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.

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

• 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.