CFTC-Registered Firms’ Adjusted Net Capital: Table

(Corrects name of Penson Futures and adds Penson Financial Services in table that originally ran on Oct. 18.)

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
                                       2011            2011            2011
================================================================================
JP MORGAN SECURITIES LLC         $11,521,546,158 $11,741,582,599 $11,270,002,435
GOLDMAN SACHS & CO               $11,521,415,951 $11,520,881,535 $11,510,586,979
UBS SECURITIES LLC               $10,947,812,161 $11,434,634,207 $11,265,545,815
================================================================================
                                       Aug.            July            June
                                       2011            2011            2011
================================================================================
MERRILL LYNCH PIERCE FENNER      $10,217,583,783  $9,524,074,203 $10,123,449,134
CREDIT SUISSE SECURITIES (USA)    $9,315,494,983  $8,600,101,633  $9,021,589,751
CITIGROUP GLOBAL MARKETS INC      $7,524,807,904  $7,408,736,610  $6,998,373,127
JP MORGAN CLEARING CORP           $7,111,917,575  $7,048,533,493  $6,974,004,299
MORGAN STANLEY & CO LLC           $6,685,669,923  $5,797,915,448  $6,473,994,874
DEUTSCHE BANK SECURITIES INC      $6,632,401,414  $6,987,857,067  $7,137,338,665
BARCLAYS CAPITAL INC              $5,285,030,252  $5,422,277,016  $5,483,438,881
RBS SECURITIES INC                $2,417,786,700  $2,516,821,916  $2,324,980,000
MERRILL LYNCH PROFESSIONAL CLEAR  $2,415,174,047  $2,088,286,511  $1,923,515,725
NEWEDGE USA LLC                   $2,208,154,006  $2,190,963,527  $2,189,710,575
NOMURA SECURITIES INTERNATIONAL   $2,122,533,472  $1,990,068,563  $1,801,527,851
BNP PARIBAS SECURITIES CORP       $2,002,795,270  $1,747,018,270  $1,696,706,940
WELLS FARGO SECURITIES LLC        $1,909,474,162  $1,581,660,834  $1,587,635,352
BNP PARIBAS PRIME BROKERAGE INC   $1,878,339,439             n/a             n/a
GOLDMAN SACHS EXECUTION, CLEARING $1,703,161,024  $1,768,708,384  $1,680,040,021
UBS FINANCIAL SERVICES INC        $1,426,293,972  $1,354,320,438  $1,362,149,896
INTERACTIVE BROKERS LLC           $1,330,144,274  $1,310,911,678  $1,256,666,519
================================================================================
                                       Aug.            July            June
                                       2011            2011            2011
================================================================================
RBC CAPITAL MARKETS LLC           $1,159,503,935    $930,928,043  $1,228,294,877
MORGAN STANLEY SMITH BARNEY LLC   $1,036,306,870  $1,264,154,689  $1,213,151,246
HSBC SECURITIES USA INC           $1,026,259,699  $1,050,930,223  $1,097,609,013
TIMBER HILL LLC                     $876,232,874  $1,014,104,506  $1,010,192,984
WELLS FARGO ADVISORS LLC            $848,868,046    $853,540,384    $771,745,322
JEFFERIES & COMPANY INC             $762,729,404    $598,362,961             n/a
MF GLOBAL INC                       $495,665,616    $285,219,373    $570,931,049
CITADEL SECURITIES LLC              $481,222,816    $417,334,512    $403,115,827
MORGAN KEEGAN & COMPANY INC         $453,036,240    $475,243,216    $454,585,848
RAYMOND JAMES & ASSOCIATES INC      $434,295,925    $435,256,158    $381,463,658
STATE STREET GLOBAL MARKETS LLC     $425,238,397    $414,277,273    $414,658,536
CIBC WORLD MARKETS CORP             $412,138,325    $478,598,126    $432,676,593
TD AMERITRADE INC                   $367,642,606    $330,827,075    $292,746,768
BNP PARIBAS COMMODITY FUTURES INC   $352,455,839    $357,774,665    $368,441,434
MIZUHO SECURITIES USA INC           $321,444,803    $263,712,405    $363,809,463
CANTOR FITZGERALD & CO              $315,880,161    $253,684,295    $280,792,074
DAIWA CAPITAL MARKETS AMERICA INC   $314,955,126    $283,414,816    $301,951,087
================================================================================
                                        Aug.            July            June
                                        2011            2011            2011
================================================================================
BNY MELLON CLEARING LLC             $300,707,001    $307,437,956    $126,823,031
ADM INVESTOR SERVICES INC           $263,524,720    $264,207,197    $259,660,369
JEFFERIES BACHE LLC                 $248,824,000    $248,646,000             n/a
SANTANDER INVESTMENT SECURITIES INC $224,487,717    $221,625,042    $513,350,337
ABN AMRO CLEARING CHICAGO LLC       $224,042,543    $240,052,233    $221,546,182
NATIXIS SECURITIES NORTH AMERICA    $214,261,018    $210,425,209    $203,841,296
PENSON FINANCIAL SERVICES INC       $191,148,644             n/a             n/a
SANFORD C BERNSTEIN & CO LLC        $178,661,142    $174,729,871    $174,585,757
AMERIPRISE FINANCIAL SERVICES INC   $172,489,373    $154,717,338    $157,605,302
RJ OBRIEN ASSOCIATES LLC            $165,942,254    $164,075,520    $166,093,313
OPPENHEIMER & CO INC                $164,082,477    $166,624,587    $162,876,554
OANDA CORPORATION                   $157,069,503    $156,857,941    $164,017,433
LPL FINANCIAL LLC                   $145,179,449    $121,362,179     $92,999,634
MACQUARIE FUTURES USA INC           $132,372,973    $130,109,327    $129,677,283
INSTINET LLC                        $118,806,165    $118,697,394    $122,490,973
MITSUBISHI UFJ SECURITIES USA INC   $108,908,005     $95,411,822     $94,327,697
FCSTONE LLC                         $108,894,653    $110,332,706    $112,361,516
================================================================================
                                        Aug.            July            June
                                        2011            2011            2011
================================================================================
ALLIANZ GLOBAL INVESTORS DISTRIBUTOR $84,773,980     $84,773,980     $84,773,980
FOREX CAPITAL MARKETS LLC            $79,608,011     $60,062,804     $66,427,589
GLOBAL FUTURES & FOREX LTD           $79,587,191     $78,430,220     $75,930,726
OPTIONSXPRESS INC                    $79,565,119     $77,823,551     $84,325,013
STEPHENS                             $76,008,021     $81,892,095     $76,802,472
RAND FINANCIAL SERVICES INC          $74,673,034     $75,459,017     $72,830,578
ROSENTHAL COLLINS GROUP LLC          $71,118,764     $66,964,087     $69,392,855
TENCO INC                            $61,508,561     $61,021,407     $60,664,661
BGC FINANCIAL LP                     $61,377,251     $60,151,271     $74,064,571
TRADESTATION SECURITIES INC          $58,390,273     $55,616,253     $56,363,962
GAIN CAPITAL GROUP LLC               $53,909,111     $69,931,964     $49,774,460
WELLS FARGO ADVISORS FINANCIAL       $53,738,006     $55,059,623     $48,806,183
GUGGENHEIM SECURITIES LLC            $49,206,126     $84,367,140             n/a
ICAP CORPORATES LLC                  $48,362,874     $51,301,032             n/a
NEUBERGER BERMAN LLC                 $47,954,140     $90,821,020     $75,814,912
ROSENTHAL GLOBAL SECURITIES LLC      $42,480,711     $49,567,696     $43,738,237
FX SOLUTIONS LLC                     $37,704,280     $38,321,287     $38,000,464
================================================================================
                                         Aug.            July            June
                                         2011            2011            2011
================================================================================
PEREGRINE FINANCIAL GROUP INC        $35,922,896     $36,191,814     $36,781,427
TRADELINK LLC                        $35,250,005     $26,592,423     $24,187,205
FXDIRECTDEALER LLC                   $34,170,782     $31,505,961     $25,085,531
ENSKILDA FUTURES LTD                 $29,578,677     $29,712,539     $29,358,000
VISION FINANCIAL MARKETS LLC         $27,969,471     $27,813,035     $24,955,173
MB TRADING FUTURES INC               $26,366,656     $27,009,464     $26,445,119
ALPARI (US) LLC                      $25,503,068     $25,394,755     $25,489,155
INTERBANK FX LLC                     $24,888,314     $25,385,414     $25,226,270
TRADESTATION FOREX INC               $24,638,534     $24,527,941             n/a
FOREX CLUB LLC                       $22,988,102     $22,778,697     $20,238,568
XPRESSTRADE LLC                      $22,865,434     $22,841,980             n/a
INSTITUTIONAL LIQUIDITY LLC          $20,806,478     $21,020,003     $21,042,633
COUNTRY HEDGING INC                  $20,765,251     $24,834,865     $25,889,032
ADVANCED MARKETS LLC                 $20,444,262     $20,334,655     $20,149,848
ADVANTAGE FUTURES LLC                $18,983,125     $19,864,362     $17,135,344
IKON GLOBAL MARKETS INC              $17,183,731     $16,537,384     $14,546,745
MCVEAN TRADING & INVESTMENTS LLC     $14,107,093     $14,392,180     $11,190,799
================================================================================
                                        Aug.            July            June
                                        2011            2011            2011
================================================================================
MID CO COMMODITIES INC               $12,336,128     $13,252,373     $13,267,381
CROSSLAND LLC                        $11,640,364     $12,687,818     $11,689,308
PHILLIP FUTURES INC                   $9,787,785      $9,972,848             n/a
DORMAN TRADING LLC                    $9,615,781     $10,022,341     $10,183,106
LEK SECURITIES CORPORATION            $8,857,117     $10,156,234      $8,983,644
MBF CLEARING CORP                     $8,187,728      $8,422,290      $8,795,516
MAREX NORTH AMERICA LLC               $8,115,570      $9,195,543             n/a
STRAITS FINANCIAL LLC                 $7,558,514      $8,195,852             n/a
ICAP FUTURES LLC                      $7,434,046      $7,783,642      $6,399,763
EAGLE MARKET MAKERS INC               $6,262,988      $6,895,391      $7,259,875
STERLING COMMODITIES CORP             $4,143,072      $8,589,930      $8,339,635
COMPASS PROFESSIONAL SERVICES LLC     $3,977,205      $4,225,724      $3,956,982
CX CAPITAL MARKETS LLC                $3,564,275      $3,551,690      $2,774,656
FRIEDBERG MERCANTILE GROUP INC        $3,409,166      $3,394,545      $3,396,290
YORK BUSINESS ASSOCIATES LLC          $3,400,473      $2,777,280      $2,465,175
CUNNINGHAM COMMODITIES LLC            $3,380,443      $3,241,129      $3,258,434
OPEN E CRY LLC                        $3,319,394      $3,523,836      $3,202,566
================================================================================
                                        Aug.            July            June
                                        2011            2011            2011
================================================================================
PIONEER FUTURES INC                   $3,181,608      $2,950,799      $2,949,623
IRONBEAM INC                          $3,036,135      $3,285,813      $3,005,881
MITSUI BUSSAN COMMODITIES USA INC     $2,981,295      $2,955,815      $3,060,035
MAREX USA LIMITED                     $2,683,547      $1,716,374      $2,831,024
WHITE COMMERCIAL CORPORATION          $2,668,191      $2,366,238      $2,520,673
ITG DERIVATIVES LLC                   $2,461,655      $2,277,500      $2,511,600
LINN GROUP THE                        $2,264,410      $2,532,242      $2,453,189
LIMESTONE TRADING LLC                 $2,190,022      $4,572,982      $6,626,033
COMMONWEALTH FOREIGN EXCHANGE INC     $2,183,043      $1,097,160      $1,905,103
PENSON FUTURES                        $2,152,683     $33,378,470     $31,731,160
CAPITAL MARKET SERVICES LLC           $2,003,138      $2,486,474      $3,088,686
VELOCITY FUTURES LLC                  $1,901,168      $1,637,032      $1,768,365
FRONTIER FUTURES INC                  $1,889,785      $1,905,319      $1,887,033
EASY FOREX US LTD                     $1,769,266      $1,793,699      $1,815,181
INTEGRATED BROKERAGE SERVICES LLC     $1,631,911      $1,609,878      $1,600,684
TCA FUTURES LLC                       $1,598,611      $1,617,602      $1,636,255
FUTURES TECH LLC                      $1,591,719      $1,604,600      $1,567,792
================================================================================
                                                Aug.            July            June
                                                2011            2011            2011
================================================================================
AMP GLOBAL CLEARING LLC               $1,566,004      $1,479,172      $1,461,689
TOWER RESEARCH CAPITAL EUROPE LLC     $1,547,117      $1,710,712      $1,538,014
TRADITION SECURITIES AND FUTURES INC  $1,542,288      $1,541,987      $1,542,077
WALL STREET DERIVATIVES INC           $1,477,897      $1,504,821             n/a
================================================================================
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: Mike Sebany in Washington at msebany@bloomberg.net ================================================================================ Aug. July June

================================================================================

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

Press spacebar to pause and continue. Press esc to stop.

Bloomberg reserves the right to remove comments but is under no obligation to do so, or to explain individual moderation decisions.

Please enable JavaScript to view the comments powered by Disqus.