SELECTED FCM FINANCIAL DATA AS OF 

October 31, 2007

FROM REPORTS FILED BY 

November 30, 2007

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 10/31/2007 8,340,374 500,000 7,840,374 2 ABBEY NATIONAL SECURITIES INC Y NFA 10/31/2007 137,564,765 23,533,020 114,031,745 3 ADM INVESTOR SERVICES INC N CBOT 10/31/2007 160,989,606 59,592,602 101,397,004 4 ADVANCED MARKETS INC N NFA 10/31/2007 1,322,437 1,000,000 322,437 5 ADVANTAGE FUTURES LLC N CME 10/31/2007 19,246,883 3,536,540 15,710,343 6 AG EDWARDS & SONS INC Y CBOT 10/31/2007 1,262,701,677 33,043,393 1,229,658,284 7 AIG CLEARING CORPORATION N NYME 10/31/2007 293,303,386 40,598,943 252,704,443 8 ALARON TRADING CORPORATION N CME 10/31/2007 7,288,333 3,121,904 4,166,429 9 ALPARI (US) LLC N NFA 10/31/2007 2,481,626 1,000,000 1,481,626 

10 BACERA CORPORATION N NFA 10/31/2007 2,300,145 1,000,000 1,300,145 11 BANC OF AMERICA SECURITIES LLC Y CME 10/31/2007 2,116,052,393 351,855,130 1,764,197,263 12 BARCLAYS CAPITAL INC Y NYME 10/31/2007 1,314,404,218 389,276,055 925,128,163 13 BEAR STEARNS & CO INC Y NFA 10/31/2007 (g) 549,111,916 (g) 14 BEAR STEARNS SECURITIES CORP Y CME 10/31/2007 4,425,434,636 1,201,022,349 3,224,412,287 15 BGC SECURITIES Y NFA 10/31/2007 3,748,994 500,000 3,248,994 16 BNP PARIBAS COMMODITY FUTURES INC N NYME 10/31/2007 153,340,998 99,778,659 53,562,339 17 CADENT FINANCIAL SERVICES LLC N CME 10/31/2007 6,907,539 4,771,199 2,136,340 18 CALYON FINANCIAL INC Y CME 10/31/2007 739,338,990 459,645,942 279,693,048 19 CANTOR FITZGERALD & CO Y CBOT 10/31/2007 180,681,050 2,122,125 178,558,925 20 CAPITAL MARKET SERVICES LLC N NFA 10/31/2007 10,883,200 3,928,074 6,955,126 21 CIBC WORLD MARKETS CORP Y CME 10/31/2007 1,130,913,238 21,119,238 1,109,794,000 22 CITIGROUP GLOBAL MARKETS INC Y CBOT 10/31/2007 (g) 865,197,852 (g) 23 CLIFF LARSON COMPANY THE N NFA 10/31/2007 939,865 539,137 400,728 24 CMC MARKETS (US) LLC N NFA 10/31/2007 2,139,494 1,000,000 1,139,494 25 COMTRUST INC N NFA 10/31/2007 1,012,955 586,139 426,816 26 COUNTRY HEDGING INC N NFA 10/31/2007 18,061,439 10,545,405 7,516,034 27 CREDIT SUISSE SECURITIES (USA) LLC Y CBOT 10/31/2007 5,197,669,065 185,952,652 5,011,716,413 28 CROSSLAND LLC N CBOT 10/31/2007 3,630,929 500,000 3,130,929 29 CUNNINGHAM COMMODITIES LLC N CBOT 10/31/2007 3,359,255 894,471 2,464,784 30 DAIWA SECURITIES AMERICA INC Y CME 10/31/2007 222,476,164 2,345,625 220,130,539 31 DEUTSCHE BANK SECURITIES INC Y CBOT 10/31/2007 2,635,354,234 259,928,752 2,375,425,482 32 DIRECT FOREX LLC N NFA 10/31/2007 728,289 500,000 228,289 33 DORMAN TRADING LLC N CME 10/31/2007 10,646,645 500,000 10,146,645 34 DUNAVANT COMMODITY CORP N NFA 10/31/2007 37,061,053 1,235,105 35,825,948 35 E FX OPTIONS LLC N NFA 10/31/2007 4,530,543 1,000,000 3,530,543 36 EAGLE MARKET MAKERS INC N CBOT 10/31/2007 5,500,559 500,000 5,000,559 37 EASY FOREX US LTD N NFA 10/31/2007 3,789,605 2,000,000 1,789,605 38 ED &F MAN COMMODITY ADVISORS INC N NFA 10/31/2007 1,246,738 500,000 746,738 39 ELECTRONIC BROKERAGE SYSTEMS LLC Y NFA 10/31/2007 10,517,866 500,000 10,017,866 40 ENSKILDA FUTURES LTD N CME 10/31/2007 20,772,977 9,082,902 11,690,075 41 FARR FINANCIAL INC N NFA 10/31/2007 1,482,426 583,132 899,294 42 FC STONE LLC N CME 10/31/2007 86,747,911 41,771,267 44,976,644 43 FIMAT USA LLC Y NYME 10/31/2007 606,236,459 473,240,095 132,996,364 44 FIRST CAPITOL GROUP LLC N NFA 10/31/2007 6,480,456 1,775,377 4,705,079 45 FOREX CAPITAL MARKETS LLC N NFA 10/31/2007 65,255,249 13,407,759 51,847,490 46 FOREX CLUB FINANCIAL COMPANY INC N NFA 10/31/2007 3,320,420 1,000,000 2,320,420 
SELECTED FCM FINANCIAL DATA AS OF 

October 31, 2007

FROM REPORTS FILED BY 

November 30, 2007

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

Futures Commission Merchant Date Net Capital Requirement Net Capital 

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

47 FOREX LIQUIDITY LLC N NFA 10/31/2007 36,840,196 1,000,000 35,840,196 48 FORTIS CLEARING AMERICAS LLC Y CBOT 10/31/2007 170,386,272 38,667,055 131,719,217 49 FRIEDBERG MERCANTILE GROUP INC N NFA 10/31/2007 7,873,587 5,000,000 2,873,587 50 FRONTIER FUTURES INC N NFA 10/31/2007 1,509,207 716,551 792,656 51 FUTURES TECH LLC N NFA 10/31/2007 842,451 500,000 342,451 52 FX OPTION1 INC N NFA 10/31/2007 506,025 500,000 6,025 53 FX SOLUTIONS LLC N NFA 10/31/2007 19,061,609 1,649,518 17,412,091 54 FXCM LLC N NFA 10/31/2007 773,419 500,000 273,419 55 GAIN CAPITAL GROUP LLC N NFA 10/31/2007 32,669,427 4,828,602 27,840,825 56 GATEWAY CAPITAL L.L.C. N NFA 10/31/2007 537,160 500,000 37,160 57 GELBER GROUP LLC N CBOT 10/31/2007 57,080,478 1,065,283 56,015,195 58 GFS FOREX & FUTURES INC N NFA 10/31/2007 2,353,472 1,000,000 1,353,472 59 GILDER GAGNON HOWE AND CO LLC Y NFA 10/31/2007 22,818,525 500,000 22,318,525 60 GLOBAL FUTURES & FOREX N NFA 10/31/2007 41,229,946 7,631,611 33,598,335 61 GLOBAL FUTURES LLC N NFA 10/31/2007 8,227,624 500,000 7,727,624 62 GOLDMAN SACHS & CO Y CBOT 10/26/2007 (g) 1,841,084,515 (g) 63 GOLDMAN SACHS EXECUTION & CLEARING LP Y CME 10/26/2007 932,826,923 64,435,375 868,391,548 64 H & R BLOCK FINANCIAL ADVISORS INC Y NFA 10/31/2007 91,158,810 9,133,496 82,025,314 65 HAGERTY GRAIN CO INC N CBOT 10/31/2007 4,251,809 500,000 3,751,809 66 HAMILTON WILLIAMS LLC N NFA 10/31/2007 1,345,856 1,000,000 345,856 67 HOTSPOT FXR LLC N NFA 10/31/2007 6,031,746 1,000,000 5,031,746 68 HSBC SECURITIES USA INC Y CME 10/31/2007 812,566,773 63,009,187 749,557,586 69 I TRADE FX LLC N NFA 10/31/2007 15,814,623 2,614,993 13,199,630 70 ICAP FUTURES LLC N CBOT 10/31/2007 5,981,425 500,000 5,481,425 71 IFSCL USA INC N NFA 10/31/2007 7,557,664 5,000,000 2,557,664 72 IFX MARKETS INC N NFA 10/31/2007 9,837,999 2,258,150 7,579,849 73 IG FINANCIAL MARKETS INC. N NFA 10/31/2007 1,020,826 500,000 520,826 74 INSTINET LLC Y NFA 10/31/2007 75,202,153 5,954,884 69,247,269 75 INTEGRATED BROKERAGE SERVICES LLC N NFA 10/31/2007 1,822,671 500,000 1,322,671 76 INTERACTIVE BROKERS LLC Y EUXUS 10/31/2007 404,434,997 47,513,936 356,921,061 77 INTERBANK FX LLC N NFA 10/31/2007 28,845,075 4,498,912 24,346,163 78 IOWA GRAIN CO N CBOT 10/31/2007 17,133,089 10,790,180 6,342,909 79 ITAU SECURITIES INC Y NFA 10/31/2007 19,985,494 500,000 19,485,494 80 IXIS SECURITIES NORTH AMERICA INC Y NFA 10/31/2007 171,100,113 500,000 170,600,113 81 JP MORGAN FUTURES INC N NYME 10/31/2007 1,208,258,779 696,332,417 511,926,362 82 KOTTKE ASSOCIATES LLC N CBOT 10/31/2007 16,001,556 500,000 15,501,556 83 LADENBURG THALMANN & CO INC Y NFA 10/31/2007 48,707,916 500,000 48,207,916 84 LBS LIMITED PARTNERSHIP N CBOT 10/31/2007 892,278 500,000 392,278 85 LEHMAN BROTHERS INC Y CBOT 10/31/2007 (g) 552,743,000 (g) 86 LIMESTONE TRADING LLC N NFA 10/31/2007 6,560,172 500,000 6,060,172 87 LINN GROUP ( THE ) N NFA 10/31/2007 1,633,516 500,000 1,133,516 88 LINSCO/PRIVATE LEDGER CORP Y NFA 10/31/2007 58,969,186 8,508,128 50,461,058 89 LOEB PARTNERS CORPORATION Y NFA 10/31/2007 25,489,491 500,000 24,989,491 90 MACQUARIE FUTURES USA INC N NFA 10/31/2007 8,414,952 2,358,413 6,056,539 91 MB TRADING FUTURES INC. N NFA 10/31/2007 3,233,155 1,254,597 1,978,558 92 MBF CLEARING CORP N NYME 10/31/2007 26,430,122 1,807,831 24,622,291 93 MCVEAN TRADING AND INVESTMENTS LLC N NFA 10/31/2007 6,495,650 2,418,440 4,077,210 
SELECTED FCM FINANCIAL DATA AS OF 

October 31, 2007

FROM REPORTS FILED BY 

November 30, 2007

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

Futures Commission Merchant Date Net Capital Requirement Net Capital 

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

94 MERRILL LYNCH PIERCE FENNER & SMITH Y CBOT 11/02/2007 (g) 595,505,754 (g) 95 MERRILL LYNCH PROFESSIONAL CLEARING CORP Y NFA 11/02/2007 1,422,686,550 133,840,918 1,288,845,632 96 MF GLOBAL INC N CME 10/31/2007 535,142,778 427,261,012 107,881,766 97 MID-CO COMMODITIES INC N NFA 10/31/2007 5,419,914 3,144,217 2,275,697 98 MITSUI BUSSAN COMMODITIES USA INC N NYME 10/31/2007 5,915,436 797,363 5,118,073 99 MIZUHO SECURITIES USA INC Y CME 10/31/2007 98,790,679 35,665,545 63,125,134 

100 MONEY GARDEN CORP N NFA 10/31/2007 5,035,103 1,000,000 4,035,103 101 MORGAN KEEGAN & COMPANY INC Y NFA 10/31/2007 369,573,731 11,006,916 358,566,815 102 MORGAN STANLEY & CO INCORPORATED Y CME 10/31/2007 (g) 1,659,982,157 (g) 103 NEUBERGER BERMAN LLC Y NFA 10/31/2007 368,740,356 5,000,000 363,740,356 104 NOMURA SECURITIES INTERNATIONAL INC Y CBOT 10/31/2007 1,130,501,355 4,000,693 1,126,500,662 105 OANDA CORPORATION N NFA 10/31/2007 156,670,086 8,584,912 148,085,174 106 ODL SECURITIES INC N NFA 10/31/2007 2,566,080 1,000,000 1,566,080 107 ONE WORLD CAPITAL GROUP LLC N NFA 10/31/2007 1,227,227 14,208 1,213,019 108 OPEN E CRY LLC N NFA 10/31/2007 1,333,184 500,000 833,184 109 OPPENHEIMER & CO INC Y NFA 10/31/2007 196,409,988 25,183,994 171,225,994 110 OPTIONSXPRESS INC Y NFA 10/31/2007 91,109,426 5,287,096 85,822,330 111 PENSON FINANCIAL FUTURES INC N NFA 10/31/2007 2,092,296 500,000 1,592,296 112 PENSON GHCO N CBOT 10/31/2007 12,338,488 4,366,278 7,972,210 113 PEREGRINE FINANCIAL GROUP INC N NFA 10/31/2007 12,931,876 5,449,791 7,482,085 114 PIONEER FUTURES INC N NYME 10/31/2007 1,482,232 500,000 982,232 115 PRUDENTIAL BACHE COMMODITIES LLC N CBOT 10/31/2007 143,191,000 126,819,880 16,371,120 116 PUMA FINANCIAL LLC N NFA 10/31/2007 826,763 500,000 326,763 117 RAND FINANCIAL SERVICES INC N CME 10/31/2007 53,037,119 14,934,782 38,102,337 118 RAYMOND JAMES & ASSOCIATES INC Y NFA 10/31/2007 338,941,753 30,634,663 308,307,090 119 RBC CAPITAL MARKETS CORPORATION Y CME 10/31/2007 299,537,449 103,187,513 196,349,936 120 RBC DAIN RAUSCHER INC Y NFA 10/31/2007 489,124,670 30,651,062 458,473,608 121 RBS GREENWICH CAPITAL INC Y CBOT 10/31/2007 858,934,000 99,737,000 759,197,000 122 RJ OBRIEN & ASSOCIATES LLC N CME 10/31/2007 77,716,628 64,210,585 13,506,043 123 ROBBINS FUTURES INC N NFA 10/31/2007 550,631 500,000 50,631 124 ROSENTHAL COLLINS GROUP LLC N CME 10/31/2007 45,422,882 23,577,236 21,845,646 125 ROSENTHAL GLOBAL SECURITIES LLC Y CBOT 10/31/2007 9,789,613 500,000 9,289,613 126 SANFORD C BERNSTEIN & CO LLC Y NFA 10/31/2007 138,513,502 31,684,197 106,829,305 127 SHATKIN ARBOR INC N CBOT 10/31/2007 5,456,521 1,253,555 4,202,966 128 SHAY GRAIN CLEARING COMPANY N KCBT 10/31/2007 1,460,397 1,220,268 240,129 129 SMW TRADING COMPANY INC N CME 10/31/2007 26,799,237 500,000 26,299,237 130 SNC INVESTMENTS INC N NFA 10/31/2007 1,152,930 1,000,000 152,930 131 SOLID GOLD FINANCIAL SERVICES INC N NFA 10/31/2007 2,040,401 1,000,000 1,040,401 132 STEPHENS INC Y NFA 10/26/2007 89,429,144 10,470,018 78,959,126 133 STERLING COMMODITIES CORP N NYME 10/31/2007 9,372,351 1,292,107 8,080,244 134 TCA FUTURES LLC N NFA 10/31/2007 818,332 500,000 318,332 135 TENCO INC N CBOT 10/31/2007 42,108,485 6,198,150 35,910,335 136 TERRA NOVA TRADING LLC Y NFA 10/31/2007 16,926,070 1,551,336 15,374,734 137 TIMBER HILL LLC Y CME 10/31/2007 800,265,327 12,812,347 787,452,980 138 TOWER RESEARCH CAPITAL EUROPE LLC N NFA 10/31/2007 3,053,850 500,000 2,553,850 139 TRADELINK LLC Y CBOT 10/31/2007 27,475,163 609,546 26,865,617 140 TRADEMAVEN CLEARING LLC N NFA 10/31/2007 821,656 500,000 321,656 
SELECTED FCM FINANCIAL DATA AS OF 

October 31, 2007

FROM REPORTS FILED BY 

November 30, 2007

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

Futures Commission Merchant Date Net Capital Requirement Net Capital 

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

141 TRADESTATION SECURITIES INC Y NFA 10/31/2007 73,529,260 2,657,229 70,872,031 142 TRADITION SECURITIES AND FUTURES INC N NFA 10/31/2007 784,026 500,000 284,026 143 TRANSMARKET GROUP LLC Y CBOT 10/31/2007 9,290,708 500,000 8,790,708 144 TRILAND USA INC N NYME 10/31/2007 32,800,466 12,118,587 20,681,879 145 UBS FINANCIAL SERVICES INC Y CBOT 10/31/2007 963,393,066 131,407,599 831,985,467 146 UBS SECURITIES LLC Y CBOT 10/31/2007 11,069,681,143 954,701,049 10,114,980,094 147 VELOCITY FUTURES LP N NFA 10/31/2007 1,009,948 500,000 509,948 148 VISION FINANCIAL MARKETS LLC Y NFA 10/31/2007 21,442,986 9,420,833 12,022,153 149 WACHOVIA CAPITAL MARKETS LLC Y CME 10/31/2007 1,415,929,691 2,116,761 1,413,812,930 150 WACHOVIA SECURITIES FINANCIAL NETWORK, LLC Y NFA 10/31/2007 33,887,020 2,740,777 31,146,243 151 WACHOVIA SECURITIES LLC Y NFA 10/31/2007 395,082,123 1,500,000 393,582,123 152 WHITE COMMERCIAL CORPORATION N NFA 10/31/2007 2,957,773 500,000 2,457,773 153 WSD FINANCIAL USA, INC N NFA 10/31/2007 1,228,614 500,000 728,614 154 XPRESSTRADE LLC N NFA 10/31/2007 8,703,559 1,660,546 7,043,013 155 YORK BUSINESS ASSOCIATES LLC N NFA 10/31/2007 958,627 500,000 458,627 

Total 

September Web Page Update 157AdditionsAlpari (US) LLC 1Deletions 3BNP Paribas Securities CorpMaster Capital Group CorpRoyal Forex Trading LLCOctober Web Page Update 155Name Change(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. 
SELECTED FCM FINANCIAL DATA AS OF 

October 31, 2007

FROM REPORTS FILED BY 

November 30, 2007

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

Futures Commission Merchant Date Net Capital Requirement Net Capital 

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

(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 toSEC 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 tohold tentative net capital in excess of $1 billion and net capital in excess of $500 million in accordance with the market and credit riskstandards 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, phill@cftc.gov or s_williams@cftc.gov