The following list of FCM Brokers is reported by the CFTC and is the official source for all data contained on this page.
Largest FCM Brokers 2011
| Futures Commission Merchant / Retail Foreign Exchange Dealer | Reg As | A/O | Adjusted Net Capital | Net Capital Requirements | Excess Net Capital | Customers' Assets in Seg | Totl Retail Forex Obligation |
|---|---|---|---|---|---|---|---|
| UBS SECURITIES LLC | FCM BD | 12/31/2011 | 12,278,665,379 | 961,345,147 | 11,317,320,232 | 9,652,936,288 | 0 |
| GOLDMAN SACHS & CO | FCM BD | 12/31/2011 | 11,422,646,769 | 1,908,555,518 | 9,514,091,251 | 21,446,768,814 | 0 |
| JP MORGAN SECURITIES LLC | FCM BD | 12/31/2011 | 11,100,234,132 | 1,550,293,455 | 9,549,940,677 | 18,845,933,180 | 0 |
| MERRILL LYNCH PIERCE FENNER & SMITH | FCM BD | 12/31/2011 | 10,761,042,594 | 802,817,760 | 9,958,224,834 | 8,856,894,956 | 0 |
| CREDIT SUISSE SECURITIES (USA) LLC | FCM BD | 12/31/2011 | 8,413,793,960 | 1,083,991,195 | 7,329,802,765 | 6,506,294,147 | 0 |
| MORGAN STANLEY & CO LLC | FCM BD | 12/31/2011 | 8,248,535,395 | 1,033,036,171 | 7,215,499,224 | 5,341,062,987 | 0 |
| DEUTSCHE BANK SECURITIES INC | FCM BD | 12/31/2011 | 8,096,091,854 | 594,609,558 | 7,501,482,296 | 14,724,160,099 | 0 |
| CITIGROUP GLOBAL MARKETS INC | FCM BD | 12/31/2011 | 7,773,386,855 | 795,170,980 | 6,978,215,875 | 10,300,448,963 | 0 |
| JP MORGAN CLEARING CORP | FCM BD | 12/30/2011 | 7,429,640,902 | 1,926,555,296 | 5,503,085,606 | 782,180,319 | 0 |
| BARCLAYS CAPITAL INC | FCM BD | 12/31/2011 | 6,415,675,853 | 994,729,883 | 5,420,945,970 | 6,454,489,743 | 0 |
| MERRILL LYNCH PROFESSIONAL CLEARING CORP | FCM BD | 12/31/2011 | 3,453,901,293 | 168,048,254 | 3,285,853,039 | 1,570,694,970 | 0 |
| RBS SECURITIES INC | FCM BD | 12/31/2011 | 3,168,204,462 | 302,314,113 | 2,865,890,349 | 2,406,333,292 | 0 |
| NOMURA SECURITIES INTERNATIONAL INC | FCM BD | 12/31/2011 | 2,455,113,299 | 20,916,817 | 2,434,196,482 | 113,797,621 | 0 |
| NEWEDGE USA LLC | FCM BD | 12/31/2011 | 2,313,980,909 | 1,338,474,054 | 975,506,855 | 18,960,273,362 | 0 |
| BNP PARIBAS PRIME BROKERAGE INC | FCM BD | 12/31/2011 | 2,246,207,500 | 309,205,095 | 1,937,002,405 | 1,605,999,252 | 0 |
| GOLDMAN SACHS EXECUTION & CLEARING LP | FCM BD | 12/30/2011 | 2,100,793,132 | 103,719,471 | 1,997,073,661 | 1,370,186,556 | 0 |
| WELLS FARGO SECURITIES LLC | FCM BD | 12/31/2011 | 2,015,265,498 | 7,853,660 | 2,007,411,838 | 0 | 0 |
| BNP PARIBAS SECURITIES CORP | FCM BD | 12/31/2011 | 1,985,533,776 | 68,162,909 | 1,917,370,867 | 409,542,363 | 0 |
| WELLS FARGO ADVISORS LLC | FCM BD | 12/31/2011 | 1,448,731,415 | 1,500,000 | 1,447,231,415 | 0 | 0 |
| INTERACTIVE BROKERS LLC | FCM BD | 12/30/2011 | 1,365,792,737 | 162,429,731 | 1,203,363,006 | 1,272,471,045 | 0 |
| RBC CAPITAL MARKETS LLC | FCM BD | 12/30/2011 | 1,365,027,475 | 79,422,101 | 1,285,605,374 | 567,519,979 | 0 |
| UBS FINANCIAL SERVICES INC | FCM BD | 12/31/2011 | 1,181,174,373 | 123,908,672 | 1,057,265,701 | 188,183,111 | 0 |
| HSBC SECURITIES USA INC | FCM BD | 12/31/2011 | 1,173,678,113 | 90,170,172 | 1,083,507,941 | 964,691,938 | 0 |
| JEFFERIES & COMPANY INC | FCM BD | 12/31/2011 | 974,771,795 | 45,832,173 | 928,939,622 | 0 | 0 |
| MORGAN STANLEY SMITH BARNEY LLC | FCM BD | 12/30/2011 | 842,942,107 | 37,425,680 | 805,516,427 | 491,268,576 | 0 |
| TIMBER HILL LLC | FCM BD | 12/31/2011 | 826,384,613 | 35,598,402 | 790,786,211 | 606,039,619 | 0 |
| MORGAN KEEGAN & COMPANY INC | FCM BD | 12/31/2011 | 546,477,724 | 7,786,246 | 538,691,478 | 0 | 0 |
| CIBC WORLD MARKETS CORP | FCM BD | 12/31/2011 | 500,140,583 | 1,500,000 | 498,640,583 | 0 | 0 |
| CITADEL SECURITIES LLC | FCM BD | 12/31/2011 | 460,712,467 | 1,000,000 | 459,712,467 | 0 | 0 |
| STATE STREET GLOBAL MARKETS LLC | FCM BD | 12/31/2011 | 435,779,624 | 7,571,402 | 428,208,222 | 220,033,829 | 0 |
| MIZUHO SECURITIES USA INC | FCM BD | 12/31/2011 | 425,295,200 | 118,045,353 | 307,249,847 | 991,979,343 | 0 |
| RAYMOND JAMES & ASSOCIATES INC | FCM BD | 12/31/2011 | 362,445,568 | 30,476,765 | 331,968,803 | 0 | 0 |
| NATIXIS SECURITIES AMERICAS LLC | FCM BD | 12/31/2011 | 360,313,450 | 1,500,000 | 358,813,450 | 0 | 0 |
| ABN AMRO CLEARING CHICAGO LLC | FCM BD | 12/31/2011 | 301,490,207 | 118,881,628 | 182,608,579 | 2,030,880,031 | 0 |
| DAIWA CAPITAL MARKETS AMERICA INC | FCM BD | 12/31/2011 | 300,214,360 | 1,338,784 | 298,875,576 | 11,752,290 | 0 |
| CANTOR FITZGERALD & CO | FCM BD | 12/30/2011 | 284,283,098 | 5,471,275 | 278,811,823 | 4,413,825 | 0 |
| TD AMERITRADE INC | FCM BD | 12/31/2011 | 276,307,123 | 1,000,000 | 275,307,123 | 0 | 0 |
| JEFFERIES BACHE LLC | FCM | 12/31/2011 | 263,593,000 | 152,201,280 | 111,391,720 | 2,404,911,000 | 0 |
| ADM INVESTOR SERVICES INC | FCM | 12/31/2011 | 256,605,074 | 139,920,070 | 116,685,004 | 3,171,688,657 | 968,009 |
| BNY MELLON CLEARING LLC | FCM | 12/31/2011 | 256,040,725 | 10,690,002 | 245,350,723 | 368,470,283 | 0 |
| MITSUBISHI UFJ SECURITIES USA INC | FCM BD | 12/31/2011 | 246,365,060 | 1,792,429 | 244,572,631 | 0 | 0 |
| RJ OBRIEN ASSOCIATES LLC | FCM | 12/31/2011 | 201,729,011 | 126,275,361 | 75,453,650 | 3,726,850,200 | 2,971,072 |
| OPPENHEIMER & CO INC | FCM BD | 12/31/2011 | 144,404,773 | 22,650,394 | 121,754,379 | 28,672,477 | 0 |
| PENSON FINANCIAL SERVICES INC | FCM BD | 12/31/2011 | 143,384,895 | 26,685,879 | 116,699,016 | 616,309,511 | 30,231,575 |
| OANDA CORPORATION | FCMRFD | 12/31/2011 | 140,452,807 | 27,317,817 | 113,134,990 | 0 | 156,356,338 |
| MACQUARIE FUTURES USA LLC | FCM | 12/31/2011 | 136,089,702 | 65,571,296 | 70,518,406 | 923,120,481 | 0 |
| INSTINET LLC | FCM BD | 12/31/2011 | 131,271,029 | 1,000,000 | 130,271,029 | 0 | 0 |
| FCSTONE LLC | FCM | 12/31/2011 | 116,943,999 | 72,072,902 | 44,871,097 | 1,293,557,685 | 0 |
| AMERIPRISE FINANCIAL SERVICES INC | FCM BD | 12/31/2011 | 114,975,113 | 1,000,000 | 113,975,113 | 0 | 0 |
| SANFORD C BERNSTEIN & CO LLC | FCM BD | 12/31/2011 | 111,339,780 | 15,342,940 | 95,996,840 | 0 | 0 |
| NEUBERGER BERMAN LLC | FCM BD | 12/31/2011 | 101,768,984 | 1,500,000 | 100,268,984 | 0 | 0 |
| LPL FINANCIAL LLC | FCM BD | 12/31/2011 | 100,944,413 | 7,028,023 | 93,916,390 | 0 | 0 |
| SANTANDER INVESTMENT SECURITIES INC | FCM BD | 12/30/2011 | 91,705,651 | 10,834,166 | 80,871,485 | 436,226,804 | 0 |
| ROSENTHAL COLLINS GROUP LLC | FCM | 12/31/2011 | 91,412,560 | 63,250,523 | 28,162,037 | 1,635,861,204 | 0 |
| STEPHENS INC | FCM BD | 12/31/2011 | 86,619,522 | 15,203,086 | 71,416,436 | 0 | 0 |
| GLOBAL FUTURES & FOREX LTD | FCMRFD | 12/31/2011 | 79,672,867 | 23,923,758 | 55,749,109 | 504,573 | 88,475,168 |
| OPTIONSXPRESS INC | FCM BD | 12/31/2011 | 79,533,082 | 5,408,737 | 74,124,345 | 93,142,997 | 0 |
| RAND FINANCIAL SERVICES INC | FCM | 12/31/2011 | 74,546,158 | 12,116,451 | 62,429,707 | 157,833,900 | 0 |
| GUGGENHEIM SECURITIES LLC | FCM BD | 12/31/2011 | 63,410,030 | 2,239,836 | 61,170,194 | 0 | 0 |
| TENCO INC | FCM | 12/31/2011 | 62,124,914 | 5,856,029 | 56,268,885 | 214,564,486 | 0 |
| BGC FINANCIAL LP | FCM BD | 12/30/2011 | 59,241,089 | 1,000,000 | 58,241,089 | 0 | 0 |
| TRADESTATION SECURITIES INC | FCM BD | 12/31/2011 | 54,719,507 | 2,544,836 | 52,174,671 | 439,657,073 | 0 |
| ICAP CORPORATES LLC | FCM BD | 12/31/2011 | 52,288,042 | 1,000,000 | 51,288,042 | 0 | 0 |
| ROSENTHAL GLOBAL SECURITIES LLC | FCM BD | 12/31/2011 | 42,604,041 | 1,000,000 | 41,604,041 | 0 | 0 |
| FX SOLUTIONS LLC | FCMRFD | 12/31/2011 | 41,409,111 | 20,376,208 | 21,032,903 | 0 | 17,524,164 |
| ENSKILDA FUTURES LTD | FCM | 12/30/2011 | 38,846,228 | 20,910,878 | 17,935,350 | 343,987,436 | 0 |
| GAIN CAPITAL GROUP LLC | FCMRFD | 12/31/2011 | 35,700,900 | 24,629,972 | 11,070,928 | 0 | 102,599,438 |
| WELLS FARGO ADVISORS FINANCIAL NETWORK LLC | FCM BD | 12/31/2011 | 34,947,904 | 2,949,721 | 31,998,183 | 0 | 0 |
| PEREGRINE FINANCIAL GROUP INC | FCM | 12/31/2011 | 33,644,888 | 21,089,332 | 12,555,556 | 521,931,442 | 31,786,635 |
| FOREX CAPITAL MARKETS LLC | FCMRFD | 12/31/2011 | 31,243,101 | 26,735,164 | 4,507,937 | 0 | 144,703,279 |
| VISION FINANCIAL MARKETS LLC | FCM BD | 12/31/2011 | 29,815,872 | 6,784,502 | 23,031,370 | 377,436,841 | 0 |
| TRADELINK LLC | FCM BD | 12/31/2011 | 29,804,251 | 1,000,000 | 28,804,251 | 0 | 0 |
| FXDIRECTDEALER LLC | FCMRFD | 12/31/2011 | 27,886,601 | 21,286,076 | 6,600,525 | 0 | 35,721,539 |
| ALPARI (US) LLC | FCMRFD | 12/31/2011 | 25,397,941 | 20,033,569 | 5,364,372 | 289,073 | 10,671,378 |
| TRADESTATION FOREX INC | RFED | 12/31/2011 | 25,235,604 | 23,076,595 | 2,159,009 | 0 | 71,531,907 |
| MB TRADING FUTURES INC | FCMRFD | 12/31/2011 | 25,101,763 | 21,140,428 | 3,961,335 | 0 | 32,808,570 |
| XPRESSTRADE LLC | RFED | 12/31/2011 | 22,972,452 | 20,000,000 | 2,972,452 | 0 | 1,444,758 |
| FOREX CLUB LLC | FCMRFD | 12/30/2011 | 22,923,338 | 22,000,000 | 923,338 | 0 | 3,461,914 |
| ADVANTAGE FUTURES LLC | FCM | 12/31/2011 | 20,606,735 | 10,954,082 | 9,652,653 | 464,261,449 | 0 |
| ADVANCED MARKETS LLC | FCMRFD | 12/31/2011 | 20,542,742 | 20,000,000 | 542,742 | 0 | 1,753,586 |
| COUNTRY HEDGING INC | FCM | 12/31/2011 | 20,279,150 | 14,157,638 | 6,121,512 | 202,565,514 | 0 |
| INSTITUTIONAL LIQUIDITY LLC | FCMRFD | 12/31/2011 | 20,066,042 | 20,000,000 | 66,042 | 0 | 8,804,848 |
| MAREX NORTH AMERICA LLC | FCM | 12/31/2011 | 16,632,577 | 7,333,084 | 9,299,493 | 117,719,886 | 0 |
| MCVEAN TRADING & INVESTMENTS LLC | FCM | 12/30/2011 | 14,363,892 | 1,715,160 | 12,648,732 | 881,697,960 | 0 |
| MID CO COMMODITIES INC | FCM | 12/31/2011 | 12,602,720 | 5,261,816 | 7,340,904 | 39,768,901 | 0 |
| CROSSLAND LLC | FCM | 12/31/2011 | 9,686,832 | 4,162,958 | 5,523,874 | 92,156,339 | 0 |
| DORMAN TRADING LLC | FCM | 12/31/2011 | 9,337,433 | 1,530,480 | 7,806,953 | 128,220,260 | 0 |
| GH FINANCIALS LLC | FCM | 12/31/2011 | 9,316,092 | 1,000,000 | 8,316,092 | 0 | 0 |
| PHILLIP FUTURES INC | FCM | 12/31/2011 | 9,216,812 | 1,901,064 | 7,315,748 | 62,072,811 | 0 |
| IKON GLOBAL MARKETS INC | FCM | 12/31/2011 | 9,069,658 | 1,000,000 | 8,069,658 | 22,429,515 | 0 |
| LEK SECURITIES CORPORATION | FCM BD | 12/31/2011 | 8,362,812 | 1,500,000 | 6,862,812 | 3,758,161 | 0 |
| STRAITS FINANCIAL LLC | FCM | 12/31/2011 | 8,175,117 | 1,599,809 | 6,575,308 | 40,527,360 | 0 |
| EAGLE MARKET MAKERS INC | FCM | 12/30/2011 | 6,850,265 | 1,000,000 | 5,850,265 | 1,151,762 | 0 |
| MBF CLEARING CORP | FCM | 12/31/2011 | 6,206,290 | 1,000,000 | 5,206,290 | 59,458,764 | 0 |
| CX CAPITAL MARKETS LLC | FCM | 12/31/2011 | 3,476,105 | 1,000,000 | 2,476,105 | 26,648,757 | 0 |
| ITG DERIVATIVES LLC | FCM BD | 12/31/2011 | 3,458,875 | 1,000,000 | 2,458,875 | 0 | 0 |
| LINN GROUP THE | FCM | 12/31/2011 | 3,266,504 | 1,424,926 | 1,841,578 | 63,251,537 | 0 |
| CUNNINGHAM COMMODITIES LLC | FCM | 12/31/2011 | 3,264,255 | 1,195,925 | 2,068,330 | 54,817,188 | 0 |
| OPEN E CRY LLC | FCM | 12/31/2011 | 3,042,332 | 1,098,670 | 1,943,662 | 90,875,654 | 0 |
| CAPITAL MARKET SERVICES LLC | FCM | 12/31/2011 | 3,029,324 | 1,000,000 | 2,029,324 | 0 | 0 |
| IRONBEAM INC | FCM | 12/31/2011 | 2,954,674 | 1,000,000 | 1,954,674 | 40,543,757 | 0 |
| MITSUI BUSSAN COMMODITIES USA INC | FCM | 12/31/2011 | 2,872,848 | 1,000,000 | 1,872,848 | 0 | 0 |
| FRIEDBERG MERCANTILE GROUP INC | FCM | 12/31/2011 | 2,822,365 | 1,000,000 | 1,822,365 | 12,892,449 | 0 |
| WHITE COMMERCIAL CORPORATION | FCM | 12/30/2011 | 2,706,910 | 1,000,000 | 1,706,910 | 0 | 0 |
| PIONEER FUTURES INC | FCM | 12/31/2011 | 2,457,563 | 1,000,000 | 1,457,563 | 0 | 0 |
| MAREX USA LIMITED | FCM | 12/31/2011 | 2,354,140 | 1,000,000 | 1,354,140 | 0 | 0 |
| FRONTIER FUTURES INC | FCM | 12/31/2011 | 1,921,603 | 1,000,000 | 921,603 | 30,978,193 | 0 |
| AMP GLOBAL CLEARING LLC | FCM | 12/31/2011 | 1,804,321 | 1,000,000 | 804,321 | 34,018,145 | 0 |
| STERLING COMMODITIES CORP | FCM | 12/31/2011 | 1,704,395 | 1,000,000 | 704,395 | 0 | 0 |
| EASY FOREX US LTD | FCM | 12/31/2011 | 1,686,103 | 1,000,000 | 686,103 | 0 | 0 |
| VELOCITY FUTURES LLC | FCM | 12/31/2011 | 1,675,512 | 1,000,000 | 675,512 | 72,371,355 | 0 |
| YORK BUSINESS ASSOCIATES LLC | FCM | 12/31/2011 | 1,613,629 | 1,000,000 | 613,629 | 75,180,608 | 0 |
| FUTURES TECH LLC | FCM | 12/31/2011 | 1,585,137 | 1,000,000 | 585,137 | 0 | 0 |
| INTEGRATED BROKERAGE SERVICES LLC | FCM | 12/31/2011 | 1,548,446 | 1,000,000 | 548,446 | 1,058 | 0 |
| TRADITION SECURITIES AND FUTURES INC | FCM | 12/31/2011 | 1,515,705 | 1,000,000 | 515,705 | 0 | 0 |
| COMMONWEALTH FOREIGN EXCHANGE INC | FCM | 12/31/2011 | 1,097,600 | 1,000,000 | 97,600 | 0 | 0 |
| Totals | 156,069,614,004 | 741,814,178 |
Description of Report Data Fields
- The summary table shows the following columns of information:Reg As: FCM: Futures Commission Merchant that is registered with the Commodity Futures Trading Commission;BD: The FCM is also registered with the Securities and Exchange Commission as a securities broker or dealer;RFED: Retail Foreign Exchange Dealer that is registered with the Commodity Futures Trading Commission;FCMRFD: The FCM is also registered with the Commodity Futures Trading Commission as a Retail Foreign Exchange Dealer.DSRO:This column identifies the firm’s Designated Self-Regulatory Organization (DSRO). A DSRO is the organization that is primarily responsible for conducting audits of and ongoing financial surveillance over the firm. A DSRO can be a designated contract market (DCM) or the National Futures Association.A/O Date:This is the ‘as of’ date of the financial report from which the summary financial data is taken.Adjusted Net Capital: This is the amount of regulatory capital available to meet the FCM’s minimum net capital requirement. The classification of assets and liabilities used in arriving at net capital, and the additional capital haircuts that a FCM may be required to take, are set forth in CFTC Regulation 1.17.
- Capital Requirement: The minimum net capital that each FCM must maintain is determined under CFTC Regulation 1.17(a)(1)(i). Refer to pages 7-11 through 7-12 of the Form 1-FR-FCM Instructions for more information regarding how to compute the net capital requirement.
Excess Net Capital: This is the amount by which the adjusted net capital exceeds the net capital requirement.
Customers’ 4d(a)(2) Seg Required: This represents the total amount of funds that an FCM is required to segregate on behalf of customers who are trading on designated contract markets (DCMs). This is the sum of all accounts that contain a net liquidating equity.
Customer Part 30 Secured Amount: 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.
Total Amount of Retail Forex Obligation: This represents the total amount of funds at an FCM, RFED, or FCMRFD that would be obtained by combining all money, securities and property deposited by a retail forex customer into a retail forex account or accounts, adjusted for the realized and unrealized net profit or loss.
The following list of FCM Brokers is reported by the CFTC and is the official source for all data contained on this page.
| Futures Commission Merchant / Retail Foreign Exchange Dealer |
经纪商/零售外汇交易商Reg As
类别A/O
截止日Adjusted Net Capital
调整后淨资本Net Capital Requirements
淨资本要求Excess Net Capital
淨资本盈馀Customers’ Assets in Seg
客户资产额Totl Retail Forex Obligation零售外汇债总和 UBS SECURITIES LLC
瑞銀证券有限责任公司FCM BD12/31/201112,278,665,379961,345,14711,317,320,2329,652,936,2880GOLDMAN SACHS & CO
高盛证券公司FCM BD12/31/201111,422,646,7691,908,555,5189,514,091,25121,446,768,8140JP MORGAN SECURITIES LLC
JP摩根证券有限责任公司FCM BD12/31/201111,100,234,1321,550,293,4559,549,940,67718,845,933,1800MERRILL LYNCH PIERCE FENNER & SMITH
美林集团FCM BD12/31/201110,761,042,594802,817,7609,958,224,8348,856,894,9560CREDIT SUISSE SECURITIES (USA) LLC
瑞士瑞信銀行證券有限责任公司（美国分行）FCM BD12/31/20118,413,793,9601,083,991,1957,329,802,7656,506,294,1470MORGAN STANLEY & CO LLC
摩根士丹利有限责任公司FCM BD12/31/20118,248,535,3951,033,036,1717,215,499,2245,341,062,9870DEUTSCHE BANK SECURITIES INC
德意志银行证券公司FCM BD12/31/20118,096,091,854594,609,5587,501,482,29614,724,160,0990CITIGROUP GLOBAL MARKETS INC
花旗集团FCM BD12/31/20117,773,386,855795,170,9806,978,215,87510,300,448,9630JP MORGAN CLEARING CORP
JP 摩根清算公司FCM BD12/30/20117,429,640,9021,926,555,2965,503,085,606782,180,3190BARCLAYS CAPITAL INC
英国巴克莱资本公司FCM BD12/31/20116,415,675,853994,729,8835,420,945,9706,454,489,7430MERRILL LYNCH PROFESSIONAL CLEARING CORP
美林清算公司FCM BD12/31/20113,453,901,293168,048,2543,285,853,0391,570,694,9700RBS SECURITIES INC
苏格兰皇家银行证券公司FCM BD12/31/20113,168,204,462302,314,1132,865,890,3492,406,333,2920NOMURA SECURITIES INTERNATIONAL INC
日本野村控股公司FCM BD12/31/20112,455,113,29920,916,8172,434,196,482113,797,6210NEWEDGE USA LLC
新際美國公司有限责任公司FCM BD12/31/20112,313,980,9091,338,474,054975,506,85518,960,273,3620BNP PARIBAS PRIME BROKERAGE INC
法國巴黎銀行菁英經紀公司FCM BD12/31/20112,246,207,500309,205,0951,937,002,4051,605,999,2520GOLDMAN SACHS EXECUTION & CLEARING LP
高盛清算執行公司FCM BD12/30/20112,100,793,132103,719,4711,997,073,6611,370,186,5560WELLS FARGO SECURITIES LLC
美国富国证券有限责任公司FCM BD12/31/20112,015,265,4987,853,6602,007,411,83800BNP PARIBAS SECURITIES CORP
法国巴黎银行证券公司FCM BD12/31/20111,985,533,77668,162,9091,917,370,867409,542,3630WELLS FARGO ADVISORS LLC
美国富国顧問有限责任公司FCM BD12/31/20111,448,731,4151,500,0001,447,231,41500INTERACTIVE BROKERS LLC
盈透证券有限责任公司FCM BD12/30/20111,365,792,737162,429,7311,203,363,0061,272,471,0450RBC CAPITAL MARKETS LLC
苏格兰皇家银行资本市场有限责任公司FCM BD12/30/20111,365,027,47579,422,1011,285,605,374567,519,9790UBS FINANCIAL SERVICES INC
瑞银金融服务公司FCM BD12/31/20111,181,174,373123,908,6721,057,265,701188,183,1110HSBC SECURITIES USA INC
汇丰证券（美国）INCFCM BD12/31/20111,173,678,11390,170,1721,083,507,941964,691,9380JEFFERIES & COMPANY INC
杰富瑞集团FCM BD12/31/2011974,771,79545,832,173928,939,62200MORGAN STANLEY SMITH BARNEY LLC
摩根士丹利美邦有限责任公司FCM BD12/30/2011842,942,10737,425,680805,516,427491,268,5760TIMBER HILL LLC
TIMBER HILL有限责任公司FCM BD12/31/2011826,384,61335,598,402790,786,211606,039,6190MORGAN KEEGAN & COMPANY INC
摩根KEEGAN 有限责任公司FCM BD12/31/2011546,477,7247,786,246538,691,47800CIBC WORLD MARKETS CORP
加拿大帝国商业银行全球市場集团FCM BD12/31/2011500,140,5831,500,000498,640,58300CITADEL SECURITIES LLC
CITADEL证券有限责任公司FCM BD12/31/2011460,712,4671,000,000459,712,46700STATE STREET GLOBAL MARKETS LLC
美国道富银行全球市场有限责任公司FCM BD12/31/2011435,779,6247,571,402428,208,222220,033,8290MIZUHO SECURITIES USA INC
瑞穗证券（美国）有限责任公司FCM BD12/31/2011425,295,200118,045,353307,249,847991,979,3430RAYMOND JAMES & ASSOCIATES INC
雷蒙德•詹姆斯联合有限责任公司FCM BD12/31/2011362,445,56830,476,765331,968,80300NATIXIS SECURITIES AMERICAS LLC
法国Natixis银行美洲证券有限责任公司FCM BD12/31/2011360,313,4501,500,000358,813,45000ABN AMRO CLEARING CHICAGO LLC
芝加哥荷兰银行结算有限责任公司FCM BD12/31/2011301,490,207118,881,628182,608,5792,030,880,0310DAIWA CAPITAL MARKETS AMERICA INC
美国大和资本市场有限责任公司FCM BD12/31/2011300,214,3601,338,784298,875,57611,752,2900CANTOR FITZGERALD & CO
CANTOR Fitzgerald 公司FCM BD12/30/2011284,283,0985,471,275278,811,8234,413,8250TD AMERITRADE INC
美国道明银行有限责任公司FCM BD12/31/2011276,307,1231,000,000275,307,12300JEFFERIES BACHE LLC
杰富瑞贝奇清算执行有限责任公司FCM12/31/2011263,593,000152,201,280111,391,7202,404,911,0000ADM INVESTOR SERVICES INC
ADM投资服务公司FCM12/31/2011256,605,074139,920,070116,685,0043,171,688,657968,009BNY MELLON CLEARING LLC
美国纽约银行梅隆清算有限责任公司FCM12/31/2011256,040,72510,690,002245,350,723368,470,2830MITSUBISHI UFJ SECURITIES USA INC
三菱日联证券（美国）有限责任公司FCM BD12/31/2011246,365,0601,792,429244,572,63100RJ OBRIEN ASSOCIATES LLC
RJ奧布萊恩联合有限责任公司FCM12/31/2011201,729,011126,275,36175,453,6503,726,850,2002,971,072OPPENHEIMER & CO INC
奥本海默投资集团有限责任公司FCM BD12/31/2011144,404,77322,650,394121,754,37928,672,4770PENSON FINANCIAL SERVICES INC
彭森金融服务有限责任公司FCM BD12/31/2011143,384,89526,685,879116,699,016616,309,51130,231,575OANDA CORPORATION
萬达公司集团FCMRFD12/31/2011140,452,80727,317,817113,134,9900156,356,338MACQUARIE FUTURES USA LLC
美国麦格理期货有限责任公司FCM12/31/2011136,089,70265,571,29670,518,406923,120,4810INSTINET LLC
INSTINET有限责任公司FCM BD12/31/2011131,271,0291,000,000130,271,02900FCSTONE LLC
福四通有限责任公司FCM12/31/2011116,943,99972,072,90244,871,0971,293,557,6850AMERIPRISE FINANCIAL SERVICES INC
AMERIPRISE金融服务有限责任公司FCM BD12/31/2011114,975,1131,000,000113,975,11300SANFORD C BERNSTEIN & CO LLC
桑福德·伯恩斯坦集团有限责任公司FCM BD12/31/2011111,339,78015,342,94095,996,84000NEUBERGER BERMAN LLC
纽伯格伯曼有限责任公司FCM BD12/31/2011101,768,9841,500,000100,268,98400LPL FINANCIAL LLC
美国利普乐金融集团有限责任公司FCM BD12/31/2011100,944,4137,028,02393,916,39000SANTANDER INVESTMENT SECURITIES INC
桑坦德投资证券有限责任公司FCM BD12/30/201191,705,65110,834,16680,871,485436,226,8040ROSENTHAL COLLINS GROUP LLC
罗森塔尔柯林斯集团有限责任公司FCM12/31/201191,412,56063,250,52328,162,0371,635,861,2040STEPHENS INC
斯蒂芬斯有限责任公司FCM BD12/31/201186,619,52215,203,08671,416,43600GLOBAL FUTURES & FOREX LTD
环球期货及外汇有限责任公司FCMRFD12/31/201179,672,86723,923,75855,749,109504,57388,475,168OPTIONSXPRESS INC
OPTIONSXPRESS 在线经纪商有限责任公司FCM BD12/31/201179,533,0825,408,73774,124,34593,142,9970RAND FINANCIAL SERVICES INC
RAND 金融服务有限责任公司FCM12/31/201174,546,15812,116,45162,429,707157,833,9000GUGGENHEIM SECURITIES LLC
古根海姆证券有限责任公司FCM BD12/31/201163,410,0302,239,83661,170,19400TENCO INC
TENCO有限责任公司FCM12/31/201162,124,9145,856,02956,268,885214,564,4860BGC FINANCIAL LP
BGC金融有限合伙人FCM BD12/30/201159,241,0891,000,00058,241,08900TRADESTATION SECURITIES INC
TradeStation证券公司FCM BD12/31/201154,719,5072,544,83652,174,671439,657,0730ICAP CORPORATES LLC
ICAP债券有限责任公司FCM BD12/31/201152,288,0421,000,00051,288,04200ROSENTHAL GLOBAL SECURITIES LLC
ROSENTHAL全球证券有限责任公司FCM BD12/31/201142,604,0411,000,00041,604,04100FX SOLUTIONS LLC
FX SOLUTIONS有限责任公司FCMRFD12/31/201141,409,11120,376,20821,032,903017,524,164ENSKILDA FUTURES LTD
ENSKILDA期货有限责任公司FCM12/30/201138,846,22820,910,87817,935,350343,987,4360GAIN CAPITAL GROUP LLC
嘉盛集团有限责任公司FCMRFD12/31/201135,700,90024,629,97211,070,9280102,599,438WELLS FARGO ADVISORS FINANCIAL NETWORK LLC
富国银行金融网络顾问有限责任公司FCM BD12/31/201134,947,9042,949,72131,998,18300PEREGRINE FINANCIAL GROUP INC
百富勤金融集团有限责任公司FCM12/31/201133,644,88821,089,33212,555,556521,931,44231,786,635FOREX CAPITAL MARKETS LLC
福汇集团有限责任公司FCMRFD12/31/201131,243,10126,735,1644,507,9370144,703,279VISION FINANCIAL MARKETS LLC
远景金融市场有限责任公司FCM BD12/31/201129,815,8726,784,50223,031,370377,436,8410TRADELINK LLC
贸易通有限责任公司FCM BD12/31/201129,804,2511,000,00028,804,25100FXDIRECTDEALER LLC
FXDIRECTDEALER 有限责任公司FCMRFD12/31/201127,886,60121,286,0766,600,525035,721,539ALPARI (US) LLC
美国艾福瑞有限责任公司FCMRFD12/31/201125,397,94120,033,5695,364,372289,07310,671,378TRADESTATION FOREX INC
TRADESTATION外汇有限责任公司RFED12/31/201125,235,60423,076,5952,159,009071,531,907MB TRADING FUTURES INC
MB买卖期货公司FCMRFD12/31/201125,101,76321,140,4283,961,335032,808,570XPRESSTRADE LLC
XPRESSTRADE有限责任公司RFED12/31/201122,972,45220,000,0002,972,45201,444,758FOREX CLUB LLC
福瑞斯国际有限责任公司FCMRFD12/30/201122,923,33822,000,000923,33803,461,914ADVANTAGE FUTURES LLC
ADVANTAGE期货有限责任公司FCM12/31/201120,606,73510,954,0829,652,653464,261,4490ADVANCED MARKETS LLC
ADVANTAGE市场有限责任公司FCMRFD12/31/201120,542,74220,000,000542,74201,753,586COUNTRY HEDGING INC
COUNTRY对冲有限责任公司FCM12/31/201120,279,15014,157,6386,121,512202,565,5140INSTITUTIONAL LIQUIDITY LLC
INSTITUTIONAL LIQUIDITY有限责任公司FCMRFD12/31/201120,066,04220,000,00066,04208,804,848MAREX NORTH AMERICA LLC
MAREX 北美有限责任公司FCM12/31/201116,632,5777,333,0849,299,493117,719,8860MCVEAN TRADING & INVESTMENTS LLC
MCVEAN交易投资有限责任公司FCM12/30/201114,363,8921,715,16012,648,732881,697,9600MID CO COMMODITIES INC
MID CO COMMODITIES有限责任公司FCM12/31/201112,602,7205,261,8167,340,90439,768,9010CROSSLAND LLC
美国新大陆期货经纪有限公司FCM12/31/20119,686,8324,162,9585,523,87492,156,3390DORMAN TRADING LLC
多尔曼贸易有限责任公司FCM12/31/20119,337,4331,530,4807,806,953128,220,2600GH FINANCIALS LLC
GH金融有限责任公司FCM12/31/20119,316,0921,000,0008,316,09200PHILLIP FUTURES INC
PHILLIP期货有限责任公司FCM12/31/20119,216,8121,901,0647,315,74862,072,8110IKON GLOBAL MARKETS INC
IKON全球市场有限责任公司FCM12/31/20119,069,6581,000,0008,069,65822,429,5150LEK SECURITIES CORPORATION
LEK证券集团FCM BD12/31/20118,362,8121,500,0006,862,8123,758,1610STRAITS FINANCIAL LLC
STRAITS金融有限责任公司FCM12/31/20118,175,1171,599,8096,575,30840,527,3600EAGLE MARKET MAKERS INC
EAGLE市场有限责任公司FCM12/30/20116,850,2651,000,0005,850,2651,151,7620MBF CLEARING CORP
MBF清算集团FCM12/31/20116,206,2901,000,0005,206,29059,458,7640CX CAPITAL MARKETS LLC
CX CAPITAL市场有限责任公司FCM12/31/20113,476,1051,000,0002,476,10526,648,7570ITG DERIVATIVES LLC
ITG衍生商品有限责任公司FCM BD12/31/20113,458,8751,000,0002,458,87500LINN GROUP THE
林恩集团FCM12/31/20113,266,5041,424,9261,841,57863,251,5370CUNNINGHAM COMMODITIES LLC
CUNNINGHAM大宗商品有限责任公司FCM12/31/20113,264,2551,195,9252,068,33054,817,1880OPEN E CRY LLC
OPEN E CRY有限责任公司FCM12/31/20113,042,3321,098,6701,943,66290,875,6540CAPITAL MARKET SERVICES LLC
CAPITAL市场服务有限责任公司FCM12/31/20113,029,3241,000,0002,029,32400IRONBEAM INC
IRONBEAM有限责任公司FCM12/31/20112,954,6741,000,0001,954,67440,543,7570MITSUI BUSSAN COMMODITIES USA INC
MITSUI BUSSAN大宗商品美国有限责任公司FCM12/31/20112,872,8481,000,0001,872,84800FRIEDBERG MERCANTILE GROUP INC
弗里德贝格商业集团公司FCM12/31/20112,822,3651,000,0001,822,36512,892,4490WHITE COMMERCIAL CORPORATION
WHITE COMMERCIAL集团FCM12/30/20112,706,9101,000,0001,706,91000PIONEER FUTURES INC
PIONEER期货有限责任公司FCM12/31/20112,457,5631,000,0001,457,56300MAREX USA LIMITED
MAREX美国有限责任公司FCM12/31/20112,354,1401,000,0001,354,14000FRONTIER FUTURES INC
FRONTIER期货有限责任公司FCM12/31/20111,921,6031,000,000921,60330,978,1930AMP GLOBAL CLEARING LLC
澳大利亚AMP全球清算有限责任公司FCM12/31/20111,804,3211,000,000804,32134,018,1450STERLING COMMODITIES CORP
STERLING大宗商品集团FCM12/31/20111,704,3951,000,000704,39500EASY FOREX US LTD
EASY外汇交易美国有限责任公司FCM12/31/20111,686,1031,000,000686,10300VELOCITY FUTURES LLC
VELOCITY期货有限责任公司FCM12/31/20111,675,5121,000,000675,51272,371,3550YORK BUSINESS ASSOCIATES LLC
YORK BUSINESS联合有限责任公司FCM12/31/20111,613,6291,000,000613,62975,180,6080FUTURES TECH LLC
期货科技有限责任公司FCM12/31/20111,585,1371,000,000585,13700INTEGRATED BROKERAGE SERVICES LLC
综合经纪服务有限公司FCM12/31/20111,548,4461,000,000548,4461,0580TRADITION SECURITIES AND FUTURES INC
传统证券期货有限责任公司FCM12/31/20111,515,7051,000,000515,70500COMMONWEALTH FOREIGN EXCHANGE INC
澳洲联邦银行外汇交易有限责任公司FCM12/31/20111,097,6001,000,00097,60000 總計 156,069,614,004741,814,178
Description of Report Data Fields
- The summary table shows the following columns of information:Reg As: FCM: Futures Commission Merchant that is registered with the Commodity Futures Trading Commission;BD: The FCM is also registered with the Securities and Exchange Commission as a securities broker or dealer;RFED: Retail Foreign Exchange Dealer that is registered with the Commodity Futures Trading Commission;FCMRFD: The FCM is also registered with the Commodity Futures Trading Commission as a Retail Foreign Exchange Dealer.DSRO:This column identifies the firm’s Designated Self-Regulatory Organization (DSRO). A DSRO is the organization that is primarily responsible for conducting audits of and ongoing financial surveillance over the firm. A DSRO can be a designated contract market (DCM) or the National Futures Association.A/O Date:This is the ‘as of’ date of the financial report from which the summary financial data is taken.Adjusted Net Capital: This is the amount of regulatory capital available to meet the FCM’s minimum net capital requirement. The classification of assets and liabilities used in arriving at net capital, and the additional capital haircuts that a FCM may be required to take, are set forth in CFTC Regulation 1.17.
- Capital Requirement: The minimum net capital that each FCM must maintain is determined under CFTC Regulation 1.17(a)(1)(i). Refer to pages 7-11 through 7-12 of the Form 1-FR-FCM Instructions for more information regarding how to compute the net capital requirement.
Excess Net Capital: This is the amount by which the adjusted net capital exceeds the net capital requirement.
Customers’ 4d(a)(2) Seg Required: This represents the total amount of funds that an FCM is required to segregate on behalf of customers who are trading on designated contract markets (DCMs). This is the sum of all accounts that contain a net liquidating equity.
Customer Part 30 Secured Amount: 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.
Total Amount of Retail Forex Obligation: This represents the total amount of funds at an FCM, RFED, or FCMRFD that would be obtained by combining all money, securities and property deposited by a retail forex customer into a retail forex account or accounts, adjusted for the realized and unrealized net profit or loss.