Top FCM Brokers by Assets 2011

The following list of FCM Brokers is reported by the CFTC and is the official source for all data contained on this page.

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• 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.

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.