SELECTED FCM FINANCIAL DATA AS OF 

October 31, 2005

FROM REPORTS FILED BY 

November 30, 2005

B/D? DSRO A/O Adjusted Net Capital Excess Custom

Futures Commission Merchant Date Net Capital Requirement Net Capital Seg Requ

4d(a)(

(a) (b) (c) (d) (e) 

1 ABN AMRO INCORPORATED Y CBOT 10/31/2005 1,010,035,133 260,427,532 749,607,601 2,9882 ABN AMRO SAGE CORPORATION Y NFA 10/31/2005 94,403,128 250,000 94,153,128 13 ADM INVESTOR SERVICES INC N CBOT 10/31/2005 106,467,507 37,794,114 68,673,393 9184 ADVANTAGE FUTURES LLC N CME 10/31/2005 9,417,066 2,566,098 6,850,968 1175 ADVEST INC Y NFA 10/31/2005 68,125,581 1,000,000 67,125,581 6 AG EDWARDS & SONS INC Y CBOT 10/31/2005 661,620,024 42,297,085 619,322,939 3467 AIG CLEARING CORPORATION N NYME 10/31/2005 279,837,587 32,885,649 246,951,938 78 ALARON TRADING CORPORATION N CME 10/31/2005 4,812,989 2,513,921 2,299,068 1289 ALPHA FOREIGN EXCHANGE GROUP LLC N NFA 10/31/2005 369,250 250,000 119,250 

10 AMERICAN MUTUAL HOLDING CORPORATION N NFA 10/31/2005 456,317 250,000 206,317 11 AMERICAN NATIONAL TRADING CORP N NFA 10/31/2005 1,491,710 387,984 1,103,726 2012 BACERA CORPORATION N NFA 10/31/2005 702,384 250,000 452,384 13 BANC OF AMERICA FUTURES INCORPORATED Y CME 10/31/2005 101,526,629 53,341,761 48,184,868 37914 BANC OF AMERICA SECURITIES LLC Y NFA 10/31/2005 1,815,575,914 312,263,226 1,503,312,688 15 BARCLAYS CAPITAL INC Y NYME 10/31/2005 603,095,345 283,033,250 320,062,095 2,76916 BATTERY ASSET MANAGEMENT LLC N NFA 10/31/2005 842,149 250,000 592,149 17 BEAR STEARNS & CO INC Y NFA 10/31/2005 1,978,820,789 72,664,203 1,906,156,586 18 BEAR STEARNS SECURITIES CORP Y CME 10/31/2005 3,788,521,922 1,098,009,831 2,690,512,091 2,80819 BIELFELDT & COMPANY LLC N CBOT 10/31/2005 387,052 250,000 137,052 20 BNP PARIBAS COMMODITY FUTURES INC N NYME 10/31/2005 121,399,826 49,642,627 71,757,199 87021 BNP PARIBAS SECURITIES CORP Y CBOT 10/31/2005 217,737,951 9,676,672 208,061,279 6622 C CZARNIKOW SUGAR FUTURES INC N NFA 10/31/2005 1,611,619 250,000 1,361,619 123 CADENT FINANCIAL SERVICES LLC N CME 10/31/2005 2,646,819 1,731,397 915,422 4924 CAL FINANCIAL CORPORATION N NFA 10/31/2005 327,989 250,000 77,989 25 CALYON FINANCIAL INC Y CME 10/31/2005 344,337,960 307,154,848 37,183,112 5,89626 CANTOR FITZGERALD & CO Y CBOT 10/31/2005 106,539,020 4,770,780 101,768,240 4227 CAPITAL MARKET SERVICES LLC N NFA 10/31/2005 3,144,531 250,000 2,894,531 28 CIBC WORLD MARKETS CORP Y CME 10/31/2005 988,622,055 25,580,131 963,041,924 29 CITIGROUP GLOBAL MARKETS INC Y CBOT 10/31/2005 3,292,323,631 692,442,585 2,599,881,046 8,21530 CLIFDEN FUTURES LLC N NFA 10/31/2005 514,598 250,000 264,598 431 CLIFF LARSON COMPANY THE N NFA 10/31/2005 346,756 250,000 96,756 132 CMC MARKETS (US) LLC N NFA 10/31/2005 929,842 250,000 679,842 33 COESfx CLEARING INC N NFA 10/31/2005 1,279,366 250,000 1,029,366 34 COMTRUST INC N NFA 10/31/2005 995,499 514,126 481,373 935 COUNTRY HEDGING INC N NFA 10/31/2005 13,064,797 2,297,074 10,767,723 3436 CREDIT SUISSE FIRST BOSTON LLC Y CBOT 10/31/2005 4,026,200,896 175,995,590 3,850,205,307 1,81437 CROSSLAND LLC N CBOT 10/31/2005 2,693,335 250,000 2,443,335 938 CUNNINGHAM COMMODITIES INC N CBOT 10/31/2005 1,541,033 369,266 1,171,767 1239 DAIWA SECURITIES AMERICA INC Y CME 10/31/2005 185,016,624 1,793,584 183,223,041 2140 DEUTSCHE BANK SECURITIES INC Y CBOT 10/31/2005 2,722,510,476 222,874,115 2,499,636,361 1,63341 DIRECT FOREX LLC N NFA 10/31/2005 477,511 250,000 227,511 42 DORMAN TRADING LLC N CME 10/31/2005 4,645,065 353,278 4,291,787 2543 DUNAVANT COMMODITY CORP N NYCE 12/31/2005 16,468,205 659,858 15,808,347 1444 EAGLE MARKET MAKERS INC N CBOT 10/31/2005 1,665,925 250,000 1,415,925 545 ED &F MAN COMMODITY ADVISORS INC N NFA 10/31/2005 389,732 250,000 139,732 46 ELECTRONIC BROKERAGE SYSTEMS LLC Y NFA 10/31/2005 4,450,487 250,000 4,200,487 
SELECTED FCM FINANCIAL DATA AS OF 

October 31, 2005

FROM REPORTS FILED BY 

November 30, 2005

B/D? DSRO A/O Adjusted Net Capital Excess Custom

Futures Commission Merchant Date Net Capital Requirement Net Capital Seg Requ

4d(a)(

(a) (b) (c) (d) (e) 

47 ENSKILDA FUTURES LIMITED N CME 10/31/2005 10,862,770 7,051,046 3,811,724 16048 FARR FINANCIAL INC N NFA 10/31/2005 1,617,392 812,891 804,501 3449 FC STONE LLC N CME 10/31/2005 25,356,695 15,261,521 10,095,174 59950 FCT GROUP LLC N CME 10/31/2005 9,579,456 678,000 8,901,456 851 FIMAT PREFERRED LLC Y NFA 10/31/2005 28,934,771 936,654 27,998,117 52 FIMAT USA LLC Y NYME 10/31/2005 471,197,551 313,146,375 158,051,176 5,32553 FIRST CAPITOL GROUP LLC N NFA 10/31/2005 4,189,534 878,681 3,310,853 4554 FOREFRONT INVESTMENTS CORPORATION N NFA 10/31/2005 399,591 250,000 149,591 55 FOREX CAPITAL MARKETS LLC N NFA 10/31/2005 58,306,780 250,000 58,056,780 56 FOREX INTERNATIONAL INVESTMENTS INC N NFA 10/31/2005 691,759 250,000 441,759 57 FORTIS CLEARING CHICAGO LLC N CBOT 10/31/2005 43,972,961 5,556,826 38,416,135 19358 FRIEDBERG MERCANTILE GROUP INC N NFA 10/31/2005 1,536,066 250,000 1,286,066 359 FRONTIER FUTURES INC N NFA 10/31/2005 1,401,888 383,712 1,018,176 1760 FUTURES TECH LLC N NFA 10/30/2005 435,934 250,000 185,934 61 FX OPTION1 INC N NFA 10/31/2005 863,821 250,000 613,821 62 FX SOLUTIONS LLC N NFA 10/31/2005 7,014,023 250,000 6,764,023 63 FX TRADING LLC N NFA 10/31/2005 10,967 250,000 -239,033 64 FXCM LLC N NFA 10/31/2005 377,338 250,000 127,338 65 GAIN CAPITAL GROUP INC N NFA 10/31/2005 18,922,268 250,000 18,672,268 66 GARBAN FUTURES LLC N CME 10/31/2005 5,177,476 456,607 4,720,869 1367 GELBER GROUP LLC N CBOT 10/31/2005 35,974,584 566,318 35,408,266 3968 GFS FOREX & FUTURES INC N NFA 10/31/2005 306,720 250,000 56,720 69 GILDER GAGNON HOWE AND CO LLC Y NFA 10/31/2005 36,784,179 250,000 36,534,179 70 GLOBAL FUTURES & FOREX LIMITED Y NFA 10/31/2005 23,106,100 4,409,427 18,696,673 71 GLOBAL FUTURES LLC N NFA 10/31/2005 379,944 250,000 129,944 72 GOLDENBERG HEHMEYER & CO Y CBOT 10/31/2005 7,058,889 3,406,170 3,652,719 9873 GOLDMAN SACHS & CO Y CBOT 10/28/2005 (g) 1,038,189,802 (g) 10,46274 GOLDMAN SACHS EXECUTION & CLEARING LP Y CME 10/28/2005 1,406,138,778 36,145,706 1,369,993,072 52175 GOLDMANY FINANCE INC N NFA 10/31/2005 288,267 250,000 38,267 76 GREENWICH CAPITAL MARKETS INC Y CBOT 10/31/2005 731,135,000 55,252,000 675,883,000 42977 H & R BLOCK FINANCIAL ADVISORS INC N NFA 10/31/2005 116,364,086 12,180,315 104,183,771 78 HAGERTY GRAIN CO INC N CBOT 10/31/2005 1,699,023 250,000 1,449,023 779 HOTSPOT FX INC N NFA 10/31/2005 8,125,188 250,000 7,875,188 80 HOTSPOT FXr LLC N NFA 10/31/2005 1,170,128 250,000 920,128 81 HSBC SECURITIES USA INC Y CME 10/31/2005 651,731,364 46,056,587 605,674,777 86282 IFSCL USA INC N NFA 10/31/2005 1,306,062 250,000 1,056,062 83 IFX MARKETS INC N NFA 10/31/2005 5,207,643 250,000 4,957,643 84 IG FINANCIAL MARKETS INC. N NFA 10/31/2005 391,333 250,000 141,333 85 INTEGRATED BROKERAGE SERVICES LLC N NFA 10/31/2005 1,290,607 250,000 1,040,607 186 INTERACTIVE BROKERS LLC Y NFA 10/31/2005 161,436,821 13,746,852 147,689,969 13387 INTERBANK FX LLC N NFA 10/31/2005 1,560,649 250,000 1,310,649 88 INTERNATIONAL COMMODITY CLEARING(1) N NFA 10/31/2005 47,685 250,000 -202,315 89 IOWA GRAIN CO N CBOT 10/31/2005 7,738,209 4,038,052 3,700,157 11890 ITAU SECURITIES INC Y NFA 10/31/2005 15,558,355 250,000 15,308,355 91 IXIS SECURITIES NORTH AMERICA INC Y NFA 10/31/2005 84,445,537 250,000 84,195,537 92 JP MORGAN FUTURES INC N NYME 10/31/2005 939,672,064 480,816,853 458,855,211 7,26193 KJW LLC N NFA 10/31/2005 3,492,186 250,000 3,242,186 
SELECTED FCM FINANCIAL DATA AS OF 

October 31, 2005

FROM REPORTS FILED BY 

November 30, 2005

B/D? DSRO A/O Adjusted Net Capital Excess Custom

Futures Commission Merchant Date Net Capital Requirement Net Capital Seg Requ

4d(a)(

(a) (b) (c) (d) (e) 

94 KOTTKE ASSOCIATES LLC N CBOT 10/31/2005 14,534,902 323,977 14,210,925 4395 LADENBURG THALMANN & CO INC Y NFA 10/31/2005 4,759,850 250,000 4,509,850 96 LBS LIMITED PARTNERSHIP N CBOT 10/31/2005 408,539 250,000 158,539 97 LEADER INVESTMENTS INC Y NFA 10/31/2005 505,016 250,000 255,016 98 LEGG MASON WOOD WALKER INC Y NYME 10/31/2005 478,133,600 22,300,575 455,833,025 99 LEHMAN BROTHERS INC Y CBOT 10/31/2005 1,944,332,000 229,378,720 1,714,953,280 3,614

100 LINN GROUP ( THE ) N NFA 10/31/2005 396,742 250,000 146,742 101 LINSCO/PRIVATE LEDGER CORP Y NFA 10/31/2005 61,838,134 5,463,748 56,374,386 102 LOEB PARTNERS CORPORATION Y NFA 10/31/2005 29,551,156 250,000 29,301,156 103 MAN FINANCIAL INC N CME 10/31/2005 297,390,065 226,413,902 70,976,163 4,802104 MARQUETTE ELECTRONIC BROKERAGE LLC N NFA 10/31/2005 1,347,145 250,000 1,097,145 105 MAXCOR FINANCIAL INC Y NFA 10/31/2005 17,897,182 250,000 17,647,182 106 MBF CLEARING CORP N NYME 10/31/2005 10,799,295 1,754,466 9,044,829 144107 MBT TECHNOLOGIES LLC N NFA 10/31/2005 753,744 250,000 503,744 108 MCVEAN TRADING AND INVESTMENTS LLC N NFA 10/31/2005 6,087,942 1,866,335 4,221,607 389109 MERRILL LYNCH PIERCE FENNER & SMITH Y CBOT 11/04/2005 (g) 502,974,000 (g) 6,503110 MERRILL LYNCH PROFESSIONAL CLEARING CORP Y NFA 11/04/2005 1,271,127,998 45,600,183 1,225,527,815 679

111 MID-CO COMMODITIES INC N NFA 10/31/2005 4,241,997 1,027,763 3,214,234 15112 MITSUI BUSSAN COMMODITIES USA INC N NYME 10/31/2005 6,169,689 250,000 5,919,689 113 MIZUHO SECURITIES USA INC Y CME 10/31/2005 144,843,224 15,279,060 129,564,164 201114 MONEY GARDEN CORP N NFA 10/31/2005 2,408,372 250,000 2,158,372 115 MORGAN KEEGAN & COMPANY INC Y NFA 10/31/2005 318,317,521 12,230,296 306,087,225 116 MORGAN STANLEY & CO INCORPORATED Y CME 10/31/2005 3,242,830,008 811,775,681 2,431,054,327 2,938117 MORGAN STANLEY DW INC Y CBOT 10/31/2005 1,107,345,899 80,939,517 1,026,406,382 1,064118 NATIONS INVESTMENTS LLC N NFA 10/31/2005 626,742 510,190 116,552 6119 NEUBERGER BERMAN LLC Y NFA 10/31/2005 218,176,450 13,616,972 204,559,478 20120 NIKKO ALTERNATIVE ASSET MANAGEMENT INC N NFA 10/31/2005 21,474,180 250,000 21,224,180 121 NOMURA SECURITIES INTERNATIONAL INC Y CBOT 10/31/2005 561,423,590 10,376,739 551,046,851 4122 OANDA CORPORATION N NFA 10/31/2005 30,255,021 250,000 30,005,021 123 OCONNOR & COMPANY LLC Y CBOT 10/31/2005 48,023,318 3,325,861 44,697,457 115124 ODL SECURITIES INC N NFA 10/31/2005 394,404 250,000 144,404 125 OPEN E CRY LLC N NFA 10/31/2005 1,289,099 744,246 544,853 27126 OPPENHEIMER & CO INC Y NFA 10/31/2005 194,795,572 26,091,655 168,703,917 22127 OPTIONSXPRESS INC N NFA 10/31/2005 6,854,076 655,092 6,198,984 128 PENSON FINANCIAL FUTURES INC N NFA 10/31/2005 1,087,449 250,000 837,449 14129 PEREGRINE FINANCIAL GROUP INC N NFA 10/31/2005 8,212,173 3,393,279 4,818,894 141130 PIONEER FUTURES INC N NYME 10/31/2005 569,771 250,000 319,771 131 PIPER JAFFRAY & CO Y NFA 10/31/2005 303,816,873 12,117,644 291,699,229 132 PRUDENTIAL FINANCIAL DERIVATIVES LLC N CBOT 10/31/2005 118,978,000 85,185,600 33,792,400 1,825133 RAND FINANCIAL SERVICES INC N CME 10/31/2005 21,443,400 8,181,976 13,261,424 117134 RAYMOND JAMES & ASSOCIATES INC Y NFA 10/28/2005 364,294,561 26,015,962 338,278,599 135 RBC CAPITAL MARKETS CORPORATION Y CME 10/31/2005 262,815,561 62,640,274 200,175,287 4136 RBC DAIN RAUSCHER INC Y NFA 10/31/2005 325,599,972 35,800,189 289,799,783 137 REDSKY FINANCIAL LLC Y NFA 10/31/2005 773,610 250,000 523,610 138 REFCO LLC N CME 10/31/2005 434,396,953 149,538,068 284,858,885 2,533139 RJ OBRIEN ASSOCIATES INC N CME 10/31/2005 87,213,778 68,048,890 19,164,888 1,603140 ROBBINS FUTURES INC N NFA 10/31/2005 524,490 250,000 274,490 6
SELECTED FCM FINANCIAL DATA AS OF 

October 31, 2005

FROM REPORTS FILED BY 

November 30, 2005

B/D? DSRO A/O Adjusted Net Capital Excess Custom

Futures Commission Merchant Date Net Capital Requirement Net Capital Seg Requ

4d(a)(

(a) (b) (c) (d) (e) 

141 ROSENTHAL COLLINS GROUP LLC N CME 10/31/2005 41,262,521 13,611,208 27,651,313 532142 ROSENTHAL GLOBAL SECURITIES LLC Y CBOT 10/31/2005 11,992,104 531,764 11,460,340 143 SANFORD C BERNSTEIN & CO LLC Y NFA 10/31/2005 162,681,995 24,710,107 137,971,888 144 SENTINEL MANAGEMENT GROUP INC N NFA 10/31/2005 2,176,290 250,000 1,926,290 948145 SHATKIN ARBOR INC N CBOT 10/31/2005 4,388,020 250,000 4,138,020 12146 SHAY GRAIN CLEARING COMPANY N KCBT 10/31/2005 1,010,397 288,730 721,667 5147 SMW TRADING COMPANY INC N CME 10/31/2005 16,098,923 325,741 15,773,182 5148 SNC INVESTMENTS INC N NFA 10/31/2005 347,805 250,000 97,805 149 SOLID GOLD FINANCIAL SERVICES INC N NFA 10/31/2005 627,602 250,000 377,602 150 SPENCER FINANCIAL LLC N NFA 10/31/2005 403,438 250,000 153,438 151 STEPHENS INC Y NFA 10/28/2005 46,986,100 12,203,882 34,782,218 152 STERLING COMMODITIES CORP N NYME 10/31/2005 7,233,201 577,970 6,655,231 50153 STILLPOINT WEALTH MANAGEMENT LLC Y NFA 10/31/2005 477,510 250,000 227,510 154 SWISS AMERICAN SECURITIES INC Y NFA 10/31/2005 90,459,408 5,506,425 84,952,983 155 TCA FUTURES LLC N NFA 10/31/2005 438,714 250,000 188,714 156 TENCO INC N CBOT 10/31/2005 26,357,219 3,238,113 23,119,106 95157 TERRA NOVA TRADING LLC Y NFA 10/31/2005 4,036,282 1,500,000 2,536,282 158 TIMBER HILL LLC Y CME 10/31/2005 440,663,147 7,727,234 432,935,913 106159 TOKYO-MITSUBISHI FUTURES USA INC N CME 10/31/2005 22,206,103 250,000 21,956,103 160 TOWER RESEARCH CAPITAL EUROPE LLC N NFA 10/31/2005 1,319,773 250,000 1,069,773 161 TRADELINK LLC Y CBOT 10/31/2005 23,115,483 349,737 22,765,746 162 TRADESTATION SECURITIES INC Y NFA 10/31/2005 32,518,071 1,880,223 30,637,848 163 TRADITION SECURITIES AND FUTURES INC N NFA 10/31/2005 390,116 250,000 140,116 164 TRANSMARKET GROUP LLC Y CBOT 10/31/2005 9,832,050 250,000 9,582,050 165 TREND COMMODITIES LIMITED PARTNERSHIP N NFA 10/31/2005 452,849 250,000 202,849 166 TRILAND USA INC N NYME 10/30/2005 28,360,772 6,970,638 21,390,134 126167 UBS FINANCIAL SERVICES INC Y CBOT 10/31/2005 1,286,028,797 169,323,281 1,116,705,516 1,990168 UBS SECURITIES LLC Y CBOT 10/31/2005 3,698,453,036 471,896,393 3,226,556,643 6,606169 UNITED CLEARING LLC N NFA 10/31/2005 792,827 250,000 542,827 170 VELOCITY FUTURES LP N NFA 10/31/2005 816,412 250,000 566,412 30171 VISION LIMITED PARTNERSHIP N NFA 10/31/2005 21,578,451 10,648,893 10,929,558 355172 WACHOVIA CAPITAL MARKETS LLC Y NFA 10/31/2005 1,121,112,217 2,133,142 1,118,979,075 173 WACHOVIA SECURITIES FINANCIAL NETWORK LL Y NFA 10/31/2005 23,233,670 1,408,417 21,825,253 174 WACHOVIA SECURITIES LLC Y NFA 10/31/2005 490,225,173 1,718,188 488,506,985 175 WALL STREET DERIVATIVES INC N NFA 10/31/2005 385,000 250,000 135,000 176 WHITE COMMERCIAL CORPORATION N NFA 10/31/2005 2,153,619 250,000 1,903,619 177 WORLDWIDE CLEARING N NFA 10/31/2005 563,475 250,000 313,475 178 XPRESSTRADE LLC N NFA 10/31/2005 6,591,513 1,140,992 5,450,521 87179 YORK BUSINESS ASSOCIATES LLC N NFA 10/31/2005 739,795 250,000 489,795 8

Total 93,361

September Web Page Update 179Additions 2Trend Commodities Limited PartnershipBanc of America Securities LLC
SELECTED FCM FINANCIAL DATA AS OF 

October 31, 2005

FROM REPORTS FILED BY 

November 30, 2005

B/D? DSRO A/O Adjusted Net Capital Excess Custom

Futures Commission Merchant Date Net Capital Requirement Net Capital Seg Requ

4d(a)(

(a) (b) (c) (d) (e) 

Deletions 2UFJ Futures LLCCMC Group PLCName ChangeOctober Web Page Update 179(1) International Commodity Clearing has filed a NFA form7-W to withdraw as a FCM. The firm has transferred theircustomer business.(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): A firm's net capital requirement is the greater of (1) $250,000; or(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 (currently NFA is the only such association);(4) for securities brokers and dealers, the amount of net capital required by Rule 15c3-1(a) of the Securities and Exchange Commission.(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. 
SELECTED FCM FINANCIAL DATA AS OF 

October 31, 2005

FROM REPORTS FILED BY 

November 30, 2005

B/D? DSRO A/O Adjusted Net Capital Excess Custom

Futures Commission Merchant Date Net Capital Requirement Net Capital Seg Requ

4d(a)(

(a) (b) (c) (d) (e) 

(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 October 31, 2005, 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 themarket 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 October 31, 2005, 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: fzimmerle@cftc.gov; s_williams@cftc.gov or sgreska@cftc.gov.