最新的CFTC外汇经纪商净资产报表(10月份)

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 10-31-2007 8,340,374 500,000 7,840,374 0 0
2 ABBEY NATIONAL SECURITIES INC Y NFA 10-31-2007 137,564,765 23,533,020 114,031,745 302,027,507 0
3 ADM INVESTOR SERVICES INC N CBOT 10-31-2007 160,989,606 59,592,602 101,397,004 1,111,588,511 43,207,840
4 ADVANCED MARKETS INC N NFA 10-31-2007 1,322,437 1,000,000 322,437 0 0
5 ADVANTAGE FUTURES LLC N CME 10-31-2007 19,246,883 3,536,540 15,710,343 154,954,961 20,837,155
6 AG EDWARDS & SONS INC Y CBOT 10-31-2007 1,262,701,677 33,043,393 1,229,658,284 266,448,504 270,350
7 AIG CLEARING CORPORATION N NYME 10-31-2007 293,303,386 40,598,943 252,704,443 12,427,362 0
8 ALARON TRADING CORPORATION N CME 10-31-2007 7,288,333 3,121,904 4,166,429 160,344,227 6,451,075
9 ALPARI (US) LLC N NFA 10-31-2007 2,481,626 1,000,000 1,481,626 0 0
10 BACERA CORPORATION N NFA 10-31-2007 2,300,145 1,000,000 1,300,145 0 0
11 BANC OF AMERICA SECURITIES LLC Y CME 10-31-2007 2,116,052,393 351,855,130 1,764,197,263 1,924,982,020 14,276,393
12 BARCLAYS CAPITAL INC Y NYME 10-31-2007 1,314,404,218 389,276,055 925,128,163 3,630,489,227 2,150,112,316
13 BEAR STEARNS & CO INC Y NFA 10-31-2007 (g) 549,111,916 (g) 0 0
14 BEAR STEARNS SECURITIES CORP Y CME 10-31-2007 4,425,434,636 1,201,022,349 3,224,412,287 2,843,199,364 765,230,551
15 BGC SECURITIES Y NFA 10-31-2007 3,748,994 500,000 3,248,994 0 0
16 BNP PARIBAS COMMODITY FUTURES INC N NYME 10-31-2007 153,340,998 99,778,659 53,562,339 827,622,189 235,596,448
17 CADENT FINANCIAL SERVICES LLC N CME 10-31-2007 6,907,539 4,771,199 2,136,340 204,888,687 1,318,533
18 CALYON FINANCIAL INC Y CME 10-31-2007 739,338,990 459,645,942 279,693,048 7,131,518,991 1,495,303,075
19 CANTOR FITZGERALD & CO Y CBOT 10-31-2007 180,681,050 2,122,125 178,558,925 8,304,081 0
20 CAPITAL MARKET SERVICES LLC N NFA 10-31-2007 10,883,200 3,928,074 6,955,126 0 0
21 CIBC WORLD MARKETS CORP Y CME 10-31-2007 1,130,913,238 21,119,238 1,109,794,000 0 0
22 CITIGROUP GLOBAL MARKETS INC Y CBOT 10-31-2007 (g) 865,197,852 (g) 10,157,630,616 429,806,331
23 CLIFF LARSON COMPANY THE N NFA 10-31-2007 939,865 539,137 400,728 10,352,717 0
24 CMC MARKETS (US) LLC N NFA 10-31-2007 2,139,494 1,000,000 1,139,494 0 0
25 COMTRUST INC N NFA 10-31-2007 1,012,955 586,139 426,816 12,919,827 0
26 COUNTRY HEDGING INC N NFA 10-31-2007 18,061,439 10,545,405 7,516,034 134,272,255 0
27 CREDIT SUISSE SECURITIES (USA) LLC Y CBOT 10-31-2007 5,197,669,065 185,952,652 5,011,716,413 1,764,485,273 980,409,484
28 CROSSLAND LLC N CBOT 10-31-2007 3,630,929 500,000 3,130,929 13,676,901 0
29 CUNNINGHAM COMMODITIES LLC N CBOT 10-31-2007 3,359,255 894,471 2,464,784 25,836,429 103,035
30 DAIWA SECURITIES AMERICA INC Y CME 10-31-2007 222,476,164 2,345,625 220,130,539 6,677,775 1,138,811
31 DEUTSCHE BANK SECURITIES INC Y CBOT 10-31-2007 2,635,354,234 259,928,752 2,375,425,482 4,506,155,962 1,225,474,507
32 DIRECT FOREX LLC N NFA 10-31-2007 728,289 500,000 228,289 0 0
33 DORMAN TRADING LLC N CME 10-31-2007 10,646,645 500,000 10,146,645 47,041,161 94,982
34 DUNAVANT COMMODITY CORP N NFA 10-31-2007 37,061,053 1,235,105 35,825,948 0 0
35 E FX OPTIONS LLC N NFA 10-31-2007 4,530,543 1,000,000 3,530,543 0 0
36 EAGLE MARKET MAKERS INC N CBOT 10-31-2007 5,500,559 500,000 5,000,559 10,532,718 0
37 EASY FOREX US LTD N NFA 10-31-2007 3,789,605 2,000,000 1,789,605 0 0
38 ED &F MAN COMMODITY ADVISORS INC N NFA 10-31-2007 1,246,738 500,000 746,738 0 0
39 ELECTRONIC BROKERAGE SYSTEMS LLC Y NFA 10-31-2007 10,517,866 500,000 10,017,866 0 0
40 ENSKILDA FUTURES LTD N CME 10-31-2007 20,772,977 9,082,902 11,690,075 236,188,752 0
41 FARR FINANCIAL INC N NFA 10-31-2007 1,482,426 583,132 899,294 35,612,832 156,683
42 FC STONE LLC N CME 10-31-2007 86,747,911 41,771,267 44,976,644 954,485,935 4,709,718
43 FIMAT USA LLC Y NYME 10-31-2007 606,236,459 473,240,095 132,996,364 6,965,977,129 1,989,220,642
44 FIRST CAPITOL GROUP LLC N NFA 10-31-2007 6,480,456 1,775,377 4,705,079 73,096,569 87,999
45 FOREX CAPITAL MARKETS LLC N NFA 10-31-2007 65,255,249 13,407,759 51,847,490 0 0
46 FOREX CLUB FINANCIAL COMPANY INC N NFA 10-31-2007 3,320,420 1,000,000 2,320,420 0 0
47 FOREX LIQUIDITY LLC N NFA 10-31-2007 36,840,196 1,000,000 35,840,196 0 0
48 FORTIS CLEARING AMERICAS LLC Y CBOT 10-31-2007 170,386,272 38,667,055 131,719,217 763,607,206 114,434,882
49 FRIEDBERG MERCANTILE GROUP INC N NFA 10-31-2007 7,873,587 5,000,000 2,873,587 5,146,091 80,849
50 FRONTIER FUTURES INC N NFA 10-31-2007 1,509,207 716,551 792,656 24,834,422 0
51 FUTURES TECH LLC N NFA 10-31-2007 842,451 500,000 342,451 0 0
52 FX OPTION1 INC N NFA 10-31-2007 506,025 500,000 6,025 0 0
53 FX SOLUTIONS LLC N NFA 10-31-2007 19,061,609 1,649,518 17,412,091 0 0
54 FXCM LLC N NFA 10-31-2007 773,419 500,000 273,419 0 0
55 GAIN CAPITAL GROUP LLC N NFA 10-31-2007 32,669,427 4,828,602 27,840,825 0 0
56 GATEWAY CAPITAL L.L.C. N NFA 10-31-2007 537,160 500,000 37,160 0 0
57 GELBER GROUP LLC N CBOT 10-31-2007 57,080,478 1,065,283 56,015,195 45,884,183 10,195
58 GFS FOREX & FUTURES INC N NFA 10-31-2007 2,353,472 1,000,000 1,353,472 0 0
59 GILDER GAGNON HOWE AND CO LLC Y NFA 10-31-2007 22,818,525 500,000 22,318,525 0 0
60 GLOBAL FUTURES & FOREX N NFA 10-31-2007 41,229,946 7,631,611 33,598,335 0 0
61 GLOBAL FUTURES LLC N NFA 10-31-2007 8,227,624 500,000 7,727,624 216,814 0
62 GOLDMAN SACHS & CO Y CBOT 10-26-2007 (g) 1,841,084,515 (g) 14,875,216,300 9,596,053,569
63 GOLDMAN SACHS EXECUTION & CLEARING LP Y CME 10-26-2007 932,826,923 64,435,375 868,391,548 879,406,456 7,851,434
64 H & R BLOCK FINANCIAL ADVISORS INC Y NFA 10-31-2007 91,158,810 9,133,496 82,025,314 0 0
65 HAGERTY GRAIN CO INC N CBOT 10-31-2007 4,251,809 500,000 3,751,809 5,761,727 0
66 HAMILTON WILLIAMS LLC N NFA 10-31-2007 1,345,856 1,000,000 345,856 0 0
67 HOTSPOT FXR LLC N NFA 10-31-2007 6,031,746 1,000,000 5,031,746 0 0
68 HSBC SECURITIES USA INC Y CME 10-31-2007 812,566,773 63,009,187 749,557,586 681,412,650 43,621,389
69 I TRADE FX LLC N NFA 10-31-2007 15,814,623 2,614,993 13,199,630 0 0
70 ICAP FUTURES LLC N CBOT 10-31-2007 5,981,425 500,000 5,481,425 0 0
71 IFSCL USA INC N NFA 10-31-2007 7,557,664 5,000,000 2,557,664 1,039,487 156,909
72 IFX MARKETS INC N NFA 10-31-2007 9,837,999 2,258,150 7,579,849 0 0
73 IG FINANCIAL MARKETS INC. N NFA 10-31-2007 1,020,826 500,000 520,826 0 0
74 INSTINET LLC Y NFA 10-31-2007 75,202,153 5,954,884 69,247,269 0 0
75 INTEGRATED BROKERAGE SERVICES LLC N NFA 10-31-2007 1,822,671 500,000 1,322,671 558,363 0
76 INTERACTIVE BROKERS LLC Y EUXUS 10-31-2007 404,434,997 47,513,936 356,921,061 219,090,295 73,568,452
77 INTERBANK FX LLC N NFA 10-31-2007 28,845,075 4,498,912 24,346,163 0 0
78 IOWA GRAIN CO N CBOT 10-31-2007 17,133,089 10,790,180 6,342,909 271,394,279 502,309
79 ITAU SECURITIES INC Y NFA 10-31-2007 19,985,494 500,000 19,485,494 0 0
80 IXIS SECURITIES NORTH AMERICA INC Y NFA 10-31-2007 171,100,113 500,000 170,600,113 0 0
81 JP MORGAN FUTURES INC N NYME 10-31-2007 1,208,258,779 696,332,417 511,926,362 9,223,861,532 1,946,910,409
82 KOTTKE ASSOCIATES LLC N CBOT 10-31-2007 16,001,556 500,000 15,501,556 38,256,270 2,860
83 LADENBURG THALMANN & CO INC Y NFA 10-31-2007 48,707,916 500,000 48,207,916 0 0
84 LBS LIMITED PARTNERSHIP N CBOT 10-31-2007 892,278 500,000 392,278 0 0
85 LEHMAN BROTHERS INC Y CBOT 10-31-2007 (g) 552,743,000 (g) 5,842,623,000 202,482,000
86 LIMESTONE TRADING LLC N NFA 10-31-2007 6,560,172 500,000 6,060,172 0 0
87 LINN GROUP ( THE ) N NFA 10-31-2007 1,633,516 500,000 1,133,516 358,423 0
88 LINSCO/PRIVATE LEDGER CORP Y NFA 10-31-2007 58,969,186 8,508,128 50,461,058 0 0
89 LOEB PARTNERS CORPORATION Y NFA 10-31-2007 25,489,491 500,000 24,989,491 0 0
90 MACQUARIE FUTURES USA INC N NFA 10-31-2007 8,414,952 2,358,413 6,056,539 19,093,455 0
91 MB TRADING FUTURES INC. N NFA 10-31-2007 3,233,155 1,254,597 1,978,558 0 0
92 MBF CLEARING CORP N NYME 10-31-2007 26,430,122 1,807,831 24,622,291 113,862,960 3,035,420
93 MCVEAN TRADING AND INVESTMENTS LLC N NFA 10-31-2007 6,495,650 2,418,440 4,077,210 570,190,225 28,910
94 MERRILL LYNCH PIERCE FENNER & SMITH Y CBOT 11-02-2007 (g) 595,505,754 (g) 8,614,429,144 1,109,138,846
95 MERRILL LYNCH PROFESSIONAL CLEARING CORP Y NFA 11-02-2007 1,422,686,550 133,840,918 1,288,845,632 1,691,018,637 83,206,880
96 MF GLOBAL INC N CME 10-31-2007 535,142,778 427,261,012 107,881,766 9,929,407,496 922,543,378
97 MID-CO COMMODITIES INC N NFA 10-31-2007 5,419,914 3,144,217 2,275,697 28,148,738 0
98 MITSUI BUSSAN COMMODITIES USA INC N NYME 10-31-2007 5,915,436 797,363 5,118,073 0 0
99 MIZUHO SECURITIES USA INC Y CME 10-31-2007 98,790,679 35,665,545 63,125,134 447,510,624 87,893,482
100 MONEY GARDEN CORP N NFA 10-31-2007 5,035,103 1,000,000 4,035,103 0 0
101 MORGAN KEEGAN & COMPANY INC Y NFA 10-31-2007 369,573,731 11,006,916 358,566,815 0 0
102 MORGAN STANLEY & CO INCORPORATED Y CME 10-31-2007 (g) 1,659,982,157 (g) 4,308,690,398 4,785,501,029
103 NEUBERGER BERMAN LLC Y NFA 10-31-2007 368,740,356 5,000,000 363,740,356 5,197,932 0
104 NOMURA SECURITIES INTERNATIONAL INC Y CBOT 10-31-2007 1,130,501,355 4,000,693 1,126,500,662 12,013,170 18,761,926
105 OANDA CORPORATION N NFA 10-31-2007 156,670,086 8,584,912 148,085,174 0 0
106 ODL SECURITIES INC N NFA 10-31-2007 2,566,080 1,000,000 1,566,080 0 0
107 ONE WORLD CAPITAL GROUP LLC N NFA 10-31-2007 1,227,227 14,208 1,213,019 733,252 0
108 OPEN E CRY LLC N NFA 10-31-2007 1,333,184 500,000 833,184 29,383,938 388,004
109 OPPENHEIMER & CO INC Y NFA 10-31-2007 196,409,988 25,183,994 171,225,994 33,134,776 0
110 OPTIONSXPRESS INC Y NFA 10-31-2007 91,109,426 5,287,096 85,822,330 6,866,582 0
111 PENSON FINANCIAL FUTURES INC N NFA 10-31-2007 2,092,296 500,000 1,592,296 0 0
112 PENSON GHCO N CBOT 10-31-2007 12,338,488 4,366,278 7,972,210 160,521,051 9,419,858
113 PEREGRINE FINANCIAL GROUP INC N NFA 10-31-2007 12,931,876 5,449,791 7,482,085 209,514,174 13,153,227
114 PIONEER FUTURES INC N NYME 10-31-2007 1,482,232 500,000 982,232 0 0
115 PRUDENTIAL BACHE COMMODITIES LLC N CBOT 10-31-2007 143,191,000 126,819,880 16,371,120 2,038,884,000 189,780,000
116 PUMA FINANCIAL LLC N NFA 10-31-2007 826,763 500,000 326,763 3,409,310 0
117 RAND FINANCIAL SERVICES INC N CME 10-31-2007 53,037,119 14,934,782 38,102,337 191,029,500 24,303,800
118 RAYMOND JAMES & ASSOCIATES INC Y NFA 10-31-2007 338,941,753 30,634,663 308,307,090 0 0
119 RBC CAPITAL MARKETS CORPORATION Y CME 10-31-2007 299,537,449 103,187,513 196,349,936 251,572,904 193,153,336
120 RBC DAIN RAUSCHER INC Y NFA 10-31-2007 489,124,670 30,651,062 458,473,608 0 0
121 RBS GREENWICH CAPITAL INC Y CBOT 10-31-2007 858,934,000 99,737,000 759,197,000 851,828,000 24,012,000
122 RJ OBRIEN & ASSOCIATES LLC N CME 10-31-2007 77,716,628 64,210,585 13,506,043 1,970,199,538 23,433,012
123 ROBBINS FUTURES INC N NFA 10-31-2007 550,631 500,000 50,631 3,404,790 0
124 ROSENTHAL COLLINS GROUP LLC N CME 10-31-2007 45,422,882 23,577,236 21,845,646 764,615,211 9,875,191
125 ROSENTHAL GLOBAL SECURITIES LLC Y CBOT 10-31-2007 9,789,613 500,000 9,289,613 0 0
126 SANFORD C BERNSTEIN & CO LLC Y NFA 10-31-2007 138,513,502 31,684,197 106,829,305 0 0
127 SHATKIN ARBOR INC N CBOT 10-31-2007 5,456,521 1,253,555 4,202,966 71,594,546 36,693
128 SHAY GRAIN CLEARING COMPANY N KCBT 10-31-2007 1,460,397 1,220,268 240,129 26,829,251 0
129 SMW TRADING COMPANY INC N CME 10-31-2007 26,799,237 500,000 26,299,237 9,517,865 818
130 SNC INVESTMENTS INC N NFA 10-31-2007 1,152,930 1,000,000 152,930 0 0
131 SOLID GOLD FINANCIAL SERVICES INC N NFA 10-31-2007 2,040,401 1,000,000 1,040,401 0 0
132 STEPHENS INC Y NFA 10-26-2007 89,429,144 10,470,018 78,959,126 0 0
133 STERLING COMMODITIES CORP N NYME 10-31-2007 9,372,351 1,292,107 8,080,244 41,317,457 712,671
134 TCA FUTURES LLC N NFA 10-31-2007 818,332 500,000 318,332 0 0
135 TENCO INC N CBOT 10-31-2007 42,108,485 6,198,150 35,910,335 85,587,733 0
136 TERRA NOVA TRADING LLC Y NFA 10-31-2007 16,926,070 1,551,336 15,374,734 0 0
137 TIMBER HILL LLC Y CME 10-31-2007 800,265,327 12,812,347 787,452,980 189,560,532 0
138 TOWER RESEARCH CAPITAL EUROPE LLC N NFA 10-31-2007 3,053,850 500,000 2,553,850 0 0
139 TRADELINK LLC Y CBOT 10-31-2007 27,475,163 609,546 26,865,617 0 0
140 TRADEMAVEN CLEARING LLC N NFA 10-31-2007 821,656 500,000 321,656 4,303,968 52,308
141 TRADESTATION SECURITIES INC Y NFA 10-31-2007 73,529,260 2,657,229 70,872,031 0 0
142 TRADITION SECURITIES AND FUTURES INC N NFA 10-31-2007 784,026 500,000 284,026 0 0
143 TRANSMARKET GROUP LLC Y CBOT 10-31-2007 9,290,708 500,000 8,790,708 0 0
144 TRILAND USA INC N NYME 10-31-2007 32,800,466 12,118,587 20,681,879 325,729,867 37,785
145 UBS FINANCIAL SERVICES INC Y CBOT 10-31-2007 963,393,066 131,407,599 831,985,467 249,391,683 1,995,492
146 UBS SECURITIES LLC Y CBOT 10-31-2007 11,069,681,143 954,701,049 10,114,980,094 14,920,609,557 8,634,984,866
147 VELOCITY FUTURES LP N NFA 10-31-2007 1,009,948 500,000 509,948 24,857,994 1,012,013
148 VISION FINANCIAL MARKETS LLC Y NFA 10-31-2007 21,442,986 9,420,833 12,022,153 339,766,461 34,635
149 WACHOVIA CAPITAL MARKETS LLC Y CME 10-31-2007 1,415,929,691 2,116,761 1,413,812,930 0 0
150 WACHOVIA SECURITIES FINANCIAL NETWORK, LLC Y NFA 10-31-2007 33,887,020 2,740,777 31,146,243 0 0
151 WACHOVIA SECURITIES LLC Y NFA 10-31-2007 395,082,123 1,500,000 393,582,123 0 0
152 WHITE COMMERCIAL CORPORATION N NFA 10-31-2007 2,957,773 500,000 2,457,773 0 0
153 WSD FINANCIAL USA, INC N NFA 10-31-2007 1,228,614 500,000 728,614 119,593 0
154 XPRESSTRADE LLC N NFA 10-31-2007 8,703,559 1,660,546 7,043,013 118,375,564 3,712,730
155 YORK BUSINESS ASSOCIATES LLC N NFA 10-31-2007 958,627 500,000 458,627 25,784,832 629,400

Total 125,100,412,688 37,490,318,895

September Web Page Update 157

Additions
Alpari (US) LLC 1




Deletions
3
BNP Paribas Securities Corp
Master Capital Group Corp
Royal Forex Trading LLC

October Web Page Update 155

Name Change





(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) The minimum capital requirement that each FCM must maintain is determined under CFTC Regulation 1.17 (a)(1)(i)

(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.

(g): This FCM/BD's ultimate parent company is regulated by the SEC as a consolidated supervised entity. The firm has elected to compute its minimum capital requirement in accordance with the “Alternative Net Capital Requirement” as permitted by Appendix E to SEC Rule 15c3-1. As of this reporting date, the firm had net capital in excess of its minimum capital requirements. In addition to the alternative minimum net capital requirements, the firm is required to hold tentative net capital in excess of $1 billion and net capital in excess of $500 million in accordance with the market and credit risk standards of Appendix E of Rule 15c3-1. The firm also is required to notify the Commission and SEC in the event its tentative net capital is less than $5 billion. As of this reporting date, the firm had tentative net capital and net capital in excess of both the minimum and notification requirements.

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: sgreska@cftc.gov, phill@cftc.gov or s_williams@cftc.gov