Bloomberg News

CFTC-Registered Firms’ Excess Net Capital for April

June 26, 2012

Following is a table detailing Futures Commission Merchants’ excess net capital as of the end of April. These firms act as brokers for any commodity for future delivery on or subject to the rules of any exchange. They must file monthly financial reports with the Commodity Futures Trading Commission.

Excess net capital is the amount by which adjusted net capital exceeds the net capital requirement as set by the CFTC.

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                                           April           March            Jan.
                                            2012            2012            2012
================================================================================
GOLDMAN SACHS & CO               $11,628,295,561  $9,405,724,401  $9,871,344,906
UBS SECURITIES LLC               $11,617,789,728 $11,000,538,661 $11,456,373,367
MERRILL LYNCH PIERCE FENNER & SM $10,028,422,380 $10,249,401,589  $9,864,162,913
JP MORGAN SECURITIES LLC          $9,914,670,542  $9,589,603,429  $8,845,093,344
DEUTSCHE BANK SECURITIES INC      $7,558,919,857  $8,002,060,647  $7,948,708,776
CREDIT SUISSE SECURITIES (USA) L  $7,003,093,601  $6,756,164,514  $6,279,018,745
MORGAN STANLEY & CO LLC           $6,862,776,028  $6,977,534,317  $7,269,534,502
================================================================================
                                           April           March            Jan.
                                            2012            2012            2012
================================================================================
CITIGROUP GLOBAL MARKETS INC      $6,529,781,244  $7,167,465,963  $7,028,866,096
JP MORGAN CLEARING CORP           $5,284,739,772  $5,320,558,865  $5,126,892,334
BARCLAYS CAPITAL INC              $4,668,315,823  $5,088,444,247  $5,367,654,060
RBS SECURITIES INC                $3,303,223,830  $3,275,018,327  $3,073,901,452
WELLS FARGO SECURITIES LLC        $2,183,082,054  $1,721,265,662  $1,985,713,718
NOMURA SECURITIES INTERNATIONAL   $2,045,467,022  $2,370,687,124  $2,326,927,404
GOLDMAN SACHS EXECUTION & CLEARI  $2,021,741,286  $1,924,312,954  $1,971,639,794
BNP PARIBAS PRIME BROKERAGE INC   $1,906,096,776  $1,875,279,013  $1,871,619,932
BNP PARIBAS SECURITIES CORP       $1,882,391,845  $1,797,757,679  $1,742,229,245
MERRILL LYNCH PROFESSIONAL CLEAR  $1,648,385,345  $1,868,888,526  $1,973,269,862
MORGAN STANLEY SMITH BARNEY LLC   $1,375,648,501  $1,076,656,416    $921,537,361
INTERACTIVE BROKERS LLC           $1,334,246,380  $1,095,097,604  $1,032,943,119
RBC CAPITAL MARKETS LLC           $1,281,475,973  $1,369,019,381  $1,360,742,421
HSBC SECURITIES USA INC           $1,070,508,394    $994,736,127  $1,007,370,813
UBS FINANCIAL SERVICES INC        $1,018,193,579  $1,019,902,397  $1,057,785,487
WELLS FARGO ADVISORS LLC            $986,778,042  $1,510,599,880  $1,469,624,329
NEWEDGE USA LLC                     $913,322,793    $873,679,054    $902,985,158
================================================================================
                                           April           March            Jan.
                                            2012            2012            2012
================================================================================
TIMBER HILL LLC                     $795,644,583    $796,154,381    $770,038,009
JEFFERIES & COMPANY INC             $721,492,849    $915,566,652    $745,975,529
CIBC WORLD MARKETS CORP             $499,188,865    $509,542,767    $493,347,697
STATE STREET GLOBAL MARKETS LLC     $437,304,078    $434,614,381    $442,946,564
CITADEL SECURITIES LLC              $375,817,295    $417,430,562    $492,900,597
NATIXIS SECURITIES AMERICAS LLC     $362,670,837    $346,192,387    $350,450,052
TD AMERITRADE INC                   $331,354,369    $313,012,977    $295,595,972
DAIWA CAPITAL MARKETS AMERICA IN    $312,498,000    $306,793,927    $277,119,894
RAYMOND JAMES & ASSOCIATES INC      $289,155,902    $334,799,513    $366,248,528
BNY MELLON CLEARING LLC             $258,069,268    $251,756,416    $250,203,342
MORGAN KEEGAN & COMPANY INC         $253,996,133    $546,473,779    $547,271,542
MIZUHO SECURITIES USA INC           $238,609,215    $262,926,863    $263,323,517
MITSUBISHI UFJ SECURITIES USA IN    $231,613,510    $225,311,689    $240,481,962
CANTOR FITZGERALD & CO              $200,849,055    $253,617,280    $255,805,212
ABN AMRO CLEARING CHICAGO LLC       $131,023,768    $176,377,485    $155,544,564
OPPENHEIMER & CO INC                $121,631,048    $137,637,594    $133,459,685
ADM INVESTOR SERVICES INC           $120,695,312    $110,697,514    $107,493,397
================================================================================
                                           April           March            Jan.
                                            2012            2012            2012
================================================================================
LPL FINANCIAL LLC                   $120,578,764    $116,228,338    $109,399,588
SANFORD C BERNSTEIN & CO LLC        $119,674,599    $109,379,571    $105,418,950
INSTINET LLC                        $116,630,824    $122,069,218    $123,584,546
OANDA CORPORATION                   $102,930,380    $112,699,018    $120,584,321
AMERIPRISE FINANCIAL SERVICES IN     $93,323,740     $64,724,198     $67,282,696
PENSON FINANCIAL SERVICES INC        $90,882,567     $76,613,906    $114,645,034
SANTANDER INVESTMENT SECURITIES      $88,953,390    $189,443,391    $282,300,921
MACQUARIE FUTURES USA LLC            $86,277,472     $76,081,491     $78,307,437
JEFFERIES BACHE LLC                  $83,985,760     $74,238,240     $79,284,000
STEPHENS INC                         $75,788,902     $80,177,691     $69,469,111
OPTIONSXPRESS INC                    $64,749,126     $69,367,535     $67,565,796
GUGGENHEIM SECURITIES LLC            $63,463,527     $53,356,638     $66,766,448
RAND FINANCIAL SERVICES INC          $60,718,873     $58,568,531     $59,426,284
BGC FINANCIAL LP                     $59,717,568     $47,048,411     $53,666,070
RJ OBRIEN ASSOCIATES LLC             $51,619,164     $56,307,329     $69,312,714
ICAP CORPORATES LLC                  $48,507,121     $48,536,914     $48,013,056
TENCO INC                            $48,235,350     $56,616,388     $56,708,982
================================================================================
                                           April           March            Jan.
                                            2012            2012            2012
================================================================================
GLOBAL FUTURES & FOREX LTD           $45,611,080     $54,933,848     $53,486,025
TRADESTATION SECURITIES INC          $45,600,429     $45,185,420     $47,355,737
WELLS FARGO ADVISORS FINANCIAL N     $44,594,318     $36,830,030     $39,974,404
NEUBERGER BERMAN LLC                 $38,219,538     $34,873,242     $23,848,889
FCSTONE LLC                          $35,979,677     $37,003,020     $43,550,725
GAIN CAPITAL GROUP LLC               $24,929,644     $24,979,673     $36,572,093
ENSKILDA FUTURES LTD                 $21,996,135     $20,672,986     $20,106,089
ROSENTHAL COLLINS GROUP LLC          $18,649,806     $28,279,606     $15,570,135
TRADELINK LLC                        $11,477,097     $14,401,216     $20,047,127
FOREX CAPITAL MARKETS LLC            $10,162,334     $43,926,441     $10,912,693
ADVANTAGE FUTURES LLC                 $9,886,100      $9,715,293      $9,683,718
MCVEAN TRADING & INVESTMENTS LLC      $9,823,998     $10,334,940     $11,004,745
PEREGRINE FINANCIAL GROUP INC         $9,533,749     $10,213,043     $11,513,249
IKON GLOBAL MARKETS INC               $8,907,867     $14,384,070      $3,105,458
VISION FINANCIAL MARKETS LLC          $8,644,980     $17,487,260     $19,609,366
GH FINANCIALS LLC                     $7,796,823      $8,058,854      $8,159,941
LEK SECURITIES CORPORATION            $7,659,681      $9,530,018      $8,695,057
================================================================================
                                           April           March            Jan.
                                            2012            2012            2012
================================================================================
DORMAN TRADING LLC                    $7,656,578      $8,165,477      $7,451,060
COUNTRY HEDGING INC                   $7,368,335      $3,646,081      $6,025,634
MAREX NORTH AMERICA LLC               $6,330,668      $7,654,609      $8,826,914
PHILLIP FUTURES INC                   $6,310,964      $7,373,189      $7,541,691
FX SOLUTIONS LLC                      $6,087,617     $13,743,753     $19,555,336
EAGLE MARKET MAKERS INC               $5,202,123      $6,264,424      $5,672,718
MID CO COMMODITIES INC                $5,180,787      $2,153,723      $2,466,033
STRAITS FINANCIAL LLC                 $4,905,110      $5,814,815      $6,028,995
XPRESSTRADE LLC                       $2,987,039      $3,016,858      $2,985,018
ITG DERIVATIVES LLC                   $2,880,320      $2,254,399      $2,646,817
CROSSLAND LLC                         $2,663,741      $5,439,112      $5,105,132
MB TRADING FUTURES INC                $2,563,666    -$17,622,642      $3,583,948
CX CAPITAL MARKETS LLC                $2,376,794      $2,430,170      $2,438,934
TRADESTATION FOREX INC                $2,217,210      $1,255,168       -$171,308
MAREX USA LIMITED                     $2,156,730      $1,629,658      $1,396,631
FXDIRECTDEALER LLC                    $2,153,049      $6,373,506      $5,842,354
FOREX CLUB LLC                        $2,049,314        $280,354        $187,518
================================================================================
                                           April           March            Jan.
                                            2012            2012            2012
================================================================================
IRONBEAM INC                          $2,010,532      $1,787,667      $1,707,316
MITSUI BUSSAN COMMODITIES USA IN      $1,959,908      $1,902,366      $1,880,697
FRIEDBERG MERCANTILE GROUP INC        $1,785,157      $1,707,266      $1,810,904
WHITE COMMERCIAL CORPORATION          $1,394,218      $1,263,626      $1,256,921
CAPITAL MARKET SERVICES LLC           $1,356,540      $1,761,557      $1,656,471
OPEN E CRY LLC                        $1,278,273      $1,559,924      $1,741,802
INSTITUTIONAL LIQUIDITY LLC           $1,262,896      $2,016,004        $142,670
LINN GROUP THE                        $1,136,190      $1,330,232      $1,493,673
CUNNINGHAM COMMODITIES LLC            $1,114,429      $1,729,891      $2,168,148
YORK BUSINESS ASSOCIATES LLC            $934,397        $849,770        $650,074
ALPARI (US) LLC                         $922,364      $6,486,646      $3,897,423
FRONTIER FUTURES INC                    $918,962        $908,474        $900,265
STERLING COMMODITIES CORP               $917,629        $860,908        $779,838
COMMONWEALTH FOREIGN EXCHANGE IN        $835,161        $568,638        $660,087
AMP GLOBAL CLEARING LLC                 $824,952      $1,082,140        $837,837
MBF CLEARING CORP                       $775,053      $1,241,136      $1,489,337
PIONEER FUTURES INC                     $702,726      $1,045,281      $1,195,729
================================================================================
                                           April           March            Jan.
                                            2012            2012            2012
================================================================================
VELOCITY FUTURES LLC                    $678,123        $142,290         $91,003
EASY FOREX US LTD                       $599,908        $642,706        $663,365
TRADITION SECURITIES AND FUTURES        $514,665        $515,984        $515,857
ADVANCED MARKETS LLC                    $388,886        $514,940        $523,266
INTEGRATED BROKERAGE SERVICES LL        $313,961        -$22,751         $39,360
ALLIANZ GLOBAL INVESTORS DISTRIB              $0              $0              $0
FUTURES TECH LLC                              $0        $558,583        $566,857
INTERBANK FX LLC                              $0              $0              $0
LIMESTONE TRADING LLC                         $0              $0              $0
PENSON FUTURES                                $0              $0              $0
ROSENTHAL GLOBAL SECURITIES LLC               $0     $33,500,947     $33,593,097
TOWER RESEARCH CAPITAL EUROPE LL              $0              $0              $0
================================================================================
NOTE: A firm’s net capital requirement is the greater of: (1) $250,000,
(2) risk based capital requirement, the sum of 8% of total customer
risk maintenance margin and 4% of total noncustomer
risk maintenance margin; or (3) the amount of capital
================================================================================
                                           April           March            Jan.
                                            2012            2012            2012
================================================================================
required by a registered futures association; (4) for
securities brokers and dealers, the amount of net capital
required by Rule 15c3-1(a) of the Securities Exchange
Commission.

To contact the reporter on this story: Stephen Rose in Washington at srose31@bloomberg.net

To contact the editor responsible for this story: Alex Tanzi at atanzi@bloomberg.net


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