|
|
Adjusted |
Net Capital |
Excess |
|
Futures Commission Merchant |
Net Capital |
Requirement |
Net Capital |
|
|
|
|
|
| 1 |
3D FOREX, LLC |
8,340,374 |
500,000 |
7,840,374 |
| 2 |
ABBEY NATIONAL SECURITIES INC |
137,564,765 |
23,533,020 |
114,031,745 |
| 3 |
ADM INVESTOR SERVICES INC |
160,989,606 |
59,592,602 |
101,397,004 |
| 4 |
ADVANCED MARKETS INC |
1,322,437 |
1,000,000 |
322,437 |
| 5 |
ADVANTAGE FUTURES LLC |
19,246,883 |
3,536,540 |
15,710,343 |
| 6 |
AG EDWARDS & SONS INC |
1,262,701,677 |
33,043,393 |
1,229,658,284 |
| 7 |
AIG CLEARING CORPORATION |
293,303,386 |
40,598,943 |
252,704,443 |
| 8 |
ALARON TRADING CORPORATION |
7,288,333 |
3,121,904 |
4,166,429 |
| 9 |
ALPARI (US) LLC |
2,481,626 |
1,000,000 |
1,481,626 |
| 10 |
BACERA CORPORATION |
2,300,145 |
1,000,000 |
1,300,145 |
| 11 |
BANC OF AMERICA SECURITIES LLC |
2,116,052,393 |
351,855,130 |
1,764,197,263 |
| 12 |
BARCLAYS CAPITAL INC |
1,314,404,218 |
389,276,055 |
925,128,163 |
| 13 |
BEAR STEARNS & CO INC |
(g) |
549,111,916 |
(g) |
| 14 |
BEAR STEARNS SECURITIES CORP |
4,425,434,636 |
1,201,022,349 |
3,224,412,287 |
| 15 |
BGC SECURITIES |
3,748,994 |
500,000 |
3,248,994 |
| 16 |
BNP PARIBAS COMMODITY FUTURES INC |
153,340,998 |
99,778,659 |
53,562,339 |
| 17 |
CADENT FINANCIAL SERVICES LLC |
6,907,539 |
4,771,199 |
2,136,340 |
| 18 |
CALYON FINANCIAL INC |
739,338,990 |
459,645,942 |
279,693,048 |
| 19 |
CANTOR FITZGERALD & CO |
180,681,050 |
2,122,125 |
178,558,925 |
| 20 |
CAPITAL MARKET SERVICES LLC |
10,883,200 |
3,928,074 |
6,955,126 |
| 21 |
CIBC WORLD MARKETS CORP |
1,130,913,238 |
21,119,238 |
1,109,794,000 |
| 22 |
CITIGROUP GLOBAL MARKETS INC |
(g) |
865,197,852 |
(g) |
| 23 |
CLIFF LARSON COMPANY THE |
939,865 |
539,137 |
400,728 |
| 24 |
CMC MARKETS (US) LLC |
2,139,494 |
1,000,000 |
1,139,494 |
| 25 |
COMTRUST INC |
1,012,955 |
586,139 |
426,816 |
| 26 |
COUNTRY HEDGING INC |
18,061,439 |
10,545,405 |
7,516,034 |
| 27 |
CREDIT SUISSE SECURITIES (USA) LLC |
5,197,669,065 |
185,952,652 |
5,011,716,413 |
| 28 |
CROSSLAND LLC |
3,630,929 |
500,000 |
3,130,929 |
| 29 |
CUNNINGHAM COMMODITIES LLC |
3,359,255 |
894,471 |
2,464,784 |
| 30 |
DAIWA SECURITIES AMERICA INC |
222,476,164 |
2,345,625 |
220,130,539 |
| 31 |
DEUTSCHE BANK SECURITIES INC |
2,635,354,234 |
259,928,752 |
2,375,425,482 |
| 32 |
DIRECT FOREX LLC |
728,289 |
500,000 |
228,289 |
| 33 |
DORMAN TRADING LLC |
10,646,645 |
500,000 |
10,146,645 |
| 34 |
DUNAVANT COMMODITY CORP |
37,061,053 |
1,235,105 |
35,825,948 |
| 35 |
E FX OPTIONS LLC |
4,530,543 |
1,000,000 |
3,530,543 |
| 36 |
EAGLE MARKET MAKERS INC |
5,500,559 |
500,000 |
5,000,559 |
| 37 |
EASY FOREX US LTD |
3,789,605 |
2,000,000 |
1,789,605 |
| 38 |
ED &F MAN COMMODITY ADVISORS INC |
1,246,738 |
500,000 |
746,738 |
| 39 |
ELECTRONIC BROKERAGE SYSTEMS LLC |
10,517,866 |
500,000 |
10,017,866 |
| 40 |
ENSKILDA FUTURES LTD |
20,772,977 |
9,082,902 |
11,690,075 |
| 41 |
FARR FINANCIAL INC |
1,482,426 |
583,132 |
899,294 |
| 42 |
FC STONE LLC |
86,747,911 |
41,771,267 |
44,976,644 |
| 43 |
FIMAT USA LLC |
606,236,459 |
473,240,095 |
132,996,364 |
| 44 |
FIRST CAPITOL GROUP LLC |
6,480,456 |
1,775,377 |
4,705,079 |
| 45 |
FOREX CAPITAL MARKETS LLC |
65,255,249 |
13,407,759 |
51,847,490 |
| 46 |
FOREX CLUB FINANCIAL COMPANY INC |
3,320,420 |
1,000,000 |
2,320,420 |
| 47 |
FOREX LIQUIDITY LLC |
36,840,196 |
1,000,000 |
35,840,196 |
| 48 |
FORTIS CLEARING AMERICAS LLC |
170,386,272 |
38,667,055 |
131,719,217 |
| 49 |
FRIEDBERG MERCANTILE GROUP INC |
7,873,587 |
5,000,000 |
2,873,587 |
| 50 |
FRONTIER FUTURES INC |
1,509,207 |
716,551 |
792,656 |
| 51 |
FUTURES TECH LLC |
842,451 |
500,000 |
342,451 |
| 52 |
FX OPTION1 INC |
506,025 |
500,000 |
6,025 |
| 53 |
FX SOLUTIONS LLC |
19,061,609 |
1,649,518 |
17,412,091 |
| 54 |
FXCM LLC |
773,419 |
500,000 |
273,419 |
| 55 |
GAIN CAPITAL GROUP LLC |
32,669,427 |
4,828,602 |
27,840,825 |
| 56 |
GATEWAY CAPITAL L.L.C. |
537,160 |
500,000 |
37,160 |
| 57 |
GELBER GROUP LLC |
57,080,478 |
1,065,283 |
56,015,195 |
| 58 |
GFS FOREX & FUTURES INC |
2,353,472 |
1,000,000 |
1,353,472 |
| 59 |
GILDER GAGNON HOWE AND CO LLC |
22,818,525 |
500,000 |
22,318,525 |
| 60 |
GLOBAL FUTURES & FOREX |
41,229,946 |
7,631,611 |
33,598,335 |
| 61 |
GLOBAL FUTURES LLC |
8,227,624 |
500,000 |
7,727,624 |
| 62 |
GOLDMAN SACHS & CO |
(g) |
1,841,084,515 |
(g) |
| 63 |
GOLDMAN SACHS EXECUTION & CLEARING LP |
932,826,923 |
64,435,375 |
868,391,548 |
| 64 |
H & R BLOCK FINANCIAL ADVISORS INC |
91,158,810 |
9,133,496 |
82,025,314 |
| 65 |
HAGERTY GRAIN CO INC |
4,251,809 |
500,000 |
3,751,809 |
| 66 |
HAMILTON WILLIAMS LLC |
1,345,856 |
1,000,000 |
345,856 |
| 67 |
HOTSPOT FXR LLC |
6,031,746 |
1,000,000 |
5,031,746 |
| 68 |
HSBC SECURITIES USA INC |
812,566,773 |
63,009,187 |
749,557,586 |
| 69 |
I TRADE FX LLC |
15,814,623 |
2,614,993 |
13,199,630 |
| 70 |
ICAP FUTURES LLC |
5,981,425 |
500,000 |
5,481,425 |
| 71 |
IFSCL USA INC |
7,557,664 |
5,000,000 |
2,557,664 |
| 72 |
IFX MARKETS INC |
9,837,999 |
2,258,150 |
7,579,849 |
| 73 |
IG FINANCIAL MARKETS INC. |
1,020,826 |
500,000 |
520,826 |
| 74 |
INSTINET LLC |
75,202,153 |
5,954,884 |
69,247,269 |
| 75 |
INTEGRATED BROKERAGE SERVICES LLC |
1,822,671 |
500,000 |
1,322,671 |
| 76 |
INTERACTIVE BROKERS LLC |
404,434,997 |
47,513,936 |
356,921,061 |
| 77 |
INTERBANK FX LLC |
28,845,075 |
4,498,912 |
24,346,163 |
| 78 |
IOWA GRAIN CO |
17,133,089 |
10,790,180 |
6,342,909 |
| 79 |
ITAU SECURITIES INC |
19,985,494 |
500,000 |
19,485,494 |
| 80 |
IXIS SECURITIES NORTH AMERICA INC |
171,100,113 |
500,000 |
170,600,113 |
| 81 |
JP MORGAN FUTURES INC |
1,208,258,779 |
696,332,417 |
511,926,362 |
| 82 |
KOTTKE ASSOCIATES LLC |
16,001,556 |
500,000 |
15,501,556 |
| 83 |
LADENBURG THALMANN & CO INC |
48,707,916 |
500,000 |
48,207,916 |
| 84 |
LBS LIMITED PARTNERSHIP |
892,278 |
500,000 |
392,278 |
| 85 |
LEHMAN BROTHERS INC |
(g) |
552,743,000 |
(g) |
| 86 |
LIMESTONE TRADING LLC |
6,560,172 |
500,000 |
6,060,172 |
| 87 |
LINN GROUP ( THE ) |
1,633,516 |
500,000 |
1,133,516 |
| 88 |
LINSCO/PRIVATE LEDGER CORP |
58,969,186 |
8,508,128 |
50,461,058 |
| 89 |
LOEB PARTNERS CORPORATION |
25,489,491 |
500,000 |
24,989,491 |
| 90 |
MACQUARIE FUTURES USA INC |
8,414,952 |
2,358,413 |
6,056,539 |
| 91 |
MB TRADING FUTURES INC. |
3,233,155 |
1,254,597 |
1,978,558 |
| 92 |
MBF CLEARING CORP |
26,430,122 |
1,807,831 |
24,622,291 |
| 93 |
MCVEAN TRADING AND INVESTMENTS LLC |
6,495,650 |
2,418,440 |
4,077,210 |
| 94 |
MERRILL LYNCH PIERCE FENNER & SMITH |
(g) |
595,505,754 |
(g) |
| 95 |
MERRILL LYNCH PROFESSIONAL CLEARING CORP |
1,422,686,550 |
133,840,918 |
1,288,845,632 |
| 96 |
MF GLOBAL INC |
535,142,778 |
427,261,012 |
107,881,766 |
| 97 |
MID-CO COMMODITIES INC |
5,419,914 |
3,144,217 |
2,275,697 |
| 98 |
MITSUI BUSSAN COMMODITIES USA INC |
5,915,436 |
797,363 |
5,118,073 |
| 99 |
MIZUHO SECURITIES USA INC |
98,790,679 |
35,665,545 |
63,125,134 |
| 100 |
MONEY GARDEN CORP |
5,035,103 |
1,000,000 |
4,035,103 |
| 101 |
MORGAN KEEGAN & COMPANY INC |
369,573,731 |
11,006,916 |
358,566,815 |
| 102 |
MORGAN STANLEY & CO INCORPORATED |
(g) |
1,659,982,157 |
(g) |
| 103 |
NEUBERGER BERMAN LLC |
368,740,356 |
5,000,000 |
363,740,356 |
| 104 |
NOMURA SECURITIES INTERNATIONAL INC |
1,130,501,355 |
4,000,693 |
1,126,500,662 |
| 105 |
OANDA CORPORATION |
156,670,086 |
8,584,912 |
148,085,174 |
| 106 |
ODL SECURITIES INC |
2,566,080 |
1,000,000 |
1,566,080 |
| 107 |
ONE WORLD CAPITAL GROUP LLC |
1,227,227 |
14,208 |
1,213,019 |
| 108 |
OPEN E CRY LLC |
1,333,184 |
500,000 |
833,184 |
| 109 |
OPPENHEIMER & CO INC |
196,409,988 |
25,183,994 |
171,225,994 |
| 110 |
OPTIONSXPRESS INC |
91,109,426 |
5,287,096 |
85,822,330 |
| 111 |
PENSON FINANCIAL FUTURES INC |
2,092,296 |
500,000 |
1,592,296 |
| 112 |
PENSON GHCO |
12,338,488 |
4,366,278 |
7,972,210 |
| 113 |
PEREGRINE FINANCIAL GROUP INC |
12,931,876 |
5,449,791 |
7,482,085 |
| 114 |
PIONEER FUTURES INC |
1,482,232 |
500,000 |
982,232 |
| 115 |
PRUDENTIAL BACHE COMMODITIES LLC |
143,191,000 |
126,819,880 |
16,371,120 |
| 116 |
PUMA FINANCIAL LLC |
826,763 |
500,000 |
326,763 |
| 117 |
RAND FINANCIAL SERVICES INC |
53,037,119 |
14,934,782 |
38,102,337 |
| 118 |
RAYMOND JAMES & ASSOCIATES INC |
338,941,753 |
30,634,663 |
308,307,090 |
| 119 |
RBC CAPITAL MARKETS CORPORATION |
299,537,449 |
103,187,513 |
196,349,936 |
| 120 |
RBC DAIN RAUSCHER INC |
489,124,670 |
30,651,062 |
458,473,608 |
| 121 |
RBS GREENWICH CAPITAL INC |
858,934,000 |
99,737,000 |
759,197,000 |
| 122 |
RJ OBRIEN & ASSOCIATES LLC |
77,716,628 |
64,210,585 |
13,506,043 |
| 123 |
ROBBINS FUTURES INC |
550,631 |
500,000 |
50,631 |
| 124 |
ROSENTHAL COLLINS GROUP LLC |
45,422,882 |
23,577,236 |
21,845,646 |
| 125 |
ROSENTHAL GLOBAL SECURITIES LLC |
9,789,613 |
500,000 |
9,289,613 |
| 126 |
SANFORD C BERNSTEIN & CO LLC |
138,513,502 |
31,684,197 |
106,829,305 |
| 127 |
SHATKIN ARBOR INC |
5,456,521 |
1,253,555 |
4,202,966 |
| 128 |
SHAY GRAIN CLEARING COMPANY |
1,460,397 |
1,220,268 |
240,129 |
| 129 |
SMW TRADING COMPANY INC |
26,799,237 |
500,000 |
26,299,237 |
| 130 |
SNC INVESTMENTS INC |
1,152,930 |
1,000,000 |
152,930 |
| 131 |
SOLID GOLD FINANCIAL SERVICES INC |
2,040,401 |
1,000,000 |
1,040,401 |
| 132 |
STEPHENS INC |
89,429,144 |
10,470,018 |
78,959,126 |
| 133 |
STERLING COMMODITIES CORP |
9,372,351 |
1,292,107 |
8,080,244 |
| 134 |
TCA FUTURES LLC |
818,332 |
500,000 |
318,332 |
| 135 |
TENCO INC |
42,108,485 |
6,198,150 |
35,910,335 |
| 136 |
TERRA NOVA TRADING LLC |
16,926,070 |
1,551,336 |
15,374,734 |
| 137 |
TIMBER HILL LLC |
800,265,327 |
12,812,347 |
787,452,980 |
| 138 |
TOWER RESEARCH CAPITAL EUROPE LLC |
3,053,850 |
500,000 |
2,553,850 |
| 139 |
TRADELINK LLC |
27,475,163 |
609,546 |
26,865,617 |
| 140 |
TRADEMAVEN CLEARING LLC |
821,656 |
500,000 |
321,656 |
| 141 |
TRADESTATION SECURITIES INC |
73,529,260 |
2,657,229 |
70,872,031 |
| 142 |
TRADITION SECURITIES AND FUTURES INC |
784,026 |
500,000 |
284,026 |
| 143 |
TRANSMARKET GROUP LLC |
9,290,708 |
500,000 |
8,790,708 |
| 144 |
TRILAND USA INC |
32,800,466 |
12,118,587 |
20,681,879 |
| 145 |
UBS FINANCIAL SERVICES INC |
963,393,066 |
131,407,599 |
831,985,467 |
| 146 |
UBS SECURITIES LLC |
11,069,681,143 |
954,701,049 |
10,114,980,094 |
| 147 |
VELOCITY FUTURES LP |
1,009,948 |
500,000 |
509,948 |
| 148 |
VISION FINANCIAL MARKETS LLC |
21,442,986 |
9,420,833 |
12,022,153 |
| 149 |
WACHOVIA CAPITAL MARKETS LLC |
1,415,929,691 |
2,116,761 |
1,413,812,930 |
| 150 |
WACHOVIA SECURITIES FINANCIAL NETWORK, LLC |
33,887,020 |
2,740,777 |
31,146,243 |
| 151 |
WACHOVIA SECURITIES LLC |
395,082,123 |
1,500,000 |
393,582,123 |
| 152 |
WHITE COMMERCIAL CORPORATION |
2,957,773 |
500,000 |
2,457,773 |
| 153 |
WSD FINANCIAL USA, INC |
1,228,614 |
500,000 |
728,614 |
| 154 |
XPRESSTRADE LLC |
8,703,559 |
1,660,546 |
7,043,013 |
| 155 |
YORK BUSINESS ASSOCIATES LLC |
958,627 |
500,000 |
458,627 |
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