Bloomberg News

CFTC-Registered Firms’ Adjusted Net Capital for August

October 11, 2012

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

================================================================================
                                            Aug.            July            June
                                            2012            2012            2012
================================================================================
GOLDMAN SACHS & CO               $14,289,569,423 $13,778,006,457 $13,785,931,682
UBS SECURITIES LLC               $12,825,296,146 $12,886,820,403 $12,702,785,359
JP MORGAN SECURITIES LLC         $12,480,762,017 $11,538,515,101 $11,780,440,354
MERRILL LYNCH PIERCE FENNER & SM $11,008,349,620 $10,861,670,251 $10,794,177,946
DEUTSCHE BANK SECURITIES INC      $8,506,140,131  $7,487,736,110  $8,211,457,820
JP MORGAN CLEARING CORP           $7,125,726,316  $7,146,601,812  $7,285,889,759
================================================================================
                                            Aug.            July            June
                                            2012            2012            2012
================================================================================
MORGAN STANLEY & CO LLC           $7,045,693,387  $7,112,653,198  $6,943,064,123
CITIGROUP GLOBAL MARKETS INC      $6,892,531,891  $6,608,569,345  $7,073,235,358
CREDIT SUISSE SECURITIES (USA) L  $6,696,626,428  $4,998,422,775  $5,425,036,788
BARCLAYS CAPITAL INC              $6,033,985,324  $5,794,539,206  $6,222,923,768
RBS SECURITIES INC                $4,330,720,274  $4,059,387,843  $3,992,096,755
WELLS FARGO SECURITIES LLC        $2,550,662,718  $2,396,750,473  $2,240,459,428
MORGAN STANLEY SMITH BARNEY LLC   $2,395,476,726  $2,333,299,759  $1,909,542,814
BNP PARIBAS PRIME BROKERAGE INC   $2,198,458,633  $2,163,259,385  $2,260,261,212
GOLDMAN SACHS EXECUTION & CLEARI  $2,154,842,146  $2,153,269,130  $2,140,484,099
MERRILL LYNCH PROFESSIONAL CLEAR  $2,011,401,591  $1,678,386,196  $1,700,177,129
BNP PARIBAS SECURITIES CORP       $1,981,059,082  $1,901,950,906  $1,892,013,466
NOMURA SECURITIES INTERNATIONAL   $1,945,294,031  $2,099,518,833  $2,098,655,125
NEWEDGE USA LLC                   $1,920,783,169  $1,886,212,459  $1,881,430,972
INTERACTIVE BROKERS LLC           $1,576,904,569  $1,480,962,895  $1,397,619,128
RBC CAPITAL MARKETS LLC           $1,411,766,308  $1,481,123,323  $1,471,159,802
UBS FINANCIAL SERVICES INC        $1,210,918,705  $1,211,488,129  $1,176,521,601
WELLS FARGO ADVISORS LLC          $1,172,204,841  $1,278,867,070  $1,191,931,698
================================================================================
                                            Aug.            July            June
                                            2012            2012            2012
================================================================================
HSBC SECURITIES USA INC           $1,158,847,283  $1,135,249,968  $1,138,001,749
JEFFERIES & COMPANY INC             $802,206,883    $797,767,827    $849,471,878
TIMBER HILL LLC                     $709,997,568    $626,587,102    $713,749,776
CIBC WORLD MARKETS CORP             $509,605,365    $459,763,103    $468,849,337
STATE STREET GLOBAL MARKETS LLC     $464,075,710    $459,003,934    $453,405,518
MIZUHO SECURITIES USA INC           $437,490,046    $320,580,014    $317,924,569
CITADEL SECURITIES LLC              $408,563,303    $423,750,422    $348,000,572
NATIXIS SECURITIES AMERICAS LLC     $356,116,147    $339,608,511    $344,879,520
RAYMOND JAMES & ASSOCIATES INC      $320,649,399    $331,399,500    $299,648,559
ABN AMRO CLEARING CHICAGO LLC       $301,918,734    $300,773,057    $254,726,542
DAIWA CAPITAL MARKETS AMERICA IN    $289,532,088    $333,544,207    $317,863,082
ADM INVESTOR SERVICES INC           $282,918,608    $284,736,953    $275,200,366
MORGAN KEEGAN & COMPANY INC         $277,328,013    $259,346,538    $223,265,170
BNY MELLON CLEARING LLC             $267,875,360    $257,311,180    $258,667,204
CANTOR FITZGERALD & CO              $258,709,389    $249,313,045    $255,894,233
TD AMERITRADE INC                   $250,016,836    $241,661,112    $218,174,050
JEFFERIES BACHE LLC                 $229,431,000    $230,817,000    $232,105,000
================================================================================
                                            Aug.            July            June
                                            2012            2012            2012
================================================================================
MITSUBISHI UFJ SECURITIES USA IN    $216,003,510    $196,773,940    $237,878,300
RJ OBRIEN ASSOCIATES LLC            $207,812,362    $206,277,405    $191,540,198
SANTANDER INVESTMENT SECURITIES     $180,063,602    $187,574,447    $169,516,414
SANFORD C BERNSTEIN & CO LLC        $150,047,733    $156,388,158    $154,910,796
OPPENHEIMER & CO INC                $146,490,556    $146,742,905    $142,355,495
OANDA CORPORATION                   $145,769,574    $149,719,746    $144,791,984
FCSTONE LLC                         $122,606,771    $118,430,600    $109,969,187
LPL FINANCIAL LLC                   $120,138,678    $131,076,372    $124,777,229
AMERIPRISE FINANCIAL SERVICES IN    $111,144,337    $129,127,050    $134,540,671
INSTINET LLC                        $108,215,067    $115,534,097    $109,161,451
ROSENTHAL COLLINS GROUP LLC          $98,781,884     $95,530,834     $90,131,340
MACQUARIE FUTURES USA LLC            $93,512,262     $93,419,151    $131,334,999
STEPHENS INC                         $88,437,316     $92,310,174     $83,974,947
OPTIONSXPRESS INC                    $76,128,950     $73,907,818     $70,712,983
RAND FINANCIAL SERVICES INC          $75,474,388     $75,577,769     $75,954,158
GUGGENHEIM SECURITIES LLC            $66,897,990     $76,889,622     $71,107,989
GLOBAL FUTURES & FOREX LTD           $59,125,892     $63,812,667     $70,761,096
================================================================================
                                            Aug.            July            June
                                            2012            2012            2012
================================================================================
FOREX CAPITAL MARKETS LLC            $53,514,906     $52,570,047     $58,098,494
TRADESTATION SECURITIES INC          $51,178,351     $50,406,410     $50,626,466
GAIN CAPITAL GROUP LLC               $47,820,014     $57,647,752     $56,721,650
ICAP CORPORATES LLC                  $45,355,672     $47,327,929     $44,325,866
BGC FINANCIAL LP                     $42,591,331     $57,817,294     $63,166,104
ENSKILDA FUTURES LTD                 $35,765,851     $33,778,822     $39,362,029
WELLS FARGO ADVISORS FINANCIAL N     $34,435,947     $35,423,309     $35,328,090
ALPARI (US) LLC                      $30,142,390     $25,149,030     $27,819,437
FX SOLUTIONS LLC                     $28,027,637     $28,052,663     $27,260,354
PHILLIP FUTURES INC                  $27,562,595     $28,768,024     $28,162,840
NEUBERGER BERMAN LLC                 $27,431,666     $24,407,902     $12,705,827
COUNTRY HEDGING INC                  $25,480,171     $23,933,787     $20,373,223
FXDIRECTDEALER LLC                   $24,415,572     $25,918,055     $26,628,501
MB TRADING FUTURES INC               $23,803,804     $23,516,309     $23,546,477
VISION FINANCIAL MARKETS LLC         $23,708,494     $21,475,357     $24,036,632
XPRESSTRADE LLC                      $22,876,129     $22,853,078     $22,980,090
FOREX CLUB LLC                       $22,214,537     $22,184,296     $22,275,271
================================================================================
                                            Aug.            July            June
                                            2012            2012            2012
================================================================================
INSTITUTIONAL LIQUIDITY LLC          $20,865,942     $20,855,898     $21,717,664
ADVANTAGE FUTURES LLC                $20,552,750     $20,415,502     $20,579,736
ADVANCED MARKETS LLC                 $20,198,291     $20,263,069     $20,362,708
IKON GLOBAL MARKETS INC              $15,997,501     $16,637,775     $10,316,943
TRADELINK LLC                        $15,496,198     $13,738,520     $15,157,847
MCVEAN TRADING & INVESTMENTS LLC     $13,342,579     $13,923,184     $14,202,527
MAREX NORTH AMERICA LLC              $12,355,123     $12,042,858     $13,043,127
LEK SECURITIES CORPORATION           $11,860,070     $12,184,685     $11,833,919
STRAITS FINANCIAL LLC                 $9,756,468      $9,548,280      $9,682,659
DORMAN TRADING LLC                    $9,664,337      $9,418,086      $9,376,476
MID CO COMMODITIES INC                $9,552,067     $10,109,403     $10,017,182
GH FINANCIALS LLC                     $8,728,364      $8,685,833      $8,656,158
CROSSLAND LLC                         $7,688,436      $7,769,262      $7,539,793
EAGLE MARKET MAKERS INC               $6,205,616      $5,960,890      $5,950,618
ITG DERIVATIVES LLC                   $4,210,390      $4,011,472      $4,112,650
LINN GROUP THE                        $3,695,406      $3,687,483      $2,707,438
CX CAPITAL MARKETS LLC                $3,343,653      $3,356,330      $3,372,850
================================================================================
                                            Aug.            July            June
                                            2012            2012            2012
================================================================================
YORK BUSINESS ASSOCIATES LLC          $3,335,188      $3,027,960      $2,172,650
CUNNINGHAM COMMODITIES LLC            $3,109,634      $3,159,710      $2,960,015
MITSUI BUSSAN COMMODITIES USA IN      $2,885,269      $3,097,988      $2,953,627
FRIEDBERG MERCANTILE GROUP INC        $2,853,943      $2,841,860      $2,811,370
CAPITAL MARKET SERVICES LLC           $2,807,804      $2,843,714      $2,799,393
MAREX USA LIMITED                     $2,758,868      $2,365,383      $2,790,572
IRONBEAM INC                          $2,586,958      $2,593,704      $2,553,569
WHITE COMMERCIAL CORPORATION          $2,569,165      $2,556,402      $2,543,586
OPEN E CRY LLC                        $2,520,598      $2,272,234      $1,567,930
AMP GLOBAL CLEARING LLC               $2,355,469      $2,369,615      $2,527,606
MBF CLEARING CORP                     $2,099,107      $2,362,149      $1,311,027
FRONTIER FUTURES INC                  $1,994,283      $1,978,049      $1,949,384
COMMONWEALTH FOREIGN EXCHANGE IN      $1,784,040      $1,793,874      $1,892,429
PIONEER FUTURES INC                   $1,765,567      $1,753,861      $1,797,974
TRADITION SECURITIES AND FUTURES      $1,515,063      $1,514,925      $1,514,777
VELOCITY FUTURES LLC                  $1,505,642      $1,608,237      $1,623,646
EASY FOREX US LTD                     $1,480,564      $1,517,217      $1,540,886
================================================================================
                                            Aug.            July            June
                                            2012            2012            2012
================================================================================
INTEGRATED BROKERAGE SERVICES LL        $100,279        $262,637      $1,315,009
================================================================================
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


Burger King's Young Buns
LIMITED-TIME OFFER SUBSCRIBE NOW

(enter your email)
(enter up to 5 email addresses, separated by commas)

Max 250 characters

 
blog comments powered by Disqus