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发表于 2010-1-13 20:50:24
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B/D? DSRO A/O Adjusted Net Capital Excess Customers'
Futures Commission Merchant Date Net Capital Requirement Net Capital Seg Required
4d(a)(2)
(a) (b) (c) (d) (e)
1 ACM USA LLC N NFA 11-30-2009 772,310 500,000 272,310 0
2 ADM INVESTOR SERVICES INC N CBOT 11-30-2009 170,011,208 98,652,016 71,359,192 2,001,340,318
3 ADVANCED MARKETS LLC N NFA 11-30-2009 20,603,287 20,000,000 603,287 0
4 ADVANTAGE FUTURES LLC N CME 11-30-2009 16,646,932 6,376,559 10,270,373 253,748,149
5 AIG CLEARING CORPORATION N NYME 11-30-2009 225,000,957 500,000 224,500,957 0
6 ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC* Y NFA 09-30-2009 20,468,279 7,257,790 13,210,489 0
7 ALPARI (US) LLC N NFA 11-30-2009 21,879,836 20,000,000 1,879,836 0
8 AMERIPRISE ADVISOR SERVICES INC Y NFA 11-30-2009 21,414,803 500,000 20,914,803 0
9 AMERIPRISE FINANCIAL SERVICES INC Y NFA 11-30-2009 45,401,212 500,000 44,901,212 0
10 BANC OF AMERICA SECURITIES LLC Y CME 11-30-2009 2,552,829,301 116,987,783 2,435,841,518 0
11 BARCLAYS CAPITAL INC Y NYME 11-30-2009 6,140,085,200 655,821,211 5,484,263,989 4,846,317,950
12 BGC FINANCIAL LP Y NFA 11-30-2009 19,894,968 500,000 19,394,968 0
13 BNP PARIBAS COMMODITY FUTURES INC N NYME 11-30-2009 309,734,386 167,382,949 142,351,437 1,390,004,492
14 BNP PARIBAS SECURITIES CORP Y CBOT 11-30-2009 1,744,238,780 83,280,165 1,660,958,615 353,276,388
15 CADENT FINANCIAL SERVICES LLC N NFA 11-30-2009 696,812 500,000 196,812 0
16 CANTOR FITZGERALD & CO Y CBOT 11-30-2009 160,613,573 2,438,366 158,175,207 11,698,853
17 CAPITAL MARKET SERVICES LLC N NFA 11-30-2009 23,984,785 21,188,215 2,796,570 0
18 CIBC WORLD MARKETS CORP Y CME 11-30-2009 1,372,722,043 1,500,000 1,371,222,043 0
19 CITADEL SECURITIES LLC Y CME 11-30-2009 329,443,027 1,000,000 328,443,027 0
20 CITIGROUP GLOBAL MARKETS INC Y CBOT 11-30-2009 9,377,767,614 691,814,538 8,685,953,076 10,878,159,175
21 COMMONWEALTH FOREIGN EXCHANGE INC N NFA 11-30-2009 1,011,383 500,000 511,383 0
22 COMPASS PROFESSIONAL SERVICES LLC Y NFA 11-30-2009 3,236,906 500,000 2,736,906 0
23 COUNTRY HEDGING INC N NFA 11-30-2009 15,839,898 8,151,572 7,688,326 92,215,831
24 CREDIT SUISSE SECURITIES (USA) LLC Y CBOT 11-30-2009 8,405,564,668 700,536,013 7,705,028,655 3,922,075,034
25 CROSSLAND LLC N CBOT 11-30-2009 7,416,527 3,923,809 3,492,718 46,848,287
26 CUNNINGHAM COMMODITIES LLC N CBOT 11-30-2009 3,342,805 760,344 2,582,461 35,630,254
27 CX CAPITAL MARKETS LLC N NFA 11-30-2009 1,053,355 500,000 553,355 8,649,286
28 DAIWA SECURITIES AMERICA INC Y CME 11-30-2009 284,456,850 5,012,290 279,444,560 6,591,300
29 DEUTSCHE BANK SECURITIES INC Y CBOT 11-30-2009 7,323,403,914 392,814,707 6,930,589,207 13,358,950,643
30 DORMAN TRADING LLC N CME 11-30-2009 7,819,699 693,536 7,126,163 84,303,588
31 EAGLE MARKET MAKERS INC N CBOT 11-30-2009 5,645,646 500,000 5,145,646 3,375,245
32 EASY FOREX US LTD N NFA 11-30-2009 20,665,102 20,000,000 665,102 0
33 ELECTRONIC BROKERAGE SYSTEMS LLC Y NFA 11-30-2009 9,477,652 555,333 8,922,319 0
34 ENSKILDA FUTURES LTD N CME 11-30-2009 26,811,485 18,528,706 8,282,779 358,260,122
35 FARR FINANCIAL INC N NFA 11-30-2009 1,014,929 535,552 479,377 34,580,190
36 FCSTONE LLC N CME 11-30-2009 75,755,561 38,172,339 37,583,222 803,390,244
37 FOREX CAPITAL MARKETS LLC N NFA 11-30-2009 68,574,018 25,050,658 43,523,360 0
38 FOREX CLUB FINANCIAL COMPANY INC N NFA 11-30-2009 24,290,794 20,000,000 4,290,794 0
39 FORTIS CLEARING AMERICAS LLC Y CBOT 11-30-2009 218,264,499 50,016,929 168,247,570 1,021,090,391
40 FRIEDBERG MERCANTILE GROUP INC N NFA 11-30-2009 3,363,800 500,000 2,863,800 6,149,886
41 FRONTIER FUTURES INC N NFA 11-30-2009 1,330,260 880,932 449,328 22,968,431
42 FUTURES TECH LLC N NFA 11-30-2009 815,540 500,000 315,540 0
43 FX SOLUTIONS LLC N NFA 11-30-2009 52,466,413 20,000,000 32,466,413 0
44 GAIN CAPITAL GROUP LLC N NFA 11-30-2009 79,058,968 25,808,266 53,250,702 0
45 GENESIS FUTURES LLC N NFA 11-30-2009 761,967 500,000 261,967 0
46 GFS FOREX & FUTURES INC N NFA 11-30-2009 1,805,352 500,000 1,305,352 0
47 GILDER GAGNON HOWE & CO LLC Y NFA 11-30-2009 14,726,976 500,000 14,226,976 0
48 GLOBAL FUTURES & FOREX LTD N NFA 11-30-2009 73,797,865 26,354,093 47,443,772 286,588
49 GOLDMAN SACHS & CO Y CBOT 11-30-2009 13,061,735,092 1,938,944,413 11,122,790,679 18,524,384,477
50 GOLDMAN SACHS EXECUTION & CLEARING LP Y CME 11-30-2009 1,923,630,716 113,786,909 1,809,843,807 1,256,331,625
51 HOTSPOT FXR LLC N NFA 11-30-2009 6,671,765 500,000 6,171,765 0
52 HSBC SECURITIES USA INC Y CME 11-30-2009 1,473,171,429 69,726,254 1,403,445,175 742,743,775
53 I TRADE FX LLC N NFA 11-30-2009 797,362 500,000 297,362 0
54 ICAP FUTURES LLC N NFA 11-30-2009 12,647,104 500,000 12,147,104 0
55 IG MARKETS INC N NFA 11-30-2009 30,632,638 20,000,000 10,632,638 0
56 IKON GLOBAL MARKETS INC N NFA 11-30-2009 22,006,933 20,601,565 1,405,368 1,649,303
57 INSTINET LLC Y NFA 11-30-2009 117,797,419 1,500,000 116,297,419 0
58 INTEGRATED BROKERAGE SERVICES LLC N NFA 11-30-2009 1,386,286 500,000 886,286 0
59 INTERACTIVE BROKERS LLC Y NFA 11-30-2009 773,699,591 88,411,256 685,288,335 406,959,270
60 INTERBANK FX LLC N NFA 11-30-2009 33,250,967 21,472,683 11,778,284 0
61 ITG DERIVATIVES LLC Y NFA 11-30-2009 3,309,937 500,000 2,809,937 0
62 JP MORGAN CLEARING CORP Y CME 11-30-2009 4,981,842,963 1,576,650,016 3,405,192,947 442,114,374
63 JP MORGAN FUTURES INC N NYME 11-30-2009 2,186,246,301 1,030,125,521 1,156,120,780 13,848,612,643
64 JP MORGAN SECURITIES INC Y NFA 11-30-2009 8,366,898,156 534,819,717 7,832,078,439 0
65 LADENBURG THALMANN & CO INC Y NFA 11-30-2009 5,560,433 500,000 5,060,433 0
66 LEK SECURITIES CORPORATION Y NFA 11-30-2009 12,045,799 1,500,000 10,545,799 209,264
67 LIMESTONE TRADING LLC N NFA 11-30-2009 12,328,854 500,000 11,828,854 0
68 LINN GROUP THE N NFA 11-30-2009 2,785,278 541,537 2,243,741 31,400,355
69 LPL FINANCIAL CORPORATION Y NFA 11-30-2009 85,922,137 6,027,920 79,894,217 0
70 MACQUARIE FUTURES USA INC N CBOT 11-30-2009 65,588,034 35,144,808 30,443,226 873,625,647
71 MAREX USA LIMITED N NFA 11-30-2009 1,304,310 500,000 804,310 0
72 MB TRADING FUTURES INC N NFA 11-30-2009 23,828,976 20,000,000 3,828,976 0
73 MBF CLEARING CORP N NYME 11-30-2009 11,079,888 1,670,372 9,409,516 86,126,319
74 MCVEAN TRADING & INVESTMENTS LLC N NFA 11-30-2009 10,469,540 2,128,314 8,341,226 518,695,835
75 MERRILL LYNCH PIERCE FENNER & SMITH Y CBOT 11-30-2009 5,142,168,690 597,155,174 4,545,013,516 8,344,409,730
76 MERRILL LYNCH PROFESSIONAL CLEARING CORP Y NFA 11-30-2009 1,407,756,618 102,326,989 1,305,429,629 965,931,640
77 MF GLOBAL INC Y CME 11-30-2009 544,176,658 387,513,256 156,663,402 8,004,540,264
78 MG FINANCIAL LLC N NFA 11-30-2009 5,003,598 500,000 4,503,598 0
79 MID CO COMMODITIES INC N NFA 11-30-2009 11,314,525 2,612,858 8,701,667 22,699,700
80 MITSUBISHI UFJ SECURITIES USA INC Y NFA 11-30-2009 65,380,826 1,665,998 63,714,828 0
81 MITSUI BUSSAN COMMODITIES USA INC N NYME 11-30-2009 8,069,261 2,361,147 5,708,114 0
82 MIZUHO SECURITIES USA INC Y CME 11-30-2009 340,345,265 34,431,514 305,913,751 567,483,081
83 MORGAN KEEGAN & COMPANY INC Y NFA 11-30-2009 396,852,819 8,963,480 387,889,339 0
84 MORGAN STANLEY & CO INCORPORATED Y CME 11-30-2009 10,133,275,895 1,035,477,137 9,097,798,758 4,821,472,952
85 MORGAN STANLEY SMITH BARNEY LLC Y NFA 11-30-2009 488,274,145 500,000 487,774,145 0
86 NATIXIS SECURITIES NORTH AMERICA INC Y NFA 11-30-2009 223,667,698 500,000 223,167,698 0
87 NEUBERGER BERMAN LLC Y NFA 11-30-2009 105,731,790 1,500,000 104,231,790 0
88 NEWEDGE USA LLC Y NYME 11-30-2009 2,383,048,928 1,210,740,482 1,172,308,446 19,338,682,117
89 NOMURA SECURITIES INTERNATIONAL INC Y CBOT 11-30-2009 940,151,353 5,945,295 934,206,058 0
90 OANDA CORPORATION N NFA 11-30-2009 164,766,421 28,640,513 136,125,908 0
91 OPEN E CRY LLC N NFA 11-30-2009 3,368,387 635,544 2,732,843 72,615,826
92 OPPENHEIMER & CO INC Y NFA 11-30-2009 159,132,376 21,718,624 137,413,752 40,467,937
93 OPTIONSXPRESS INC Y NFA 11-30-2009 94,636,871 10,385,142 84,251,729 60,052,732
94 PENSON GHCO N CBOT 11-30-2009 22,290,060 15,074,915 7,215,145 423,130,674
95 PEREGRINE FINANCIAL GROUP INC N NFA 11-30-2009 32,036,128 20,000,000 12,036,128 350,172,944
96 PIONEER FUTURES INC N NYME 11-30-2009 1,324,964 500,000 824,964 0
97 PRUDENTIAL BACHE COMMODITIES LLC N CBOT 11-30-2009 216,580,000 175,130,920 41,449,080 3,040,135,000
98 RAND FINANCIAL SERVICES INC N CME 11-30-2009 59,971,910 8,274,847 51,697,063 97,336,900
99 RAYMOND JAMES & ASSOCIATES INC Y NFA 11-30-2009 414,065,884 26,284,118 387,781,766 0
100 RBC CAPITAL MARKETS CORPORATION Y CME 11-30-2009 1,160,908,380 102,292,534 1,058,615,846 720,571,878
101 RBS SECURITIES INC Y CBOT 11-30-2009 1,308,118,000 183,856,000 1,124,262,000 1,437,520,000
102 RJ OBRIEN ASSOCIATES LLC N CME 11-30-2009 114,680,433 63,726,619 50,953,814 2,023,007,738
103 ROBBINS FUTURES INC N NFA 11-30-2009 577,474 500,000 77,474 3,222,755
104 ROSENTHAL COLLINS GROUP LLC N CME 11-30-2009 68,668,745 36,032,498 32,636,247 1,254,847,538
105 ROSENTHAL GLOBAL SECURITIES LLC Y NFA 11-30-2009 44,377,714 694,000 43,683,714 0
106 SANFORD C BERNSTEIN & CO LLC Y NFA 11-30-2009 156,049,120 10,802,897 145,246,223 0
107 SANTANDER INVESTMENT SECURITIES INC Y NFA 11-30-2009 75,525,880 826,051 74,699,829 0
108 SHAY GRAIN CLEARING COMPANY N KCBT 11-30-2009 2,568,879 500,000 2,068,879 8,710,293
109 SMW TRADING COMPANY INC N CME 11-30-2009 35,602,915 500,000 35,102,915 4,367,522
110 STATE STREET GLOBAL MARKETS LLC Y NFA 11-30-2009 269,820,511 500,000 269,320,511 0
111 STEPHENS INC Y NFA 11-30-2009 59,164,121 13,046,081 46,118,040 0
112 STERLING COMMODITIES CORP N NYME 11-30-2009 7,224,252 1,019,324 6,204,928 38,042,438
113 TCA FUTURES LLC N NFA 11-30-2009 841,180 500,000 341,180 0
114 TD AMERITRADE INC Y NFA 11-30-2009 326,903,193 500,000 326,403,193 0
115 TENCO INC N CBOT 11-30-2009 47,666,188 7,454,412 40,211,776 145,932,017
116 TERRA NOVA FINANCIAL LLC Y NFA 11-30-2009 11,375,334 1,500,000 9,875,334 0
117 TIMBER HILL LLC Y CME 11-30-2009 1,087,216,228 34,145,579 1,053,070,649 454,444,297
118 TOWER RESEARCH CAPITAL EUROPE LLC N NFA 11-30-2009 3,499,296 500,000 2,999,296 0
119 TRADELINK LLC Y CBOT 11-30-2009 27,731,526 500,000 27,231,526 0
120 TRADESTATION SECURITIES INC Y NFA 11-30-2009 87,502,787 1,853,956 85,648,831 0
121 TRADITION SECURITIES AND FUTURES INC N NFA 11-30-2009 754,556 500,000 254,556 0
122 TRANSMARKET GROUP LLC Y CBOT 11-30-2009 10,162,320 500,000 9,662,320 0
123 TRILAND USA INC N NYME 11-30-2009 37,324,638 12,011,357 25,313,281 140,870,845
124 UBS FINANCIAL SERVICES INC Y NFA 11-30-2009 774,236,740 93,151,473 681,085,267 130,035,202
125 UBS SECURITIES LLC Y CBOT 11-30-2009 13,365,122,827 890,834,105 12,474,288,722 9,982,382,461
126 VELOCITY FUTURES LLC N NFA 11-30-2009 1,174,197 500,000 674,197 35,982,035
127 VISION FINANCIAL MARKETS LLC Y CME 11-30-2009 20,017,185 8,011,646 12,005,539 331,836,613
128 WELLS FARGO ADVISORS FINANCIAL NETWORK LLC Y NFA 11-30-2009 26,183,589 2,390,287 23,793,302 0
129 WELLS FARGO ADVISORS LLC Y NFA 11-30-2009 457,534,132 1,554,295 455,979,837 0
130 WELLS FARGO SECURITIES LLC Y CME 11-30-2009 2,054,328,150 1,783,493 2,052,544,657 0
131 WHITE COMMERCIAL CORPORATION N NFA 11-30-2009 2,563,434 500,000 2,063,434 0
132 WSD FINANCIAL USA INC N NFA 11-30-2009 1,238,789 500,000 738,789 0
133 YORK BUSINESS ASSOCIATES LLC N NFA 11-30-2009 1,785,252 500,000 1,285,252 48,369,600
Totals 139,182,038,261
October Web Page Update 134
Additions 0
None
Deletions 1
3DFOREX LLC
Name Change
None
November Web Page Update 133
*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); or
(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 Intermediary Oversight via e-mail: mhendrickso@cftc.gov. |
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狗仔卡
发表于 2010-1-13 16:26:09
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