SELECTED FCM FINANCIAL DATA AS OF 

October 31, 2006

FROM REPORTS FILED BY 

November 30, 2006

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

Futures Commission Merchant Date Net Capital Requirement Net Capital 

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

1 3D FOREX, LLC N NFA 10/31/2006 1,688,553 500,000 1,1882 ABBEY NATIONAL SECURITIES INC Y NFA 10/31/2006 135,535,773 23,533,020 112,0023 ABN AMRO INCORPORATED Y CBOT 10/31/2006 1,450,783,936 1,733,368 1,449,0504 ADM INVESTOR SERVICES INC N CBOT 10/31/2006 129,532,663 61,533,362 67,9995 ADVANCED MARKETS INC N NFA 10/31/2006 1,044,306 500,000 5446 ADVANTAGE FUTURES LLC N CME 10/31/2006 13,260,945 4,021,465 9,2397 AG EDWARDS & SONS INC Y CBOT 10/31/2006 867,228,315 37,707,242 829,5218 AIG CLEARING CORPORATION N NYME 10/31/2006 292,134,328 46,237,326 245,8979 ALARON TRADING CORPORATION N CME 10/31/2006 6,327,629 3,430,533 2,897

10 ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC Y NFA 09/30/2006 27,382,777 5,863,790 21,51811 ALPHA FOREIGN EXCHANGE GROUP LLC N NFA 10/31/2006 506,672 500,000 612 AMERICAN NATIONAL TRADING CORP N NFA 10/31/2006 2,736,386 1,000,000 1,73613 BACERA CORPORATION N NFA 10/31/2006 737,497 1,000,000 -26214 BANC OF AMERICA SECURITIES LLC Y CME 10/31/2006 1,757,463,940 330,617,311 1,426,84615 BARCLAYS CAPITAL INC Y NYME 10/31/2006 728,762,624 282,223,653 446,53816 BATTERY ASSET MANAGEMENT LLC N NFA 10/31/2006 623,299 500,000 12317 BEAR STEARNS & CO INC Y NFA 10/31/2006 (g) 559,604,739 (g) 18 BEAR STEARNS SECURITIES CORP Y CME 10/31/2006 3,586,269,074 1,153,543,461 2,432,72519 BNP PARIBAS COMMODITY FUTURES INC N NYME 10/31/2006 126,191,471 81,899,394 44,29220 BNP PARIBAS SECURITIES CORP Y CBOT 10/31/2006 493,021,421 20,768,800 472,25221 BROOKSTREET SECURITIES CORPORATION Y NFA 10/31/2006 2,963,325 591,095 2,37222 C CZARNIKOW SUGAR FUTURES INC N NFA 10/31/2006 1,681,735 500,000 1,18123 CADENT FINANCIAL SERVICES LLC N CME 10/31/2006 5,924,679 3,570,989 2,35324 CAL FINANCIAL CORPORATION N NFA 10/31/2006 1,042,314 1,000,000 4225 CALYON FINANCIAL INC Y CME 10/31/2006 660,280,829 474,569,525 185,71126 CANTOR FITZGERALD & CO Y CBOT 10/31/2006 187,452,998 3,772,574 183,68027 CAPITAL MARKET SERVICES LLC N NFA 10/31/2006 10,566,488 2,450,922 8,11528 CIBC WORLD MARKETS CORP Y CME 10/31/2006 1,093,772,399 20,450,450 1,073,32129 CITIGROUP GLOBAL MARKETS INC Y CBOT 10/31/2006 (g) 730,768,855 (g) 30 CLIFF LARSON COMPANY THE N NFA 10/31/2006 738,956 500,000 23831 CMC MARKETS (US) LLC N NFA 10/31/2006 7,651,059 5,000,000 2,65132 COMTRUST INC N NFA 10/31/2006 981,523 500,000 48133 COUNTRY HEDGING INC N NFA 10/31/2006 16,332,442 6,593,025 9,73934 CREDIT SUISSE SECURITIES (USA) LLC Y CBOT 10/31/2006 3,569,447,589 180,694,848 3,388,75235 CROSSLAND LLC N CBOT 10/31/2006 3,747,564 500,000 3,24736 CUNNINGHAM COMMODITIES LLC N CBOT 10/31/2006 1,709,560 500,000 1,20937 DAIWA SECURITIES AMERICA INC Y CME 10/31/2006 210,157,629 501,151 209,65638 DEUTSCHE BANK SECURITIES INC Y CBOT 10/31/2006 2,643,414,433 249,161,537 2,394,25239 DIRECT FOREX LLC N NFA 10/31/2006 1,408,215 1,000,000 40840 DORMAN TRADING LLC N CME 10/31/2006 7,644,021 500,000 7,14441 DUNAVANT COMMODITY CORP N NYBT 10/31/2006 22,892,282 769,938 22,12242 E FX OPTIONS LLC N NFA 10/31/2006 4,921,548 1,000,000 3,92143 EAGLE MARKET MAKERS INC N CBOT 10/31/2006 2,914,866 500,000 2,41444 ED &F MAN COMMODITY ADVISORS INC N NFA 10/31/2006 781,721 500,000 28145 ELECTRONIC BROKERAGE SYSTEMS LLC Y NFA 10/31/2006 7,239,556 500,000 6,73946 ENSKILDA FUTURES LTD N CME 10/31/2006 15,016,369 10,376,633 4,639
SELECTED FCM FINANCIAL DATA AS OF 

October 31, 2006

FROM REPORTS FILED BY 

November 30, 2006

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

Futures Commission Merchant Date Net Capital Requirement Net Capital 

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

47 FARR FINANCIAL INC N NFA 10/31/2006 2,781,656 1,000,000 1,78148 FC STONE LLC N CME 10/31/2006 40,207,210 28,575,283 11,63149 FCT GROUP LLC N CME 10/31/2006 5,650,453 507,310 5,14350 FIMAT PREFERRED LLC Y NFA 10/31/2006 34,145,151 1,605,796 32,53951 FIMAT USA LLC Y NYME 10/31/2006 560,363,935 413,928,534 146,43552 FIRST CAPITOL GROUP LLC N NFA 10/31/2006 5,174,571 1,507,152 3,66753 FOREFRONT INVESTMENTS CORPORATION N NFA 10/31/2006 1,565,966 1,000,000 56554 FOREX CAPITAL MARKETS LLC N NFA 10/31/2006 34,216,549 13,752,269 20,46455 FOREX CLUB FINANCIAL COMPANY INC N NFA 10/31/2006 2,202,059 1,000,000 1,20256 FOREX INTERNATIONAL INVESTMENTS INC N NFA 10/31/2006 1,696,127 1,000,000 69657 FOREX LIQUIDITY LLC N NFA 10/31/2006 2,582,798 1,000,000 1,58258 FORTIS CLEARING AMERICAS LLC Y CBOT 10/31/2006 110,546,242 14,372,302 96,17359 FORWARD FOREX INC N NFA 10/31/2006 1,204,790 1,000,000 20460 FREEDOM FX LLC N NFA 10/31/2006 975,053 1,000,000 -2461 FRIEDBERG MERCANTILE GROUP INC N NFA 10/31/2006 4,736,185 1,000,000 3,73662 FRONTIER FUTURES INC N NFA 10/31/2006 3,175,503 1,685,046 1,49063 FUTURES TECH LLC N NFA 10/31/2006 867,571 500,000 36764 FX OPTION1 INC N NFA 10/31/2006 502,341 500,000 265 FX SOLUTIONS LLC N NFA 10/31/2006 9,709,092 4,559,789 5,14966 FXCM LLC N NFA 10/31/2006 758,909 500,000 25867 GAIN CAPITAL GROUP LLC N NFA 10/31/2006 18,425,886 4,306,908 14,11868 GELBER GROUP LLC N CBOT 10/31/2006 27,016,670 844,246 26,17269 GFS FOREX & FUTURES INC N NFA 10/31/2006 2,023,355 1,000,000 1,02370 GILDER GAGNON HOWE & CO LLC Y NFA 10/31/2006 35,413,731 500,000 34,91371 GLOBAL FUTURES & FOREX LIMITED Y CFTC 10/31/2006 38,008,401 750,000 37,25872 GLOBAL FUTURES LLC N NFA 10/31/2006 8,067,262 500,000 7,56773 GOLDENBERG HEHMEYER & CO Y CBOT 10/31/2006 9,699,304 3,294,265 6,40574 GOLDMAN SACHS & CO Y CBOT 10/27/2006 (g) 1,182,773,987 (g) 75 GOLDMAN SACHS EXECUTION & CLEARING LP Y CME 10/27/2006 933,847,309 42,902,991 890,94476 GREENWICH CAPITAL MARKETS INC Y CBOT 10/31/2006 1,152,323,000 63,816,000 1,088,50777 H & R BLOCK FINANCIAL ADVISORS INC Y NFA 10/31/2006 123,888,358 8,967,165 114,92178 HAGERTY GRAIN CO INC N CBOT 10/31/2006 1,721,469 500,000 1,22179 HAMILTON WILLIAMS LLC N NFA 10/31/2006 1,197,826 1,000,000 19780 HOTSPOT FXR LLC N NFA 10/31/2006 5,871,115 1,000,000 4,87181 HSBC SECURITIES USA INC Y CME 10/31/2006 689,645,537 47,911,047 641,73482 I TRADE FX LLC N NFA 10/31/2006 2,922,367 1,000,000 1,92283 ICAP FUTURES LLC N CME 10/31/2006 13,104,619 2,719,476 10,38584 IFSCL USA INC N NFA 10/31/2006 5,636,140 5,000,000 63685 IFX MARKETS INC N NFA 10/31/2006 7,869,974 2,889,094 4,98086 IG FINANCIAL MARKETS INC. N NFA 10/31/2006 987,264 500,000 48787 INTEGRATED BROKERAGE SERVICES LLC N NFA 10/31/2006 1,686,957 1,000,000 68688 INTERACTIVE BROKERS LLC Y EUXUS 10/31/2006 257,280,447 21,594,535 235,68589 INTERBANK FX LLC N NFA 10/31/2006 5,327,027 1,016,644 4,31090 IOWA GRAIN CO N CBOT 10/31/2006 10,367,484 6,455,818 3,91191 ITAU SECURITIES INC Y NFA 10/31/2006 26,248,792 500,000 25,74892 IXIS SECURITIES NORTH AMERICA INC Y NFA 10/31/2006 166,001,276 500,000 165,50193 JP MORGAN FUTURES INC N NYME 10/31/2006 1,077,873,959 647,176,277 430,697
SELECTED FCM FINANCIAL DATA AS OF 

October 31, 2006

FROM REPORTS FILED BY 

November 30, 2006

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

Futures Commission Merchant Date Net Capital Requirement Net Capital 

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

94 KOTTKE ASSOCIATES LLC N CBOT 10/31/2006 6,527,425 500,000 6,02795 LADENBURG THALMANN & CO INC Y NFA 10/31/2006 15,985,790 500,000 15,48596 LBS LIMITED PARTNERSHIP N CBOT 10/31/2006 685,020 500,000 18597 LEHMAN BROTHERS INC Y CBOT 10/31/2006 (g) 540,699,000 (g) 98 LINN GROUP ( THE ) N NFA 10/31/2006 763,123 500,000 26399 LINSCO PRIVATE LEDGER CORP Y NFA 10/31/2006 82,060,856 6,558,029 75,502

100 LOEB PARTNERS CORPORATION Y NFA 10/31/2006 26,098,244 500,000 25,598101 MACQUARIE FUTURES USA INC N NFA 10/31/2006 10,015,717 500,000 9,515102 MAN FINANCIAL INC N CME 10/31/2006 550,233,295 387,398,328 162,834103 MANCHESTER FINANCIAL GROUP INC N NFA 10/31/2006 519,012 500,000 19104 MARQUETTE ELECTRONIC BROKERAGE LLC N NFA 10/31/2006 1,368,986 500,000 868105 MB TRADING FUTURES INC. N NFA 10/31/2006 3,017,143 1,000,000 2,017106 MBF CLEARING CORP N NYME 10/31/2006 26,744,370 4,902,640 21,841107 MCVEAN TRADING AND INVESTMENTS LLC N NFA 10/31/2006 6,500,367 2,530,376 3,969108 MERRILL LYNCH PIERCE FENNER & SMITH Y CBOT 10/31/2006 (g) 509,035,883 (g) 109 MERRILL LYNCH PROFESSIONAL CLEARING CORP Y NFA 10/31/2006 952,593,871 40,051,339 912,542110 MID-CO COMMODITIES INC N NFA 10/31/2006 4,174,364 2,381,783 1,792111 MITSUI BUSSAN COMMODITIES USA INC N NYME 10/31/2006 5,935,849 516,927 5,418112 MIZUHO SECURITIES USA INC Y CME 10/31/2006 176,062,314 23,974,393 152,087113 MONEY GARDEN CORP N NFA 10/31/2006 2,683,296 1,000,000 1,683114 MORGAN KEEGAN & COMPANY INC Y NFA 10/31/2006 379,331,618 11,674,650 367,656115 MORGAN STANLEY & CO INCORPORATED Y CME 10/31/2006 (g) 1,215,219,217 (g) 116 MORGAN STANLEY DW INC Y CBOT 10/31/2006 1,316,703,381 68,924,545 1,247,778117 NATIONS INVESTMENTS LLC N NFA 10/31/2006 1,508,657 1,000,000 508118 NEUBERGER BERMAN LLC Y NFA 10/31/2006 360,684,888 15,072,165 345,612119 NOMURA SECURITIES INTERNATIONAL INC Y CBOT 10/31/2006 946,761,611 5,642,013 941,119120 OANDA CORPORATION N NFA 10/31/2006 32,812,412 5,024,673 27,787121 ODL SECURITIES INC N NFA 10/31/2006 1,622,129 1,000,000 622122 ONE WORLD CAPITAL GROUP N NFA 10/31/2006 1,233,507 1,000,000 233123 OPEN E CRY LLC N NFA 10/31/2006 1,035,896 543,347 492124 OPPENHEIMER & CO INC Y NFA 10/31/2006 164,712,442 24,036,733 140,675125 OPTIONSXPRESS INC Y NFA 10/31/2006 89,301,702 3,391,678 85,910126 PENSON FINANCIAL FUTURES INC N NFA 10/31/2006 1,503,831 500,000 1,003127 PEREGRINE FINANCIAL GROUP INC N NFA 10/31/2006 15,369,928 5,843,471 9,526128 PIONEER FUTURES INC N NYME 10/31/2006 2,345,678 500,000 1,845129 PIPER JAFFRAY & CO Y NFA 10/31/2006 366,900,278 2,499,824 364,400130 PRUDENTIAL FINANCIAL DERIVATIVES LLC N CBOT 10/31/2006 129,793,000 103,410,840 26,382131 RAND FINANCIAL SERVICES INC N CME 10/31/2006 27,046,437 11,593,815 15,452132 RAYMOND JAMES & ASSOCIATES INC Y NFA 10/31/2006 338,418,838 27,664,912 310,753133 RBC CAPITAL MARKETS CORPORATION Y CME 10/31/2006 321,741,804 57,937,400 263,804134 RBC DAIN RAUSCHER INC Y NFA 10/31/2006 350,468,131 34,235,873 316,232135 REDSKY FINANCIAL LLC Y NFA 10/31/2006 553,276 500,000 53136 RJ OBRIEN ASSOCIATES INC N CME 10/31/2006 113,546,627 84,011,845 29,534137 ROBBINS FUTURES INC N NFA 10/31/2006 585,551 500,000 85138 ROSENTHAL COLLINS GROUP LLC N CME 10/31/2006 37,397,093 20,985,329 16,411139 ROSENTHAL GLOBAL SECURITIES LLC Y CBOT 10/31/2006 6,291,062 500,000 5,791140 SANFORD C BERNSTEIN & CO LLC Y NFA 10/31/2006 158,911,024 41,632,317 117,278
SELECTED FCM FINANCIAL DATA AS OF 

October 31, 2006

FROM REPORTS FILED BY 

November 30, 2006

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

Futures Commission Merchant Date Net Capital Requirement Net Capital 

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

141 SENTINEL MANAGEMENT GROUP INC N NFA 10/31/2006 2,639,921 500,000 2,139142 SHATKIN ARBOR INC N CBOT 10/31/2006 5,181,052 500,000 4,681143 SHAY GRAIN CLEARING COMPANY N KCBT 10/31/2006 1,110,128 686,575 423144 SMW TRADING COMPANY INC N CME 10/31/2006 35,827,999 819,567 35,008145 SNC INVESTMENTS INC N NFA 10/31/2006 2,010,918 1,000,000 1,010146 SOLID GOLD FINANCIAL SERVICES INC N NFA 10/31/2006 2,387,850 1,000,000 1,387147 SPOT FX CLEARING CORP N NFA 10/31/2006 1,019,357 1,000,000 19148 STEPHENS INC Y NFA 10/27/2006 66,894,370 10,514,721 56,379149 STERLING COMMODITIES CORP N NYME 10/31/2006 7,711,940 925,504 6,786150 TCA FUTURES LLC N NFA 10/31/2006 813,008 500,000 313151 TENCO INC N CBOT 10/31/2006 30,532,537 5,739,049 24,793152 TERRA NOVA TRADING LLC Y NFA 10/31/2006 10,315,893 2,489,271 7,826153 TIMBER HILL LLC Y CME 10/31/2006 984,772,571 13,847,771 970,924154 TOWER RESEARCH CAPITAL EUROPE LLC N NFA 10/31/2006 1,802,200 500,000 1,302155 TRADELINK LLC Y CBOT 10/31/2006 22,817,163 500,000 22,317156 TRADEMAVEN CLEARING LLC N NFA 10/31/2006 802,594 500,000 302157 TRADESTATION SECURITIES INC Y NFA 10/31/2006 53,009,598 2,421,116 50,588158 TRADITION SECURITIES AND FUTURES INC N NFA 10/31/2006 783,109 500,000 283159 TRANSMARKET GROUP LLC Y CBOT 10/31/2006 10,945,460 500,000 10,445160 TREND COMMODITIES LIMITED PARTNERSHIP N NFA 10/31/2006 604,845 500,000 104161 TRILAND USA INC N NYME 10/31/2006 28,687,124 7,683,484 21,003162 UBS CLEARING SERVICES CORPORATION Y NFA 10/31/2006 99,892,134 588,084 99,304163 UBS FINANCIAL SERVICES INC Y CBOT 10/31/2006 1,283,667,615 157,805,961 1,125,861164 UBS SECURITIES LLC Y CBOT 10/31/2006 5,507,856,962 930,918,928 4,576,938165 UNITED GLOBAL MARKETS LLC N NFA 10/31/2006 1,217,785 1,000,000 217166 VELOCITY FUTURES LP N NFA 10/31/2006 1,870,180 500,000 1,370167 VISION LIMITED PARTNERSHIP N NFA 10/31/2006 26,771,969 12,873,341 13,898168 WACHOVIA CAPITAL MARKETS LLC Y CME 10/31/2006 1,585,768,991 1,273,290 1,584,495169 WACHOVIA SECURITIES FINANCIAL NETWORK, LLC Y NFA 10/31/2006 25,384,701 2,155,175 23,229170 WACHOVIA SECURITIES LLC Y NFA 10/31/2006 361,923,767 4,604,177 357,319171 WALL STREET DERIVATIVES INC N NFA 10/31/2006 908,731 500,000 408172 WHITE COMMERCIAL CORPORATION N NFA 10/31/2006 2,789,767 500,000 2,289173 XPRESSTRADE LLC N NFA 10/31/2006 8,621,249 1,714,210 6,907174 YORK BUSINESS ASSOCIATES LLC N NFA 10/31/2006 1,096,910 500,000 596

Total 

September Web Update 176Additions 0Deletions 2Leader Investments IncUnited Clearing LLCName ChangeABN AMRO SAGE Corporation to UBS Clearing Services Corporation
SELECTED FCM FINANCIAL DATA AS OF 

October 31, 2006

FROM REPORTS FILED BY 

November 30, 2006

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

Futures Commission Merchant Date Net Capital Requirement Net Capital 

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

October Web Update 174(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 requiredby 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 outsideof vthe United States. (g): This FCM/BD’s ultimate parent company is regulated by the SEC asa 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, 2006, 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 October 31, 2006, the firm had tentative net capital and net capital in excess of both the minimum and notification requirements. 
SELECTED FCM FINANCIAL DATA AS OF 

October 31, 2006

FROM REPORTS FILED BY 

November 30, 2006

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

Futures Commission Merchant Date Net Capital Requirement Net Capital 

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

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.