA 01/31/2009 19,572,976 15,000,000 4,572,976 0 0
92 OPEN E CRY LLC N NFA 01/31/2009 2,566,388 725,363 1,841,025 55,273,010 637,465
93 OPPENHEIMER & CO INC Y NFA 01/30/2009 176,462,080 16,284,405 160,177,675 14,548,613 0
SELECTED FCM FINANCIAL DATA AS OF 3 of 5
January 31, 2009
FROM REPORTS FILED BY
February 28, 2009
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)
94 OPTIONSXPRESS INC Y NFA 01/31/2009 79,162,208 6,624,156 72,538,052 59,277,179 0
95 PENSON GHCO N CBOT 01/31/2009 19,637,902 11,707,686 7,930,216 439,821,303 19,495,635
96 PEREGRINE FINANCIAL GROUP INC N NFA 01/31/2009 26,005,257 15,000,000 11,005,257 234,253,336 16,489,210
97 PIONEER FUTURES INC N NYME 01/31/2009 1,400,188 500,000 900,188 0 0
98 PRUDENTIAL BACHE COMMODITIES LLC N CBOT 01/31/2009 254,424,000 209,767,920 44,656,080 3,275,956,000 342,971,000
99 PUMA FINANCIAL LLC N NFA 01/30/2009 1,572,312 500,000 1,072,312 5,185,385 0
100 RAND FINANCIAL SERVICES INC N CME 01/31/2009 68,887,506 7,936,355 60,951,151 78,821,300 31,426,800
101 RAYMOND JAMES & ASSOCIATES INC Y NFA 01/30/2009 302,013,869 24,291,254 277,722,615 0 0
102 RBC CAPITAL MARKETS CORPORATION Y CME 01/30/2009 807,943,466 127,825,536 680,117,930 1,102,563,536 931,278,417
103 RBS GREENWICH CAPITAL INC Y CBOT 01/31/2009 2,307,055,000 207,411,000 2,099,644,000 1,497,428,000 83,539,000
104 RJ OBRIEN & ASSOCIATES LLC N CME 01/31/2009 111,509,133 55,766,702 55,742,431 1,899,454,875 30,624,929
105 ROBBINS FUTURES INC N NFA 01/31/2009 573,369 500,000 73,369 5,017,547 0
106 ROSENTHAL COLLINS GROUP LLC N CME 01/31/2009 86,237,076 28,476,768 57,760,308 975,975,414 19,168,925
107 ROSENTHAL GLOBAL SECURITIES LLC Y NFA 01/31/2009 62,457,210 1,118,410 61,338,800 0 0
108 SANFORD C BERNSTEIN & CO LLC Y NFA 01/31/2009 178,498,481 8,774,047 169,724,434 0 0
109 SANTANDER INVESTMENT SECURITIES INC Y NFA 01/30/2009 68,322,783 500,000 67,822,783 0 0
110 SHAY GRAIN CLEARING COMPANY N KCBT 01/31/2009 2,575,112 760,095 1,815,017 14,177,743 0
111 SMW TRADING COMPANY INC N CME 01/31/2009 18,473,788 500,000 17,973,788 4,525,747 0
112 STEPHENS INC Y NFA 01/30/2009 73,962,196 9,291,064 64,671,132 0 0
113 STERLING COMMODITIES CORP N NYME 01/31/2009 8,864,720 500,000 8,364,720 36,304,675 208,782
114 TCA FUTURES LLC N NFA 01/31/2009 887,973 500,000 387,973 0 0
115 TD AMERITRADE INC Y NFA 01/31/2009 82,164,924 500,000 81,664,924 0 0
116 TENCO INC N CBOT 01/31/2009 43,226,992 7,441,288 35,785,704 148,530,818 0
117 TERRA NOVA FINANCIAL LLC Y NFA 01/31/2009 11,846,447 1,500,000 10,346,447 0 0
118 TIMBER HILL LLC Y CME 01/31/2009 1,415,400,445 10,170,906 1,405,229,539 166,520,307 0
119 TOWER RESEARCH CAPITAL EUROPE LLC N NFA 01/31/2009 2,149,679 500,000 1,649,679 0 0
120 TRADELINK LLC Y CBOT 01/31/2009 28,722,867 500,000 28,222,867 0 0
121 TRADESTATION SECURITIES INC Y NFA 01/31/2009 93,640,592 1,031,494 92,609,098 0 0
122 TRADITION SECURITIES AND FUTURES INC N NFA 01/31/2009 827,817 500,000 327,817 0 0
123 TRANSMARKET GROUP LLC Y CBOT 01/31/2009 17,382,622 500,000 16,882,622 0 0
124 TRILAND USA INC N NYME 01/31/2009 47,800,892 12,160,030 35,640,862 161,591,608 1,267,388
125 UBS FINANCIAL SERVICES INC Y NFA 01/31/2009 956,893,164 89,811,031 867,082,133 198,568,557 19,095
126 UBS SECURITIES LLC Y CBOT 01/30/2009 14,213,255,815 1,038,806,872 13,174,448,943 14,068,441,213 5,560,965,138
127 VELOCITY FUTURES LLC N NFA 01/31/2009 1,078,989 500,000 578,989 35,737,108 847,780
128 VISION FINANCIAL MARKETS LLC Y CME 01/31/2009 22,694,381 5,142,797 17,551,584 237,634,009 676,898
129 WACHOVIA CAPITAL MARKETS LLC Y CME 01/31/2009 1,830,863,930 1,000,000 1,829,863,930 0 0
130 WACHOVIA SECURITIES FINANCIAL NETWORK LLC Y NFA 01/31/2009 34,216,577 2,529,625 31,686,952 0 0
131 WACHOVIA SECURITIES LLC Y NFA 01/31/2009 603,917,814 20,809,011 583,108,803 0 0
132 WHITE COMMERCIAL CORPORATION N NFA 01/31/2009 2,131,515 500,000 1,631,515 0 0
133 WSD FINANCIAL USA INC N NFA 01/31/2009 1,281,341 500,000 781,341 0 0
134 YORK BUSINESS ASSOCIATES LLC N NFA 01/31/2009 1,125,449 500,000 625,449 42,671,138 1,340,459
TOTAL 153,609,844,222 39,813,712,062
SELECTED FCM FINANCIAL DATA AS OF 4 of 5
January 31, 2009
FROM REPORTS FILED BY
February 28, 2009
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)
December Web Page Update 134
Additions 2
BGC FINANCIAL LP
CX CAPITAL MARKETS LLC
Deletions 2
DUNAVANT COMMODITY CORP
GATEWAY CAPITAL L.L.C.
Name Change
From VELOCITY FUTURES LP TO VELOCITY FUTURES LLC
January Web Page Update 134
*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
(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.
SELECTED FCM FINANCIAL DATA AS OF 5 of 5
January 31, 2009
FROM REPORTS FILED BY
February 28, 2009
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)
(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 Intermediary Oversight via e-mail: mhendrickso@cftc.gov;
phill@cftc.gov or fzimmerle@cftc.gov
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