Bloomberg News

CFTC-Registered Firms’ Adjusted Net Capital for June

August 07, 2012

Following is a table detailing Futures Commission Merchants’ adjusted net capital as of the end of June. 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.

Adjusted net capital is the amount of regulatory capital available to meet the minimum net capital requirement as set by the CFTC.

================================================================================
                                            June             May           April
                                            2012            2012            2012
================================================================================
GOLDMAN SACHS & CO               $13,785,931,682 $13,538,688,284 $13,416,695,211
UBS SECURITIES LLC               $12,702,785,359 $12,320,178,288 $12,582,334,177
JP MORGAN SECURITIES LLC         $11,780,440,354 $11,240,604,463 $11,399,444,315
MERRILL LYNCH PIERCE FENNER & SM $10,794,177,946 $10,834,447,265 $10,718,465,931
DEUTSCHE BANK SECURITIES INC      $8,211,457,820  $8,633,246,021  $8,192,369,152
JP MORGAN CLEARING CORP           $7,285,889,759  $7,401,278,547  $7,411,663,112
================================================================================
                                            June             May           April
                                            2012            2012            2012
================================================================================
CITIGROUP GLOBAL MARKETS INC      $7,073,235,358  $7,214,312,252  $7,295,350,818
MORGAN STANLEY & CO LLC           $6,943,064,123  $8,293,714,588  $8,025,640,640
BARCLAYS CAPITAL INC              $6,222,923,768  $5,353,348,418  $5,684,245,751
CREDIT SUISSE SECURITIES (USA) L  $5,425,036,788  $6,265,605,098  $8,202,173,337
RBS SECURITIES INC                $3,992,096,755  $3,678,271,066  $3,538,384,499
BNP PARIBAS PRIME BROKERAGE INC   $2,260,261,212  $2,248,010,343  $2,218,924,472
WELLS FARGO SECURITIES LLC        $2,240,459,428  $1,980,046,651  $2,194,199,865
GOLDMAN SACHS EXECUTION & CLEARI  $2,140,484,099  $2,089,948,010  $2,162,051,933
NOMURA SECURITIES INTERNATIONAL   $2,098,655,125  $1,977,776,543  $2,106,748,544
MORGAN STANLEY SMITH BARNEY LLC   $1,909,542,814  $2,021,927,538  $1,415,049,743
BNP PARIBAS SECURITIES CORP       $1,892,013,466  $1,902,949,805  $1,980,470,420
NEWEDGE USA LLC                   $1,881,430,972  $1,891,477,765  $2,222,107,150
MERRILL LYNCH PROFESSIONAL CLEAR  $1,700,177,129  $1,628,442,907  $1,844,163,483
RBC CAPITAL MARKETS LLC           $1,471,159,802  $1,320,072,770  $1,372,860,295
INTERACTIVE BROKERS LLC           $1,397,619,128  $1,442,062,645  $1,533,980,125
WELLS FARGO ADVISORS LLC          $1,191,931,698  $1,192,753,166    $988,278,042
UBS FINANCIAL SERVICES INC        $1,176,521,601  $1,186,853,533  $1,128,643,145
================================================================================
                                            June             May           April
                                            2012            2012            2012
================================================================================
HSBC SECURITIES USA INC           $1,138,001,749              $0  $1,166,571,037
JEFFERIES & COMPANY INC             $849,471,878    $770,625,222    $770,359,683
TIMBER HILL LLC                     $713,749,776    $769,824,460    $836,249,994
CIBC WORLD MARKETS CORP             $468,849,337    $491,184,495    $500,688,865
STATE STREET GLOBAL MARKETS LLC     $453,405,518    $455,190,531    $446,807,640
CITADEL SECURITIES LLC              $348,000,572    $393,451,858    $376,817,295
NATIXIS SECURITIES AMERICAS LLC     $344,879,520    $359,892,089    $364,170,837
MIZUHO SECURITIES USA INC           $317,924,569    $368,738,103    $363,762,296
DAIWA CAPITAL MARKETS AMERICA IN    $317,863,082    $298,952,460    $316,425,264
RAYMOND JAMES & ASSOCIATES INC      $299,648,559    $332,713,852    $319,779,650
ADM INVESTOR SERVICES INC           $275,200,366    $270,105,683    $269,956,721
BNY MELLON CLEARING LLC             $258,667,204              $0    $263,182,380
CANTOR FITZGERALD & CO              $255,894,233    $208,526,675    $209,707,360
ABN AMRO CLEARING CHICAGO LLC       $254,726,542    $314,615,296    $289,577,908
MITSUBISHI UFJ SECURITIES USA IN    $237,878,300    $235,113,488    $232,668,328
JEFFERIES BACHE LLC                 $232,105,000    $225,615,000    $232,742,000
MORGAN KEEGAN & COMPANY INC         $223,265,170    $245,065,185    $261,837,840
================================================================================
                                            June             May           April
                                            2012            2012            2012
================================================================================
TD AMERITRADE INC                   $218,174,050    $208,307,217    $337,015,286
RJ OBRIEN ASSOCIATES LLC            $191,540,198    $194,786,928    $184,629,930
SANTANDER INVESTMENT SECURITIES     $169,516,414    $104,908,111    $100,303,957
SANFORD C BERNSTEIN & CO LLC        $154,910,796    $146,254,051    $135,324,190
OANDA CORPORATION                   $144,791,984    $153,489,312    $131,948,887
OPPENHEIMER & CO INC                $142,355,495    $140,171,682    $145,769,064
AMERIPRISE FINANCIAL SERVICES IN    $134,540,671    $131,107,388     $94,323,740
MACQUARIE FUTURES USA LLC           $131,334,999    $135,602,202    $141,392,525
LPL FINANCIAL LLC                   $124,777,229    $132,196,165    $126,735,660
FCSTONE LLC                         $109,969,187    $101,973,786    $103,286,065
INSTINET LLC                        $109,161,451    $117,051,836    $118,371,672
ROSENTHAL COLLINS GROUP LLC          $90,131,340     $81,672,323     $80,613,992
STEPHENS INC                         $83,974,947     $91,887,838     $89,288,959
RAND FINANCIAL SERVICES INC          $75,954,158     $75,241,526     $74,683,417
GUGGENHEIM SECURITIES LLC            $71,107,989     $68,825,405     $65,675,259
GLOBAL FUTURES & FOREX LTD           $70,761,096     $63,862,026     $69,468,438
OPTIONSXPRESS INC                    $70,712,983     $75,255,228     $69,919,234
================================================================================
                                            June             May           April
                                            2012            2012            2012
================================================================================
BGC FINANCIAL LP                     $63,166,104     $53,013,705     $60,717,568
FOREX CAPITAL MARKETS LLC            $58,098,494     $42,731,671     $37,300,522
GAIN CAPITAL GROUP LLC               $56,721,650     $41,154,509     $49,636,362
TENCO INC                            $56,003,323     $55,728,244     $55,463,667
TRADESTATION SECURITIES INC          $50,626,466     $49,599,044     $48,888,812
ICAP CORPORATES LLC                  $44,325,866     $50,188,275     $50,202,954
ENSKILDA FUTURES LTD                 $39,362,029     $32,799,351     $40,681,534
WELLS FARGO ADVISORS FINANCIAL N     $35,328,090     $42,799,259     $45,594,318
PHILLIP FUTURES INC                  $28,162,840      $8,998,214      $9,202,841
ALPARI (US) LLC                      $27,819,437     $27,932,207     $21,059,569
FX SOLUTIONS LLC                     $27,260,354     $26,327,006     $26,479,415
FXDIRECTDEALER LLC                   $26,628,501     $24,931,286     $23,640,224
VISION FINANCIAL MARKETS LLC         $24,036,632     $18,614,189     $19,990,952
MB TRADING FUTURES INC               $23,546,477     $23,358,991     $23,730,634
XPRESSTRADE LLC                      $22,980,090     $22,986,326     $22,987,039
FOREX CLUB LLC                       $22,275,271     $23,076,201     $22,049,314
INSTITUTIONAL LIQUIDITY LLC          $21,717,664     $21,918,038     $21,385,148
================================================================================
                                            June             May           April
                                            2012            2012            2012
================================================================================
ADVANTAGE FUTURES LLC                $20,579,736     $20,832,710     $21,838,030
COUNTRY HEDGING INC                  $20,373,223     $16,608,582     $20,516,459
ADVANCED MARKETS LLC                 $20,362,708     $20,410,329     $20,388,886
TRADELINK LLC                        $15,157,847     $17,323,506     $12,477,097
MCVEAN TRADING & INVESTMENTS LLC     $14,202,527     $14,366,566     $13,822,762
MAREX NORTH AMERICA LLC              $13,043,127     $13,486,376     $14,309,910
NEUBERGER BERMAN LLC                 $12,705,827     $54,507,051     $39,719,538
LEK SECURITIES CORPORATION           $11,833,919              $0      $9,159,681
IKON GLOBAL MARKETS INC              $10,316,943     $10,284,678      $9,907,867
MID CO COMMODITIES INC               $10,017,182      $9,993,161      $9,983,006
STRAITS FINANCIAL LLC                 $9,682,659      $6,531,241      $7,068,838
DORMAN TRADING LLC                    $9,376,476      $8,751,485      $9,511,102
GH FINANCIALS LLC                     $8,656,158      $8,613,888      $8,796,823
CROSSLAND LLC                         $7,539,793      $7,825,382      $7,462,789
EAGLE MARKET MAKERS INC               $5,950,618      $5,832,105      $6,202,123
ITG DERIVATIVES LLC                   $4,112,650      $3,864,079      $3,880,320
CX CAPITAL MARKETS LLC                $3,372,850      $3,368,065      $3,376,794
================================================================================
                                            June             May           April
                                            2012            2012            2012
================================================================================
CUNNINGHAM COMMODITIES LLC            $2,960,015      $3,086,464      $2,701,047
MITSUI BUSSAN COMMODITIES USA IN      $2,953,627      $3,108,730      $2,959,908
FRIEDBERG MERCANTILE GROUP INC        $2,811,370      $2,793,574      $2,785,157
CAPITAL MARKET SERVICES LLC           $2,799,393      $2,663,213      $2,356,540
MAREX USA LIMITED                     $2,790,572      $2,778,627      $3,156,730
LINN GROUP THE                        $2,707,438      $2,815,586      $2,870,028
IRONBEAM INC                          $2,553,569      $2,974,298      $3,010,532
WHITE COMMERCIAL CORPORATION          $2,543,586      $2,365,734      $2,394,218
AMP GLOBAL CLEARING LLC               $2,527,606      $2,488,451      $2,324,952
YORK BUSINESS ASSOCIATES LLC          $2,172,650      $2,125,580      $1,934,397
FRONTIER FUTURES INC                  $1,949,384      $1,901,227      $1,918,962
COMMONWEALTH FOREIGN EXCHANGE IN      $1,892,429      $1,590,595      $1,835,161
PIONEER FUTURES INC                   $1,797,974      $1,756,712      $1,702,726
VELOCITY FUTURES LLC                  $1,623,646      $1,699,275      $1,678,123
OPEN E CRY LLC                        $1,567,930      $1,974,199      $2,513,336
EASY FOREX US LTD                     $1,540,886      $1,565,173      $1,599,908
TRADITION SECURITIES AND FUTURES      $1,514,777      $1,514,809      $1,514,665
================================================================================
                                            June             May           April
                                            2012            2012            2012
================================================================================
INTEGRATED BROKERAGE SERVICES LL      $1,315,009      $1,324,702      $1,313,961
MBF CLEARING CORP                     $1,311,027      $1,486,662      $1,775,053
================================================================================
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
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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