在美国,外汇经纪商不受政府及相关部门监管,但建议其在NFA等机构注册。注册不等于监管。所谓的“NFA监”,实际上是指NFA注册。
B/D? | DSRO | A/O | Adjusted | Net Capital | Excess | Customers' | Customer | ||||||||||||
Futures Commission Merchant | Date | Net Capital | Requirement | Net Capital | Seg Required | Amount | |||||||||||||
交易商名称 | 净资产 | 超过净资产资金的剩余资金 | 4d(a)(2) | Pt. 30 Required | |||||||||||||||
(a) | (b) | (c) | (d) | (e) | (f) | ||||||||||||||
FX SOLUTIONS LLC(环亚汇市) | N | NFA | 06/30/2007 | 17,295,130 | 2,064,386 | 15,230,744 | 0 | 0 | |||||||||||
3D FOREX, LLC | N | NFA | 06/30/2007 | 3,653,764 | 500,000 | 3,153,764 | 0 | 0 | |||||||||||
ABBEY NATIONAL SECURITIES INC | Y | NFA | 06/30/2007 | 140,651,853 | 20,918,240 | 119,733,613 | 277,740,332 | 0 | |||||||||||
ADM INVESTOR SERVICES INC | N | CBOT | 06/30/2007 | 127,162,031 | 58,281,956 | 68,880,075 | 1,136,691,371 | 42,175,379 | |||||||||||
ADVANCED MARKETS INC | N | NFA | 06/30/2007 | 1,039,171 | 1,000,000 | 39,171 | 0 | 0 | |||||||||||
ADVANTAGE FUTURES LLC | N | CME | 06/30/2007 | 21,109,348 | 2,771,363 | 18,337,985 | 150,024,294 | 10,159,188 | |||||||||||
AG EDWARDS & SONS INC | Y | CBOT | 06/30/2007 | 1,032,899,683 | 36,748,116 | 996,151,567 | 218,928,882 | 3,060,959 | |||||||||||
AIG CLEARING CORPORATION | N | NYME | 06/30/2007 | 294,080,325 | 41,375,348 | 252,704,977 | 12,549,834 | 0 | |||||||||||
ALARON TRADING CORPORATION | N | CME | 06/30/2007 | 6,262,464 | 2,620,790 | 3,641,674 | 149,488,220 | 13,217,269 | |||||||||||
ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC | Y | NFA | 06/30/2007 | 30,565,541 | 5,628,784 | 24,936,757 | 0 | 0 | |||||||||||
AMERICAN NATIONAL TRADING CORP | N | NFA | 06/30/2007 | 2,159,273 | 1,000,000 | 1,159,273 | 21,700,650 | 31,164 | |||||||||||
BACERA CORPORATION(美国百汇公司) | N | NFA | 06/30/2007 | 1,766,882 | 1,000,000 | 766,882 | 0 | 0 | |||||||||||
BANC OF AMERICA SECURITIES LLC | Y | CME | 06/29/2007 | 3,135,067,112 | 397,486,711 | 2,737,580,401 | 1,654,641,341 | 15,626,763 | |||||||||||
BARCLAYS CAPITAL INC | Y | NYME | 06/30/2007 | 1,847,561,773 | 331,204,575 | 1,516,357,198 | 3,999,195,088 | 1,649,303,337 | |||||||||||
BEAR STEARNS & CO INC | Y | NFA | 06/30/2007 | (g) | 535,714,853 | (g) | 0 | 0 | |||||||||||
BEAR STEARNS SECURITIES CORP | Y | CME | 06/30/2007 | 4,564,249,253 | 1,465,361,833 | 3,098,887,420 | 3,228,096,863 | 1,103,212,732 | |||||||||||
BGC SECURITIES | Y | NFA | 06/30/2007 | 4,891,760 | 765,254 | 4,126,506 | 0 | 0 | |||||||||||
BNP PARIBAS COMMODITY FUTURES INC | N | NYME | 06/30/2007 | 158,421,529 | 86,890,289 | 71,531,240 | 899,422,782 | 347,411,538 | |||||||||||
BNP PARIBAS SECURITIES CORP | Y | CBOT | 06/30/2007 | 794,871,636 | 42,295,435 | 752,576,201 | 225,471,646 | 0 | |||||||||||
CADENT FINANCIAL SERVICES LLC | N | CME | 06/30/2007 | 11,013,702 | 5,470,982 | 5,542,720 | 191,805,662 | 1,943,352 | |||||||||||
CALYON FINANCIAL INC | Y | CME | 06/30/2007 | 720,745,496 | 547,820,142 | 172,925,354 | 6,399,977,841 | 1,107,173,328 | |||||||||||
CANTOR FITZGERALD & CO | Y | CBOT | 06/30/2007 | 157,532,451 | 3,878,174 | 153,654,277 | 52,758,535 | 0 | |||||||||||
CAPITAL MARKET SERVICES LLC(CMS) | N | NFA | 06/30/2007 | 12,087,045 | 4,155,477 | 7,931,568 | 0 | 0 | |||||||||||
CIBC WORLD MARKETS CORP | Y | CME | 06/29/2007 | 1,162,385,387 | 23,463,953 | 1,138,921,434 | 0 | 0 | |||||||||||
CITIGROUP GLOBAL MARKETS INC | Y | CBOT | 06/30/2007 | (g) | 847,576,742 | (g) | 9,445,354,893 | 498,778,083 | |||||||||||
CLIFF LARSON COMPANY THE | N | NFA | 06/30/2007 | 552,256 | 500,000 | 52,256 | 2,504,611 | 0 | |||||||||||
CMC MARKETS (US) LLC(CMC) | N | NFA | 06/30/2007 | 1,670,883 | 1,000,000 | 670,883 | 0 | 0 | |||||||||||
COMTRUST INC | N | NFA | 06/30/2007 | 1,111,059 | 575,148 | 535,911 | 16,592,027 | 0 | |||||||||||
COUNTRY HEDGING INC | N | NFA | 06/30/2007 | 18,236,681 | 8,656,810 | 9,579,871 | 106,319,443 | 526,783 | |||||||||||
CREDIT SUISSE SECURITIES (USA) LLC | Y | CBOT | 06/29/2007 | 5,321,982,836 | 216,381,392 | 5,105,601,444 | 1,391,513,095 | 968,030,597 | |||||||||||
CROSSLAND LLC | N | CBOT | 06/30/2007 | 3,680,918 | 510,763 | 3,170,155 | 12,388,477 | 0 | |||||||||||
CUNNINGHAM COMMODITIES LLC | N | CBOT | 06/30/2007 | 1,982,780 | 576,062 | 1,406,718 | 18,207,532 | 14,047 | |||||||||||
DAIWA SECURITIES AMERICA INC | Y | CME | 06/30/2007 | 216,147,194 | 1,000,000 | 215,147,194 | 6,362,917 | 4,407,679 | |||||||||||
DEUTSCHE BANK SECURITIES INC | Y | CBOT | 06/29/2007 | 1,944,408,447 | 256,746,249 | 1,687,662,198 | 3,821,465,444 | 1,017,852,657 | |||||||||||
DIRECT FOREX LLC(德福外汇) | N | NFA | 06/30/2007 | 1,458,540 | 1,000,000 | 458,540 | 0 | 0 | |||||||||||
DORMAN TRADING LLC | N | CME | 06/30/2007 | 10,726,945 | 500,000 | 10,226,945 | 38,082,101 | 144,640 | |||||||||||
DUNAVANT COMMODITY CORP | N | NFA | 06/30/2007 | 32,160,104 | 500,000 | 31,660,104 | 0 | 0 | |||||||||||
E FX OPTIONS LLC | N | NFA | 06/30/2007 | 3,158,895 | 1,000,000 | 2,158,895 | 0 | 0 | |||||||||||
EAGLE MARKET MAKERS INC | N | CBOT | 06/30/2007 | 5,296,785 | 500,000 | 4,796,785 | 7,955,929 | 112 | |||||||||||
EASY FOREX US LTD | N | NFA | 06/30/2007 | 4,810,057 | 2,000,000 | 2,810,057 | 0 | 0 | |||||||||||
ED &F MAN COMMODITY ADVISORS INC | N | NFA | 06/30/2007 | 1,287,500 | 500,000 | 787,500 | 0 | 0 | |||||||||||
ELECTRONIC BROKERAGE SYSTEMS LLC | Y | NFA | 06/30/2007 | 10,269,113 | 500,000 | 9,769,113 | 0 | 0 | |||||||||||
ENSKILDA FUTURES LTD | N | CME | 06/30/2007 | 18,530,163 | 10,175,682 | 8,354,481 | 178,922,188 | 0 | |||||||||||
FARR FINANCIAL INC | N | NFA | 06/30/2007 | 2,565,818 | 1,000,000 | 1,565,818 | 33,853,500 | 211,396 | |||||||||||
FC STONE LLC | N | CME | 06/30/2007 | 65,829,723 | 34,725,617 | 31,104,106 | 922,105,610 | 9,577,311 | |||||||||||
FIMAT USA LLC | Y | NYME | 06/30/2007 | 647,829,093 | 406,924,858 | 240,904,235 | 5,664,058,493 | 2,012,736,299 | |||||||||||
FIRST CAPITOL GROUP LLC | N | NFA | 06/30/2007 | 6,131,349 | 2,276,863 | 3,854,486 | 90,400,162 | 106,825 | |||||||||||
FOREX CAPITAL MARKETS LLC | N | NFA | 06/30/2007 | 44,626,492 | 12,977,713 | 31,648,779 | 0 | 0 | |||||||||||
FOREX CLUB FINANCIAL COMPANY INC | N | NFA | 06/30/2007 | 2,645,334 | 1,000,000 | 1,645,334 | 0 | 0 | |||||||||||
FOREX INTERNATIONAL INVESTMENTS INC | N | NFA | 06/30/2007 | 2,133,971 | 2,000,000 | 133,971 | 0 | 0 | |||||||||||
FOREX LIQUIDITY LLC | N | NFA | 06/30/2007 | 38,991,055 | 1,000,000 | 37,991,055 | 0 | 0 | |||||||||||
FORTIS CLEARING AMERICAS LLC | Y | CBOT | 06/30/2007 | 76,128,748 | 19,640,929 | 56,487,819 | 578,570,126 | 14,091,119 | |||||||||||
FORWARD FOREX INC | N | NFA | 06/30/2007 | 1,232,361 | 1,000,000 | 232,361 | 0 | 0 | |||||||||||
FRIEDBERG MERCANTILE GROUP INC | N | NFA | 06/30/2007 | 7,399,713 | 5,000,000 | 2,399,713 | 3,907,461 | 0 | |||||||||||
FRONTIER FUTURES INC | N | NFA | 06/30/2007 | 3,684,065 | 2,329,605 | 1,354,460 | 41,225,753 | 0 | |||||||||||
FUTURES TECH LLC | N | NFA | 06/30/2007 | 886,031 | 500,000 | 386,031 | 0 | 0 | |||||||||||
FXCM LLC | N | NFA | 06/30/2007 | 764,241 | 500,000 | 264,241 | 0 | 0 | |||||||||||
GAIN CAPITAL GROUP LLC(嘉盛) | N | NFA | 06/30/2007 | 18,930,914 | 4,341,150 | 14,589,764 | 0 | 0 | |||||||||||
GATEWAY CAPITAL L.L.C. | N | NFA | 06/30/2007 | 578,086 | 500,000 | 78,086 | 0 | 0 | |||||||||||
GELBER GROUP LLC | N | CBOT | 06/29/2007 | 44,417,251 | 886,577 | 43,530,674 | 50,028,742 | 35,000 | |||||||||||
GFS FOREX & FUTURES INC | N | NFA | 06/30/2007 | 2,959,920 | 1,000,000 | 1,959,920 | 0 | 0 | |||||||||||
GILDER GAGNON HOWE AND CO LLC | Y | NFA | 06/30/2007 | 26,596,850 | 500,000 | 26,096,850 | 0 | 0 | |||||||||||
GLOBAL FUTURES & FOREX | N | CFTC | 06/30/2007 | 49,664,118 | 6,904,864 | 42,759,254 | 0 | 0 | |||||||||||
GLOBAL FUTURES LLC | N | NFA | 06/30/2007 | 8,169,408 | 500,000 | 7,669,408 | 65,251 | 0 | |||||||||||
GOLDMAN SACHS & CO | Y | CBOT | 06/29/2007 | (g) | 1,688,214,673 | (g) | 12,998,256,123 | 7,991,227,823 | |||||||||||
GOLDMAN SACHS EXECUTION & CLEARING LP | Y | CME | 06/29/2007 | 908,052,627 | 47,876,350 | 860,176,277 | 505,278,418 | 8,922,071 | |||||||||||
H & R BLOCK FINANCIAL ADVISORS INC | Y | NFA | 06/29/2007 | 124,788,774 | 8,657,647 | 116,131,127 | 0 | 0 | |||||||||||
HAGERTY GRAIN CO INC | N | CBOT | 06/30/2007 | 2,304,710 | 500,000 | 1,804,710 | 5,192,590 | 0 | |||||||||||
HAMILTON WILLIAMS LLC | N | NFA | 06/30/2007 | 1,130,716 | 1,000,000 | 130,716 | 0 | 0 | |||||||||||
HOTSPOT FXR LLC | N | NFA | 06/30/2007 | 5,250,738 | 1,000,000 | 4,250,738 | 0 | 0 | |||||||||||
HSBC SECURITIES USA INC | Y | CME | 06/29/2007 | 419,311,205 | 52,557,532 | 366,753,673 | 757,495,037 | 51,942,996 | |||||||||||
I TRADE FX LLC | N | NFA | 06/30/2007 | 3,957,357 | 1,000,000 | 2,957,357 | 0 | 0 | |||||||||||
ICAP FUTURES LLC | N | CBOT | 06/30/2007 | 4,920,118 | 500,000 | 4,420,118 | 0 | 0 | |||||||||||
IFSCL USA INC | N | NFA | 06/30/2007 | 7,591,232 | 5,000,000 | 2,591,232 | 1,674,422 | 156,909 | |||||||||||
IFX MARKETS INC(艾福斯) | N | NFA | 06/30/2007 | 10,378,704 | 2,870,554 | 7,508,150 | 0 | 0 | |||||||||||
IG FINANCIAL MARKETS INC. | N | NFA | 06/30/2007 | 1,006,704 | 500,000 | 506,704 | 0 | 0 | |||||||||||
INSTINET LLC | Y | NFA | 06/30/2007 | 87,566,958 | 5,225,733 | 82,341,225 | 0 | 0 | |||||||||||
INTEGRATED BROKERAGE SERVICES LLC | N | NFA | 06/30/2007 | 1,673,330 | 1,000,000 | 673,330 | 543,256 | 0 | |||||||||||
INTERACTIVE BROKERS LLC(盈透) | Y | EUXUS | 06/29/2007 | 315,441,448 | 36,036,998 | 279,404,450 | 212,427,716 | 72,206,285 | |||||||||||
INTERBANK FX LLC(银特倍克) | N | NFA | 06/30/2007 | 8,584,434 | 3,719,721 | 4,864,713 | 0 | 0 | |||||||||||
IOWA GRAIN CO | N | CBOT | 06/30/2007 | 15,415,065 | 8,210,327 | 7,204,738 | 254,188,837 | 423,311 | |||||||||||
ITAU SECURITIES INC | Y | NFA | 06/30/2007 | 19,857,943 | 500,000 | 19,357,943 | 0 | 0 | |||||||||||
IXIS SECURITIES NORTH AMERICA INC | Y | NFA | 06/30/2007 | 135,435,325 | 500,000 | 134,935,325 | 0 | 0 | |||||||||||
JP MORGAN FUTURES INC | N | NYME | 06/30/2007 | 1,111,951,941 | 643,953,060 | 467,998,881 | 9,031,672,515 | 1,263,330,211 | |||||||||||
KOTTKE ASSOCIATES LLC | N | CBOT | 06/30/2007 | 13,258,864 | 500,000 | 12,758,864 | 39,099,532 | 1,655 | |||||||||||
LADENBURG THALMANN & CO INC | Y | NFA | 06/30/2007 | 20,727,418 | 500,000 | 20,227,418 | 0 | 0 | |||||||||||
LBS LIMITED PARTNERSHIP | N | CBOT | 06/30/2007 | 937,678 | 500,000 | 437,678 | 0 | 0 | |||||||||||
LEHMAN BROTHERS INC | Y | CBOT | 06/30/2007 | (g) | 568,312,000 | (g) | 4,930,403,000 | 133,073,000 | |||||||||||
LINN GROUP ( THE ) | N | NFA | 06/30/2007 | 1,923,644 | 500,000 | 1,423,644 | 0 | 0 | |||||||||||
LINSCO/PRIVATE LEDGER CORP | Y | NFA | 06/30/2007 | 68,111,410 | 7,506,262 | 60,605,148 | 0 | 0 | |||||||||||
LOEB PARTNERS CORPORATION | Y | NFA | 06/30/2007 | 24,785,538 | 500,000 | 24,285,538 | 0 | 0 | |||||||||||
MACQUARIE FUTURES USA INC | N | NFA | 06/30/2007 | 8,499,369 | 942,357 | 7,557,012 | 33,229,056 | 84,500 | |||||||||||
MB TRADING FUTURES INC. | N | NFA | 06/30/2007 | 1,170,957 | 1,000,000 | 170,957 | 0 | 0 | |||||||||||
MBF CLEARING CORP | N | NYME | 06/30/2007 | 28,253,630 | 4,179,865 | 24,073,765 | 105,879,256 | 4,404,727 | |||||||||||
MCVEAN TRADING AND INVESTMENTS LLC | N | NFA | 06/30/2007 | 7,266,353 | 1,881,376 | 5,384,977 | 545,132,333 | 13,472 | |||||||||||
MERRILL LYNCH PIERCE FENNER & *****ITH | Y | CBOT | 06/29/2007 | (g) | 615,586,866 | (g) | 7,246,510,523 | 810,925,478 | |||||||||||
MERRILL LYNCH PROFESSIONAL CLEARING CORP | Y | NFA | 06/29/2007 | 1,664,323,586 | 73,698,568 | 1,590,625,018 | 1,050,658,063 | 68,519,564 | |||||||||||
MF Global Inc | N | CME | 06/30/2007 | 605,217,511 | 364,381,766 | 240,835,745 | 8,235,595,803 | 937,300,870 | |||||||||||
MID-CO COMMODITIES INC | N | NFA | 06/30/2007 | 4,632,843 | 2,821,840 | 1,811,003 | 36,055,999 | 0 | |||||||||||
MITSUI BUSSAN COMMODITIES USA INC | N | NYME | 06/30/2007 | 5,944,597 | 613,204 | 5,331,393 | 0 | 0 | |||||||||||
MIZUHO SECURITIES USA INC | Y | CME | 06/30/2007 | 122,277,983 | 23,418,344 | 98,859,639 | 323,561,832 | 98,590,453 | |||||||||||
MONEY GARDEN CORP(MG金融集团) | N | NFA | 06/30/2007 | 3,584,649 | 1,000,000 | 2,584,649 | 0 | 0 | |||||||||||
MORGAN KEEGAN & COMPANY INC | Y | NFA | 06/30/2007 | 387,370,366 | 13,279,262 | 374,091,104 | 0 | 0 | |||||||||||
MORGAN STANLEY & CO INCORPORATED | Y | CME | 06/30/2007 | (g) | 1,762,095,837 | (g) | 4,260,388,317 | 4,940,304,937 | |||||||||||
NATIONS INVESTMENTS LLC | N | NFA | 06/30/2007 | -1,162,290 | 1,000,000 | -2,162,290 | 3,611,636 | 0 | |||||||||||
NEUBERGER BERMAN LLC | Y | NFA | 06/30/2007 | 253,502,417 | 5,000,000 | 248,502,417 | 7,818,725 | 0 | |||||||||||
NOMURA SECURITIES INTERNATIONAL INC | Y | CBOT | 06/30/2007 | 762,335,663 | 5,986,427 | 756,349,236 | 55,682,806 | 11,001,138 | |||||||||||
OANDA CORPORATION | N | NFA | 06/30/2007 | 49,222,317 | 9,172,410 | 40,049,907 | 0 | 0 | |||||||||||
ODL SECURITIES INC | N | NFA | 06/30/2007 | 6,551,859 | 1,000,000 | 5,551,859 | 0 | 0 | |||||||||||
ONE WORLD CAPITAL GROUP LLC | N | NFA | 06/30/2007 | 2,308,460 | 1,000,000 | 1,308,460 | 550,406 | 0 | |||||||||||
OPEN E CRY LLC | N | NFA | 06/30/2007 | 1,029,713 | 572,654 | 457,059 | 29,855,281 | 2,117,017 | |||||||||||
OPPENHEIMER & CO INC | Y | NFA | 06/30/2007 | 184,762,694 | 25,762,481 | 159,000,213 | 22,202,639 | 0 | |||||||||||
OPTIONSXPRESS INC | Y | NFA | 06/30/2007 | 78,907,717 | 6,103,919 | 72,803,798 | 3,423,004 | 0 | |||||||||||
PENSON FINANCIAL FUTURES INC | N | NFA | 06/30/2007 | 2,154,359 | 500,000 | 1,654,359 | 13,425,438 | 222,397 | |||||||||||
PENSON GHCO | N | CBOT | 06/30/2007 | 13,918,954 | 2,680,392 | 11,238,562 | 120,523,735 | 7,854,860 | |||||||||||
PEREGRINE FINANCIAL GROUP INC | N | NFA | 06/30/2007 | 13,758,638 | 5,000,000 | 8,758,638 | 184,773,032 | 11,091,855 | |||||||||||
PIONEER FUTURES INC | N | NYME | 06/30/2007 | 1,060,825 | 500,000 | 560,825 | 0 | 0 | |||||||||||
PRUDENTIAL BACHE COMMODITIES LLC | N | CBOT | 06/30/2007 | 136,245,000 | 108,820,320 | 27,424,680 | 1,908,560,000 | 229,311,000 | |||||||||||
PUMA FINANCIAL LLC | N | NFA | 06/30/2007 | 847,684 | 500,000 | 347,684 | 3,872,784 | 0 | |||||||||||
RAND FINANCIAL SERVICES INC | N | CME | 06/30/2007 | 38,894,989 | 14,170,850 | 24,724,139 | 167,687,400 | 35,704,800 | |||||||||||
RAYMOND JAMES & ASSOCIATES INC | Y | NFA | 06/29/2007 | 296,086,133 | 28,182,217 | 267,903,916 | 0 | 0 | |||||||||||
RBC CAPITAL MARKETS CORPORATION | Y | CME | 06/29/2007 | 368,117,209 | 51,531,754 | 316,585,455 | 174,663,843 | 14,270,532 | |||||||||||
RBC DAIN RAUSCHER INC | Y | NFA | 06/30/2007 | 553,254,849 | 32,934,249 | 520,320,600 | 0 | 0 | |||||||||||
RBS GREENWICH CAPITAL INC | Y | CBOT | 06/30/2007 | 1,359,125,000 | 72,914,000 | 1,286,211,000 | 659,138,000 | 35,199,000 | |||||||||||
RJ OBRIEN & ASSOCIATES INC | N | CME | 06/29/2007 | 108,805,478 | 71,506,388 | 37,299,090 | 2,020,214,293 | 25,991,806 | |||||||||||
ROBBINS FUTURES INC | N | NFA | 06/30/2007 | 537,550 | 500,000 | 37,550 | 2,936,537 | 0 | |||||||||||
ROSENTHAL COLLINS GROUP LLC | N | CME | 06/30/2007 | 44,705,798 | 20,136,259 | 24,569,539 | 675,412,257 | 11,899,731 | |||||||||||
ROSENTHAL GLOBAL SECURITIES LLC | Y | CBOT | 06/30/2007 | 11,127,974 | 500,000 | 10,627,974 | 0 | 0 | |||||||||||
ROYAL FOREX TRADING LLC | N | NFA | 06/30/2007 | 1,171,143 | 1,000,000 | 171,143 | 0 | 0 | |||||||||||
SANFORD C BERNSTEIN & CO LLC | Y | NFA | 06/29/2007 | 143,051,518 | 45,684,329 | 97,367,189 | 0 | 0 | |||||||||||
SENTINEL MANAGEMENT GROUP INC | N | NFA | 06/30/2007 | 3,326,942 | 500,000 | 2,826,942 | 1,525,191,728 | 3,864,841 | |||||||||||
SHATKIN ARBOR INC | N | CBOT | 06/30/2007 | 5,641,826 | 515,836 | 5,125,990 | 33,461,926 | 42,642 | |||||||||||
SHAY GRAIN CLEARING COMPANY | N | KCBT | 06/30/2007 | 1,097,652 | 500,000 | 597,652 | 11,446,760 | 0 | |||||||||||
*****W TRADING COMPANY INC | N | CME | 06/30/2007 | 44,846,003 | 500,000 | 44,346,003 | 10,279,640 | 1,455 | |||||||||||
SNC INVESTMENTS INC | N | NFA | 06/30/2007 | 1,524,381 | 1,000,000 | 524,381 | 0 | 0 | |||||||||||
SOLID GOLD FINANCIAL SERVICES INC | N | NFA | 06/30/2007 | 2,239,741 | 1,000,000 | 1,239,741 | 0 | 0 | |||||||||||
STEPHENS INC | Y | NFA | 06/29/2007 | 58,254,164 | 11,695,805 | 46,558,359 | 0 | 0 | |||||||||||
STERLING COMMODITIES CORP | N | NYME | 06/30/2007 | 8,850,488 | 812,265 | 8,038,223 | 35,827,004 | 2,358,408 | |||||||||||
TCA FUTURES LLC | N | NFA | 06/30/2007 | 785,248 | 500,000 | 285,248 | 0 | 0 | |||||||||||
TENCO INC | N | CBOT | 06/30/2007 | 36,860,190 | 6,285,853 | 30,574,337 | 131,293,508 | 1,577,998 | |||||||||||
TERRA NOVA TRADING LLC | Y | NFA | 06/30/2007 | 15,056,614 | 1,500,000 | 13,556,614 | 0 | 0 | |||||||||||
TIMBER HILL LLC | Y | CME | 06/30/2007 | 720,518,548 | 13,588,012 | 706,930,536 | 175,887,338 | 0 | |||||||||||
TOWER RESEARCH CAPITAL EUROPE LLC | N | NFA | 06/30/2007 | 2,271,759 | 500,000 | 1,771,759 | 0 | 0 | |||||||||||
TRADELINK LLC | Y | CBOT | 06/30/2007 | 29,877,331 | 500,000 | 29,377,331 | 0 | 0 | |||||||||||
TRADEMAVEN CLEARING LLC | N | NFA | 06/30/2007 | 845,266 | 500,000 | 345,266 | 3,914,494 | 23,712 | |||||||||||
TRADESTATION SECURITIES INC | Y | NFA | 06/30/2007 | 65,251,339 | 2,663,268 | 62,588,071 | 0 | 0 | |||||||||||
TRADITION SECURITIES AND FUTURES INC | N | NFA | 06/30/2007 | 784,791 | 500,000 | 284,791 | 0 | 0 | |||||||||||
TRAN*****ARKET GROUP LLC | Y | CBOT | 06/30/2007 | 12,505,330 | 500,000 | 12,005,330 | 0 | 0 | |||||||||||
TREND COMMODITIES LIMITED PARTNERSHIP | N | NFA | 05/31/2007 | 2,202,482 | 500,000 | 1,702,482 | 0 | 0 | |||||||||||
TRILAND USA INC | N | NYME | 06/30/2007 | 29,102,188 | 9,054,653 | 20,047,535 | 268,026,232 | 4,905 | |||||||||||
UBS CLEARING SERVICES CORPORATION | Y | NFA | 06/30/2007 | 101,531,796 | 1,000,000 | 100,531,796 | 0 | 0 | |||||||||||
UBS FINANCIAL SERVICES INC | Y | CBOT | 06/29/2007 | 1,227,653,134 | 151,171,770 | 1,076,481,364 | 275,763,090 | 13,709,938 | |||||||||||
UBS SECURITIES LLC | Y | CBOT | 06/30/2007 | 3,768,216,660 | 882,982,631 | 2,885,234,029 | 14,255,571,548 | 7,537,663,857 | |||||||||||
UNITED GLOBAL MARKETS LLC | N | NFA | 06/30/2007 | 816,777 | 0 | 816,777 | 0 | 0 | |||||||||||
VELOCITY FUTURES LP | N | NFA | 06/30/2007 | 3,125,312 | 500,000 | 2,625,312 | 19,571,261 | 993,545 | |||||||||||
VISION FINANCIAL MARKETS LLC | Y | NFA | 06/30/2007 | 30,777,902 | 7,086,118 | 23,691,784 | 365,785,077 | 3,097 | |||||||||||
WACHOVIA CAPITAL MARKETS LLC | Y | CME | 06/30/2007 | 1,246,353,648 | 5,159,729 | 1,241,193,919 | 0 | 0 | |||||||||||
WACHOVIA SECURITIES FINANCIAL NETWORK, LLC | Y | NFA | 06/30/2007 | 22,641,267 | 1,217,481 | 21,423,786 | 0 | 0 | |||||||||||
WACHOVIA SECURITIES LLC | Y | NFA | 06/30/2007 | 317,803,989 | 1,500,000 | 316,303,989 | 0 | 0 | |||||||||||
WALL STREET DERIVATIVES INC | N | NFA | 06/30/2007 | 1,166,675 | 500,000 | 666,675 | 119,593 | 0 | |||||||||||
WHITE COMMERCIAL CORPORATION | N | NFA | 06/30/2007 | 2,567,996 | 500,000 | 2,067,996 | 0 | 0 | |||||||||||
XPRESSTRADE LLC | N | NFA | 06/30/2007 | 4,218,411 | 1,634,651 | 2,583,760 | 115,296,132 | 4,021,470 | |||||||||||
YORK BUSINESS ASSOCIATES LLC | N | NFA | 06/30/2007 | 1,306,523 | 500,000 | 806,523 | 24,470,187 | 395,362 | |||||||||||
Total | 114,927,877,058 | 33,150,581,185 | |||||||||||||||||
注:更多详细资料数据查询,请登陆CFTC的官方网站http://www.cftc.gov/marketreports/financialdataforfcms/ | |||||||||||||||||||
Additions | |||||||||||||||||||
Deletions | |||||||||||||||||||
BROOKSTREET SECURITIES CORPORATION | |||||||||||||||||||
CAL FINANCIAL CORPORATION | |||||||||||||||||||
FCT GROUP LLC | |||||||||||||||||||
FLY CLEARING INC | |||||||||||||||||||
FX OPTION1 INC | |||||||||||||||||||
PERFORMANCE CAPITAL INTERNATIONAL INC | |||||||||||||||||||
Name Change | |||||||||||||||||||
MAN FINANCIAL INC to MF GLOBAL | |||||||||||||||||||
(a): B/D : A 'Y' means the FCM is also registered with the Securities and Exchange Commission as a securities broker or dealer. | |||||||||||||||||||
(b): DSRO: Designated Self-Regulatory Organization. | |||||||||||||||||||
(c) The minimum capital requirement that each FCM must maintain is determined under CFTC Regulation 1.17 (a)(1)(i) | |||||||||||||||||||
(d): Excess net capital is adjusted net capital, less the firm's net capital requirement. | |||||||||||||||||||
(e): This represents the total amount of funds that an FCM is required to segregate on behalf of customers who are trading on a designated contract market or derivatives transaction execution facility. This is the sum of all accounts that contain a net liquidating equity. | |||||||||||||||||||
(f): 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. | |||||||||||||||||||
(g): This FCM/BD’s ultimate parent company is regulated by the SEC as a consolidated supervised entity. The firm has elected to compute its minimum capital requirement in accordance with the “Alternative Net Capital Requirement” as permitted by Appendix E to SEC Rule 15c3-1. As of this reporting date, the firm had net capital in excess of its minimum capital requirements. In addition to the alternative minimum net capital requirements, the firm is required to hold tentative net capital in excess of $1 billion and net capital in excess of $500 million in accordance with the market and credit risk standards of Appendix E of Rule 15c3-1. The firm also is required to notify the Commission and SEC in the event its tentative net capital is less than $5 billion. As of this reporting date, the firm had tentative net capital and net capital in excess of both the minimum and notification requirements. | |||||||||||||||||||
Note: Any comments regarding information contained in this table may be brought to the attention of the CFTC's Division of Clearing and Intermediary Oversight via e-mail: sgreska@cftc.gov, jmohr@cftc.gov or s_williams@cftc.gov |
盈透interactive brokers