SELECTED FCM FINANCIAL DATA AS OF 

November 30, 2006

FROM REPORTS FILED BY 

December 31, 2006

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

Futures Commission Merchant Date Net Capital Requirement Net Capital S

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

1 3D FOREX, LLC N NFA 11/30/2006 544,279 500,000 44,279 2 ABBEY NATIONAL SECURITIES INC Y NFA 11/30/2006 130,663,259 23,533,020 107,130,239 3 ABN AMRO INCORPORATED Y CBOT 11/30/2006 1,480,298,230 3,298,849 1,476,999,381 4 ADM INVESTOR SERVICES INC N CBOT 11/30/2006 136,063,270 67,198,550 68,864,720 5 ADVANCED MARKETS INC N NFA 11/30/2006 1,027,457 1,000,000 27,457 6 ADVANTAGE FUTURES LLC N CME 11/30/2006 12,422,199 3,414,364 9,007,835 7 AG EDWARDS & SONS INC Y CBOT 11/30/2006 827,836,241 38,474,782 789,361,459 8 AIG CLEARING CORPORATION N NYME 11/30/2006 290,328,265 49,678,890 240,649,375 9 ALARON TRADING CORPORATION N CME 11/30/2006 6,675,479 3,389,009 3,286,470 

10 ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC Y NFA 09/30/2006 27,382,777 5,863,790 21,518,987 11 ALPHA FOREIGN EXCHANGE GROUP N NFA 11/30/2006 508,867 500,000 8,867 12 AMERICAN NATIONAL TRADING CORP N NFA 11/30/2006 2,751,679 1,000,000 1,751,679 13 BACERA CORPORATION N NFA 11/30/2006 1,484,523 1,000,000 484,523 14 BANC OF AMERICA SECURITIES LLC Y CME 11/30/2006 1,718,268,672 339,806,475 1,378,462,197 15 BARCLAYS CAPITAL INC Y NYME 11/30/2006 941,812,114 303,767,377 638,044,737 16 BATTERY ASSET MANAGEMENT LLC N NFA 11/30/2006 615,770 500,000 115,770 17 BEAR STEARNS & CO INC Y NFA 11/30/2006 (g) 554,568,973 (g) 18 BEAR STEARNS SECURITIES CORP Y CME 11/30/2006 3,999,546,806 1,174,843,692 2,824,703,113 19 BNP PARIBAS COMMODITY FUTURES INC N NYME 11/30/2006 128,800,292 82,710,928 46,089,364 20 BNP PARIBAS SECURITIES CORP Y CBOT 11/30/2006 452,380,626 38,090,231 414,290,395 21 BROOKSTREET SECURITIES CORPORATION Y NFA 11/30/2006 6,033,332 507,944 5,525,388 22 C CZARNIKOW SUGAR FUTURES INC N NFA 11/30/2006 2,788,084 500,000 2,288,084 23 CADENT FINANCIAL SERVICES LLC N CME 11/30/2006 4,449,863 3,780,081 669,782 24 CAL FINANCIAL CORPORATION N NFA 11/30/2006 990,671 500,000 490,671 25 CALYON FINANCIAL INC Y CME 11/30/2006 660,902,168 512,595,180 148,306,988 26 CANTOR FITZGERALD & CO Y CBOT 11/30/2006 169,495,639 5,862,605 163,633,034 27 CAPITAL MARKET SERVICES LLC N NFA 11/30/2006 11,390,973 3,191,999 8,198,974 28 CIBC WORLD MARKETS CORP Y CME 11/30/2006 1,070,528,579 25,602,333 1,044,926,246 29 CITIGROUP GLOBAL MARKETS INC Y CBOT 11/30/2006 (g) 698,388,127 (g) 30 CLIFF LARSON COMPANY THE N NFA 11/30/2006 680,077 500,000 180,077 31 CMC MARKETS USA LLC N NFA 11/30/2006 7,341,731 5,000,000 2,341,731 32 COMTRUST INC N NFA 11/30/2006 885,071 500,000 385,071 33 COUNTRY HEDGING INC N NFA 11/30/2006 16,537,295 6,786,453 9,750,842 34 CREDIT SUISSE SECURITIES USA LLC Y CBOT 11/30/2006 3,439,980,720 184,895,335 3,255,085,385 35 CROSSLAND LLC N CBOT 11/30/2006 3,810,885 500,000 3,310,885 36 CUNNINGHAM COMMODITIES LLC N CBOT 11/30/2006 1,640,139 500,000 1,140,139 37 DAIWA SECURITIES AMERICA INC Y CME 11/30/2006 184,570,117 698,646 183,871,471 38 DEUTSCHE BANK SECURITIES INC Y CBOT 11/30/2006 3,062,834,845 270,382,333 2,792,452,512 39 DIRECT FOREX LLC N NFA 11/30/2006 1,440,592 1,000,000 440,592 40 DORMAN TRADING LLC N CME 11/30/2006 9,066,481 628,957 8,437,524 41 DUNAVANT COMMODITY CORP N NYBT 11/30/2006 23,742,548 500,000 23,242,548 42 E FX OPTIONS LLC N NFA 11/30/2006 4,662,266 1,000,000 3,662,266 43 EAGLE MARKET MAKERS INC N CBOT 11/30/2006 3,213,317 500,000 2,713,317 44 ED &F MAN COMMODITY ADVISORS INC N NFA 11/30/2006 788,289 500,000 288,289 45 ELECTRONIC BROKERAGE SYSTEMS LLC Y NFA 11/30/2006 8,382,548 500,000 7,882,548 46 ENSKILDA FUTURES LTD N CME 11/30/2006 15,166,429 12,138,429 3,028,000 
SELECTED FCM FINANCIAL DATA AS OF 

November 30, 2006

FROM REPORTS FILED BY 

December 31, 2006

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

Futures Commission Merchant Date Net Capital Requirement Net Capital S

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

47 FARR FINANCIAL INC N NFA 11/30/2006 3,082,099 1,000,000 2,082,099 48 FC STONE LLC N CME 11/30/2006 40,531,046 35,146,741 5,384,305 49 FCT GROUP LLC N CME 11/30/2006 5,411,898 586,226 4,825,672 50 FIMAT PREFERRED LLC Y NFA 11/30/2006 34,496,571 1,650,611 32,845,960 51 FIMAT USA LLC Y NYME 11/30/2006 571,013,798 412,231,935 158,781,863 52 FIRST CAPITOL GROUP LLC N NFA 11/30/2006 5,300,798 1,519,892 3,780,906 53 FOREFRONT INVESTMENTS CORPORATION N NFA 11/30/2006 1,603,494 1,000,000 603,494 54 FOREX CAPITAL MARKETS LLC N NFA 11/30/2006 33,866,745 12,430,298 21,436,447 55 FOREX CLUB FINANCIAL COMPANY INC N NFA 11/30/2006 2,710,025 1,000,000 1,710,025 56 FOREX INTERNATIONAL INVESTMENTS INC N NFA 11/30/2006 1,829,653 1,000,000 829,653 57 FOREX LIQUIDITY LLC N NFA 11/30/2006 3,901,303 1,000,000 2,901,303 58 FORTIS CLEARING AMERICAS LLC Y CBOT 11/30/2006 103,179,947 15,416,760 87,763,187 59 FORWARD FOREX INC N NFA 11/30/2006 1,359,784 1,000,000 359,784 60 FREEDOM FX LLC N NFA 11/30/2006 1,045,862 1,000,000 45,862 61 FRIEDBERG MERCANTILE GROUP INC N NFA 11/30/2006 4,646,280 1,000,000 3,646,280 62 FRONTIER FUTURES INC N NFA 11/30/2006 3,861,288 1,810,199 2,051,089 63 FUTURES TECH LLC N NFA 11/30/2006 869,628 500,000 369,628 64 FX OPTION1 INC N NFA 11/30/2006 503,641 500,000 3,641 65 FX SOLUTIONS LLC N NFA 11/30/2006 16,996,071 3,325,075 13,670,996 66 FXCM LLC N NFA 11/30/2006 761,119 500,000 261,119 67 GAIN CAPITAL GROUP LLC N NFA 11/30/2006 21,768,314 5,037,373 16,730,941 68 GELBER GROUP LLC N CBOT 11/30/2006 51,454,945 500,000 50,954,945 69 GFS FOREX & FUTURES INC N NFA 11/30/2006 2,086,352 1,000,000 1,086,352 70 GILDER GAGNON HOWE AND CO LLC Y NFA 11/30/2006 35,876,234 500,000 35,376,234 71 GLOBAL FUTURES & FOREX LIMITED Y CFTC 11/30/2006 42,518,852 250,000 42,268,852 72 GLOBAL FUTURES LLC N NFA 11/30/2006 8,085,607 500,000 7,585,607 73 GOLDENBERG HEHMEYER & CO Y CBOT 11/30/2006 10,210,233 3,824,246 6,385,987 74 GOLDMAN SACHS & CO Y CBOT 11/24/2006 (g) 1,167,458,488 (g) 75 GOLDMAN SACHS EXECUTION & CLEARING LP Y CME 11/24/2006 684,225,397 43,891,285 640,334,112 76 H & R BLOCK FINANCIAL ADVISORS INC Y NFA 11/30/2006 124,357,264 9,316,733 115,040,531 77 HAGERTY GRAIN CO INC N CBOT 11/30/2006 1,581,421 500,000 1,081,421 78 HAMILTON WILLIAMS LLC N NFA 11/30/2006 1,306,695 1,000,000 306,695 79 HOTSPOT FXR LLC N NFA 11/30/2006 5,925,679 1,000,000 4,925,679 80 HSBC SECURITIES USA INC Y CME 11/30/2006 551,634,359 38,965,995 512,668,364 81 I TRADE FX LLC N NFA 11/30/2006 3,071,939 1,000,000 2,071,939 82 ICAP FUTURES LLC N CBOT 11/30/2006 11,269,636 3,129,740 8,139,896 83 IFSCL USA INC N NFA 11/30/2006 6,529,996 5,000,000 1,529,996 84 IFX MARKETS INC N NFA 11/30/2006 9,526,685 3,560,456 5,966,229 85 IG FINANCIAL MARKETS INC N NFA 11/30/2006 999,417 500,000 499,417 86 INSTINET LLC Y NFA 11/30/2006 78,425,446 2,360,415 76,065,031 87 INTEGRATED BROKERAGE SERVICES LLC N NFA 11/30/2006 1,679,046 1,000,000 679,046 88 INTERACTIVE BROKERS LLC Y EUXUS 11/30/2006 269,130,490 25,055,029 244,075,461 89 INTERBANK FX LLC N NFA 11/30/2006 5,764,943 1,000,000 4,764,943 90 IOWA GRAIN CO N CBOT 11/30/2006 11,026,031 7,555,133 3,470,898 91 ITAU SECURITIES INC Y NFA 11/30/2006 25,789,628 500,000 25,289,628 92 IXIS SECURITIES NORTH AMERICA INC Y NFA 11/30/2006 94,603,994 500,000 94,103,994 93 JP MORGAN FUTURES INC N NYME 11/30/2006 1,092,243,427 652,782,185 439,461,242 
SELECTED FCM FINANCIAL DATA AS OF 

November 30, 2006

FROM REPORTS FILED BY 

December 31, 2006

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

Futures Commission Merchant Date Net Capital Requirement Net Capital S

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

94 KOTTKE ASSOCIATES LLC N CBOT 11/30/2006 5,152,864 500,000 4,652,864 95 LADENBURG THALMANN & CO INC Y NFA 11/30/2006 18,927,078 500,000 18,427,078 96 LBS LIMITED PARTNERSHIP N CBOT 11/30/2006 793,883 500,000 293,883 97 LEHMAN BROTHERS INC Y CBOT 11/30/2006 (g) 534,020,000 (g) 98 LINN GROUP THE N NFA 11/30/2006 761,286 500,000 261,286 99 LINSCO PRIVATE LEDGER CORP Y NFA 11/30/2006 87,074,002 6,907,552 80,166,450 

100 LOEB PARTNERS CORPORATION Y NFA 11/30/2006 26,187,441 500,000 25,687,441 101 MACQUARIE FUTURES USA INC N NFA 11/30/2006 10,024,145 500,000 9,524,145 102 MAN FINANCIAL INC N CME 11/30/2006 538,171,348 416,663,464 121,507,884 103 MB TRADING FUTURES INC. N NFA 11/30/2006 1,630,315 1,000,000 630,315 104 MBF CLEARING CORP N NYME 11/30/2006 23,140,962 3,578,970 19,561,992 105 MCVEAN TRADING AND INVESTMENTS LLC N NFA 11/30/2006 6,302,114 3,233,955 3,068,159 106 MERRILL LYNCH PIERCE FENNER & SMITH Y CBOT 12/01/2006 (g) 505,562,868 (g) 107 MERRILL LYNCH PROFESSIONAL CLEARING CORP Y NFA 12/01/2006 1,028,127,948 44,090,587 984,037,361 108 MID-CO COMMODITIES INC N NFA 11/30/2006 4,293,709 2,867,470 1,426,239 109 MITSUI BUSSAN COMMODITIES USA INC N NYME 11/30/2006 6,267,140 875,579 5,391,561 110 MIZUHO SECURITIES USA INC Y CME 11/30/2006 169,823,287 25,425,708 144,397,579 111 MONEY GARDEN CORP N NFA 11/30/2006 3,629,411 1,000,000 2,629,411 112 MORGAN KEEGAN & COMPANY INC Y NFA 11/30/2006 379,888,759 12,855,583 367,033,176 113 MORGAN STANLEY & CO INCORPORATED Y CME 11/30/2006 (g) 1,321,003,393 (g) 114 MORGAN STANLEY DW INC Y CBOT 11/30/2006 1,250,601,666 71,055,410 1,179,546,256 115 NATIONS INVESTMENTS LLC N NFA 11/30/2006 1,506,755 1,000,000 506,755 116 NEUBERGER BERMAN LLC Y NFA 11/30/2006 191,088,010 13,343,188 177,744,822 117 NOMURA SECURITIES INTERNATIONAL INC Y CBOT 11/30/2006 933,322,367 9,014,864 924,307,503 118 OANDA CORPORATION N NFA 11/30/2006 19,211,631 1,000,000 18,211,631 119 ODL SECURITIES INC N NFA 11/30/2006 205,897 1,000,000 -794,103 120 ONE WORLD CAPITAL GROUP N NFA 11/30/2006 1,058,167 250,000 808,167 121 OPEN E CRY LLC N NFA 11/30/2006 1,255,001 625,714 629,287 122 OPPENHEIMER & CO INC Y NFA 11/30/2006 160,461,880 24,351,300 136,110,580 123 OPTIONSXPRESS INC Y NFA 11/30/2006 90,815,974 3,458,366 87,357,608 124 PENSON FINANCIAL FUTURES INC N NFA 11/30/2006 1,518,067 500,000 1,018,067 125 PEREGRINE FINANCIAL GROUP INC N NFA 11/30/2006 15,235,763 6,232,394 9,003,369 126 PIONEER FUTURES INC N NYME 11/30/2006 2,149,458 500,000 1,649,458 127 PIPER JAFFRAY & CO Y NFA 11/30/2006 361,945,948 2,039,020 359,906,928 128 PRUDENTIAL FINANCIAL DERIVATIVES LLC N CBOT 11/30/2006 135,162,000 109,662,680 25,499,320 129 RAND FINANCIAL SERVICES INC N CME 11/30/2006 25,343,596 14,771,360 10,572,236 130 RAYMOND JAMES & ASSOCIATES INC Y NFA 11/30/2006 338,250,127 27,683,843 310,566,284 131 RBC CAPITAL MARKETS CORPORATION Y CME 11/30/2006 281,752,422 58,948,752 222,803,670 132 RBC DAIN RAUSCHER INC Y NFA 11/30/2006 357,070,823 32,622,636 324,448,187 133 RBS GREENWICH CAPITAL INC Y CBOT 11/30/2006 1,228,634,000 76,833,000 1,151,801,000 134 REDSKY FINANCIAL LLC Y NFA 11/30/2006 604,825 500,000 104,825 135 RJ OBRIEN ASSOCIATES INC N CME 11/30/2006 102,163,753 79,115,762 23,047,991 136 ROBBINS FUTURES INC N NFA 11/30/2006 553,129 500,000 53,129 137 ROSENTHAL COLLINS GROUP LLC N CME 11/30/2006 40,427,863 23,340,541 17,087,322 138 ROSENTHAL GLOBAL SECURITIES LLC Y CBOT 11/30/2006 8,253,575 500,000 7,753,575 139 SANFORD C BERNSTEIN & CO LLC Y NFA 11/30/2006 149,521,371 40,695,411 108,825,960 140 SENTINEL MANAGEMENT GROUP INC N NFA 11/30/2006 2,640,117 500,000 2,140,117 
SELECTED FCM FINANCIAL DATA AS OF 

November 30, 2006

FROM REPORTS FILED BY 

December 31, 2006

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

Futures Commission Merchant Date Net Capital Requirement Net Capital S

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

141 SHATKIN ARBOR INC N CBOT 11/30/2006 4,601,701 500,000 4,101,701 142 SHAY GRAIN CLEARING COMPANY N KCBT 11/30/2006 1,129,289 830,200 299,089 143 SMW TRADING COMPANY INC N CME 11/30/2006 27,251,171 980,347 26,270,824 144 SNC INVESTMENTS INC N NFA 11/30/2006 1,775,090 1,000,000 775,090 145 SOLID GOLD FINANCIAL SERVICES INC N NFA 11/30/2006 2,254,620 1,000,000 1,254,620 146 STEPHENS INC Y NFA 11/24/2006 55,707,192 11,814,798 43,892,394 147 STERLING COMMODITIES CORP N NYME 11/30/2006 7,276,074 982,054 6,294,020 148 TCA FUTURES LLC N NFA 11/30/2006 809,028 500,000 309,028 149 TENCO INC N CBOT 11/30/2006 31,976,581 6,715,855 25,260,726 150 TERRA NOVA TRADING LLC Y NFA 11/30/2006 10,768,565 2,211,938 8,556,627 151 TIMBER HILL LLC Y CME 11/30/2006 892,738,959 14,303,919 878,435,040 152 TOWER RESEARCH CAPITAL EUROPE LLC N NFA 11/30/2006 2,087,151 500,000 1,587,151 153 TRADELINK LLC Y CBOT 11/30/2006 27,205,598 532,509 26,673,089 154 TRADEMAVEN CLEARING LLC N NFA 11/30/2006 795,590 500,000 295,590 155 TRADESTATION SECURITIES INC Y NFA 11/30/2006 54,285,036 2,375,390 51,909,646 156 TRADITION SECURITIES AND FUTURES INC N NFA 11/30/2006 784,591 500,000 284,591 157 TRANSMARKET GROUP LLC Y CBOT 11/30/2006 6,604,959 500,000 6,104,959 158 TREND COMMODITIES LIMITED PARTNERSHIP N NFA 11/30/2006 667,099 500,000 167,099 159 TRILAND USA INC N NYME 11/30/2006 27,032,107 8,423,879 18,608,228 160 UBS CLEARING SERVICES CORPORATION Y NFA 11/30/2006 99,196,805 788,703 98,408,102 161 UBS FINANCIAL SERVICES INC Y CBOT 11/30/2006 1,435,911,422 153,553,009 1,282,358,413 162 UBS SECURITIES LLC Y CBOT 11/30/2006 5,226,986,724 975,141,046 4,251,845,678 163 UNITED GLOBAL MARKETS LLC N NFA 11/30/2006 1,131,556 1,000,000 131,556 164 VELOCITY FUTURES LP N NFA 11/30/2006 1,359,045 500,000 859,045 165 VISION LIMITED PARTNERSHIP N NFA 11/30/2006 27,581,234 17,059,662 10,521,572 166 WACHOVIA CAPITAL MARKETS LLC Y CME 11/30/2006 1,669,750,696 2,668,938 1,667,081,758 167 WACHOVIA SECURITIES FINANCIAL NETWORK, LLC Y NFA 11/30/2006 25,046,609 1,752,148 23,294,461 168 WACHOVIA SECURITIES LLC Y NFA 11/30/2006 307,457,646 1,501,284 305,956,362 169 WALL STREET DERIVATIVES INC N NFA 11/30/2006 838,595 500,000 338,595 170 WHITE COMMERCIAL CORPORATION N NFA 11/30/2006 2,758,592 500,000 2,258,592 171 XPRESSTRADE LLC N NFA 11/30/2006 8,797,322 1,859,397 6,937,925 172 YORK BUSINESS ASSOCIATES LLC N NFA 11/30/2006 1,105,168 500,000 605,168 

Total 

October Web Page Update 174Additions 1Instinet LLCDeletions 3Marquette Electronic BrokerageSpot FX Clearing CorpManchester Financial Group IncName Change
SELECTED FCM FINANCIAL DATA AS OF 

November 30, 2006

FROM REPORTS FILED BY 

December 31, 2006

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

Futures Commission Merchant Date Net Capital Requirement Net Capital S

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

November Web Page Update 172(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 vthe 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 November 30, 2006, the firm had net capital in excess of its minimum capital requirements. In addition tothe 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 isrequired to notify the Commission and SEC in the event its tentativenet capital is less than $5 billion. As of November 30, 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 

November 30, 2006

FROM REPORTS FILED BY 

December 31, 2006

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

Futures Commission Merchant Date Net Capital Requirement Net Capital S

(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.