FCM DATA JANUARY 2009

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FCM DATA JANUARY 2009 Powered By Docstoc
					                                                           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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