| Futures Industry Registrants by Location as of September 30, 1997 | ||||||||||
| Location | Floor Brokers | Floor Traders | Associated Persons* | FCMs** | Guaranteed IBs** |
Non-Guar.
IBs** |
CTAs** | CPOs** | Principals* | Branches |
| Alabama |
3 |
2 |
333 |
0 |
12 |
1 |
7 |
1 |
39 |
43 |
| Alaska |
1 |
0 |
49 |
0 |
2 |
0 |
1 |
1 |
4 |
12 |
| Arizona |
8 |
4 |
521 |
0 |
15 |
2 |
32 |
10 |
58 |
58 |
| Arkansas |
2 |
2 |
302 |
1 |
12 |
2 |
9 |
2 |
59 |
38 |
| California |
26 |
6 |
5,350 |
6 |
88 |
36 |
272 |
122 |
800 |
492 |
| Colorado |
9 |
3 |
601 |
0 |
31 |
6 |
43 |
21 |
123 |
88 |
| Connecticut |
91 |
4 |
1,177 |
4 |
4 |
23 |
124 |
113 |
371 |
86 |
| D.C. |
2 |
1 |
70 |
0 |
2 |
1 |
4 |
4 |
7 |
2 |
| Delaware |
2 |
0 |
85 |
0 |
0 |
0 |
1 |
2 |
3 |
11 |
| Florida |
55 |
13 |
3,037 |
4 |
72 |
52 |
156 |
54 |
436 |
332 |
| Georgia |
4 |
0 |
851 |
1 |
23 |
5 |
38 |
19 |
126 |
96 |
| Guam |
0 |
0 |
2 |
0 |
0 |
0 |
0 |
0 |
1 |
1 |
| Hawaii |
2 |
0 |
167 |
0 |
1 |
0 |
4 |
2 |
10 |
23 |
| Idaho |
2 |
0 |
96 |
0 |
7 |
1 |
4 |
1 |
15 |
19 |
| Illinois |
6,102 |
1,023 |
4,535 |
81 |
174 |
72 |
465 |
190 |
1,356 |
358 |
| Indiana |
79 |
17 |
534 |
1 |
30 |
4 |
18 |
11 |
103 |
61 |
| Iowa |
10 |
1 |
631 |
3 |
94 |
9 |
37 |
19 |
275 |
112 |
| Kansas |
82 |
4 |
416 |
0 |
40 |
3 |
11 |
4 |
149 |
67 |
| Kentucky |
0 |
3 |
186 |
0 |
5 |
1 |
8 |
2 |
22 |
33 |
| Louisiana |
1 |
1 |
337 |
1 |
7 |
2 |
8 |
3 |
49 |
46 |
| Maine |
0 |
0 |
49 |
0 |
0 |
0 |
1 |
0 |
2 |
9 |
| Maryland |
0 |
0 |
397 |
1 |
6 |
2 |
24 |
12 |
79 |
35 |
| Massachusetts |
6 |
3 |
1,012 |
2 |
5 |
2 |
53 |
32 |
252 |
94 |
| Michigan |
13 |
2 |
676 |
0 |
11 |
2 |
25 |
6 |
65 |
119 |
| Minnesota |
138 |
4 |
779 |
5 |
41 |
2 |
29 |
11 |
153 |
102 |
| Mississippi |
1 |
1 |
122 |
0 |
3 |
0 |
5 |
1 |
10 |
23 |
| Missouri |
74 |
5 |
609 |
5 |
41 |
6 |
24 |
10 |
135 |
87 |
| Montana |
2 |
1 |
75 |
0 |
14 |
0 |
1 |
1 |
17 |
15 |
| Nebraska |
3 |
0 |
336 |
0 |
58 |
2 |
18 |
5 |
134 |
43 |
| Nevada |
7 |
3 |
201 |
0 |
6 |
3 |
21 |
10 |
27 |
22 |
| New Hampshire |
2 |
1 |
93 |
0 |
1 |
0 |
3 |
2 |
10 |
22 |
| New Jersey |
787 |
49 |
2,988 |
4 |
18 |
17 |
141 |
66 |
665 |
167 |
| Futures Industry Registrants by Location as of September 30, 1997 | ||||||||||
| Location | Floor Brokers | Floor Traders | Associated Persons* | FCMs** | Guaranteed IBs** |
Non-Guar.
IBs** |
CTAs** | CPOs** | Principals* | Branches |
| New Mexico |
4 |
1 |
156 |
0 |
6 |
0 |
5 |
2 |
21 |
21 |
| New York |
1,461 |
113 |
6,922 |
105 |
45 |
87 |
421 |
379 |
1,605 |
323 |
| No. Carolina |
4 |
1 |
563 |
2 |
10 |
5 |
24 |
10 |
84 |
92 |
| North Dakota |
1 |
0 |
107 |
0 |
19 |
0 |
4 |
0 |
43 |
27 |
| Ohio |
3 |
1 |
813 |
0 |
26 |
2 |
35 |
8 |
126 |
124 |
| Oklahoma |
0 |
1 |
347 |
1 |
25 |
1 |
13 |
2 |
68 |
53 |
| Oregon |
3 |
1 |
361 |
0 |
16 |
4 |
18 |
1 |
45 |
45 |
| Pennsylvania |
59 |
7 |
1,034 |
1 |
8 |
4 |
36 |
17 |
141 |
122 |
| Puerto Rico |
0 |
0 |
30 |
0 |
1 |
0 |
1 |
0 |
5 |
6 |
| Rhode Island |
1 |
0 |
76 |
0 |
1 |
1 |
5 |
2 |
11 |
15 |
| So. Carolina |
3 |
0 |
241 |
0 |
4 |
2 |
10 |
4 |
19 |
53 |
| South Dakota |
0 |
0 |
113 |
0 |
22 |
0 |
4 |
2 |
39 |
32 |
| Tennessee |
4 |
4 |
666 |
3 |
17 |
9 |
44 |
26 |
147 |
69 |
| Texas |
7 |
5 |
2,323 |
1 |
69 |
25 |
114 |
45 |
341 |
264 |
| Utah |
1 |
1 |
170 |
0 |
4 |
0 |
8 |
5 |
22 |
31 |
| Vermont |
2 |
0 |
75 |
0 |
3 |
0 |
5 |
2 |
7 |
12 |
| Virginia |
2 |
2 |
623 |
4 |
14 |
8 |
46 |
22 |
204 |
77 |
| Washington |
1 |
0 |
582 |
0 |
9 |
1 |
22 |
13 |
76 |
83 |
| West Virginia |
0 |
0 |
65 |
0 |
0 |
0 |
1 |
1 |
6 |
14 |
| Wisconsin |
53 |
12 |
510 |
1 |
15 |
6 |
26 |
10 |
84 |
88 |
| Wyoming |
2 |
1 |
32 |
0 |
3 |
0 |
1 |
1 |
6 |
10 |
|
Total U.S. |
9,125 |
1,303 |
42,426 |
237 |
1,140 |
411 |
2,430 |
1,289 |
8,655 |
4,277 |
|
Total Foreign |
82 |
22 |
1,925 |
0 |
2 |
3 |
200 |
75 |
1,638 |
78 |
|
Total Registered |
9.207 |
1,325*** |
44,351 |
237 |
1,142 |
414 |
2,630 |
1,364 |
10,293 |
4,355 |
| *Although associated persons and principals may be affiliated with more than one firm, they are counted once at a single location. | ||||||||||
| ** A firm registered in more than one category is counted in each category | ||||||||||
| *** An additional 9 are authorized to continue to act as floor traders pending review of their application. | ||||||||||