SELECTED FCM FINANCIAL DATA AS OF 

September 30, 2006

FROM REPORTS FILED BY 

October 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 09/30/2006 1,417,746 500,000 917,746 2 ABBEY NATIONAL SECURITIES INC Y NFA 09/30/2006 137,842,129 23,533,020 114,309,109 3 ABN AMRO INCORPORATED Y CBOT 09/29/2006 1,162,827,172 352,533,536 810,293,636 4 ABN AMRO SAGE CORPORATION Y NFA 09/29/2006 98,018,019 500,000 97,518,019 5 ADM INVESTOR SERVICES INC N CBOT 09/30/2006 116,925,779 52,946,893 63,978,886 6 ADVANCED MARKETS INC N NFA 09/30/2006 1,102,435 500,000 602,435 7 ADVANTAGE FUTURES LLC N CME 09/30/2006 11,999,472 3,978,785 8,020,687 8 AG EDWARDS & SONS INC Y CBOT 09/30/2006 869,419,556 38,399,117 831,020,439 9 AIG CLEARING CORPORATION N NYME 09/30/2006 276,380,466 46,780,323 229,600,143 

10 ALARON TRADING CORPORATION N CME 09/30/2006 6,112,211 3,448,484 2,663,727 11 ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC Y NFA 09/30/2006 27,382,777 5,863,790 21,518,987 12 ALPHA FOREIGN EXCHANGE GROUP N NFA 09/30/2006 504,414 500,000 4,414 13 AMERICAN NATIONAL TRADING CORP N NFA 09/30/2006 2,807,231 1,000,000 1,807,231 14 BACERA CORPORATION N NFA 09/30/2006 2,130 1,000,000 -997,870 15 BANC OF AMERICA SECURITIES LLC Y CME 09/30/2006 1,785,718,968 325,383,553 1,460,335,415 16 BARCLAYS CAPITAL INC Y NYME 09/30/2006 545,525,657 270,963,365 274,562,292 17 BATTERY ASSET MANAGEMENT LLC N NFA 09/30/2006 624,947 500,000 124,947 18 BEAR STEARNS & CO INC Y NFA 09/30/2006 (g) 573,157,570 (g) 19 BEAR STEARNS SECURITIES CORP Y CME 09/30/2006 3,827,991,651 1,123,971,550 2,704,020,101 20 BNP PARIBAS COMMODITY FUTURES INC N NYME 09/30/2006 120,055,730 80,797,617 39,258,113 21 BNP PARIBAS SECURITIES CORP Y CBOT 09/30/2006 502,126,756 21,808,617 480,318,139 22 BROOKSTREET SECURITIES CORPORATION Y NFA 09/30/2006 3,826,362 620,492 3,205,870 23 C CZARNIKOW SUGAR FUTURES INC N NFA 09/30/2006 1,679,638 500,000 1,179,638 24 CADENT FINANCIAL SERVICES LLC N CME 09/30/2006 5,176,913 3,010,292 2,166,621 25 CAL FINANCIAL CORPORATION N NFA 09/30/2006 1,055,306 1,000,000 55,306 26 CALYON FINANCIAL INC Y CME 09/30/2006 660,362,123 429,662,536 230,699,587 27 CANTOR FITZGERALD & CO Y CBOT 09/30/2006 180,374,862 3,569,159 176,805,703 28 CAPITAL MARKET SERVICES LLC N NFA 09/30/2006 10,358,563 1,431,204 8,927,359 29 CIBC WORLD MARKETS CORP Y CME 09/30/2006 1,061,071,270 19,584,002 1,041,487,268 30 CITIGROUP GLOBAL MARKETS INC Y CBOT 09/29/2006 (g) 730,805,610 (g) 31 CLIFF LARSON COMPANY THE N NFA 09/30/2006 664,465 500,000 164,465 32 CMC MARKETS US LLC N NFA 09/30/2006 7,332,153 5,000,000 2,332,153 33 COMTRUST INC N NFA 09/30/2006 1,066,899 500,000 566,899 34 COUNTRY HEDGING INC N NFA 09/30/2006 13,897,728 4,144,090 9,753,638 35 CREDIT SUISSE SECURITIES USA LLC Y CBOT 09/30/2006 4,402,823,795 172,075,603 4,230,748,192 36 CROSSLAND LLC N CBOT 09/30/2006 3,735,010 251,224 3,483,786 37 CUNNINGHAM COMMODITIES LLC N CBOT 09/30/2006 1,680,877 500,000 1,180,877 38 DAIWA SECURITIES AMERICA INC Y CME 09/30/2006 201,883,360 2,162,206 199,721,154 39 DEUTSCHE BANK SECURITIES INC Y CBOT 09/29/2006 2,670,769,945 214,651,895 2,456,118,050 40 DIRECT FOREX LLC N NFA 09/30/2006 1,746,711 1,000,000 746,711 41 DORMAN TRADING LLC N CME 09/30/2006 7,071,459 528,354 6,543,105 42 DUNAVANT COMMODITY CORP N NYBT 09/30/2006 22,395,580 583,296 21,812,284 43 E FX OPTIONS LLC N NFA 09/30/2006 1,036,481 1,000,000 36,481 44 EAGLE MARKET MAKERS INC N CBOT 09/30/2006 2,502,225 500,000 2,002,225 45 ED &F MAN COMMODITY ADVISORS INC N NFA 09/30/2006 893,995 500,000 393,995 46 ELECTRONIC BROKERAGE SYSTEMS LLC Y NFA 09/30/2006 7,674,936 500,000 7,174,936 
SELECTED FCM FINANCIAL DATA AS OF 

September 30, 2006

FROM REPORTS FILED BY 

October 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 ENSKILDA FUTURES LTD N CME 09/30/2006 14,483,480 10,742,199 3,741,281 48 FARR FINANCIAL INC N NFA 09/30/2006 2,451,842 1,000,000 1,451,842 49 FC STONE LLC N CME 09/30/2006 32,845,094 20,321,146 12,523,948 50 FCT GROUP LLC N CME 09/30/2006 6,009,252 689,549 5,319,703 51 FIMAT PREFERRED LLC Y NFA 09/30/2006 35,059,703 1,193,608 33,866,095 52 FIMAT USA LLC Y NYME 09/30/2006 531,817,082 375,359,317 156,457,765 53 FIRST CAPITOL GROUP LLC N NFA 09/30/2006 4,878,300 1,533,295 3,345,005 54 FOREFRONT INVESTMENTS CORPORATION N NFA 09/30/2006 1,468,364 1,000,000 468,364 55 FOREX CAPITAL MARKETS LLC N NFA 09/30/2006 36,369,280 9,034,472 27,334,808 56 FOREX CLUB FINANCIAL COMPANY INC N NFA 09/30/2006 1,596,945 1,000,000 596,945 57 FOREX INTERNATIONAL INVESTMENTS INC N NFA 09/30/2006 2,206,392 1,000,000 1,206,392 58 FOREX LIQUIDITY LLC N NFA 09/30/2006 2,331,252 1,000,000 1,331,252 59 FORTIS CLEARING AMERICAS LLC Y CBOT 09/30/2006 96,234,281 13,391,375 82,842,906 60 FORWARD FOREX INC N NFA 09/30/2006 1,206,115 1,000,000 206,115 61 FREEDOM FX LLC N NFA 09/30/2006 1,027,295 1,000,000 27,295 62 FRIEDBERG MERCANTILE GROUP INC N NFA 09/30/2006 5,561,639 5,000,000 561,639 63 FRONTIER FUTURES INC N NFA 09/30/2006 2,336,379 1,071,968 1,264,411 64 FUTURES TECH LLC N NFA 09/30/2006 871,727 500,000 371,727 65 FX OPTION1 INC N NFA 09/30/2006 502,366 500,000 2,366 66 FX SOLUTIONS LLC N NFA 09/30/2006 7,570,191 3,779,373 3,790,818 67 FXCM LLC N NFA 09/30/2006 756,602 500,000 256,602 68 GAIN CAPITAL GROUP LLC N NFA 09/30/2006 21,352,791 4,234,030 17,118,761 69 GELBER GROUP LLC N CBOT 09/30/2006 42,594,630 931,263 41,663,367 70 GFS FOREX & FUTURES INC N NFA 09/30/2006 2,065,530 1,000,000 1,065,530 71 GILDER GAGNON HOWE AND CO LLC Y NFA 09/30/2006 37,504,013 500,000 37,004,013 72 GLOBAL FUTURES & FOREX LIMITED Y CFTC 09/30/2006 35,490,645 750,000 34,740,645 73 GLOBAL FUTURES LLC N NFA 09/30/2006 8,042,644 500,000 7,542,644 74 GOLDENBERG HEHMEYER & CO Y CBOT 09/30/2006 9,616,170 2,847,955 6,768,215 75 GOLDMAN SACHS & CO Y CBOT 09/29/2006 (g) 1,225,805,385 (g) 76 GOLDMAN SACHS EXECUTION & CLEARING LP Y CME 09/29/2006 988,613,956 40,149,300 948,464,656 77 GREENWICH CAPITAL MARKETS INC Y CBOT 09/30/2006 1,376,406,000 51,363,000 1,325,043,000 78 H & R BLOCK FINANCIAL ADVISORS INC Y NFA 09/30/2006 123,659,261 9,277,248 114,382,013 79 HAGERTY GRAIN CO INC N CBOT 09/30/2006 1,806,665 500,000 1,306,665 80 HAMILTON WILLIAMS LLC N NFA 09/30/2006 1,085,441 1,000,000 85,441 81 HOTSPOT FXR LLC N NFA 09/30/2006 5,489,377 1,000,000 4,489,377 82 HSBC SECURITIES USA INC Y CME 09/30/2006 722,532,908 64,472,643 658,060,265 83 I TRADE FX LLC N NFA 09/30/2006 1,245,180 1,000,000 245,180 84 ICAP FUTURES LLC N CME 09/30/2006 15,039,038 2,413,697 12,625,341 85 IFSCL USA INC N NFA 09/30/2006 6,012,424 5,000,000 1,012,424 86 IFX MARKETS INC N NFA 09/30/2006 2,959,773 2,788,395 171,378 87 IG FINANCIAL MARKETS INC N NFA 09/30/2006 987,554 500,000 487,554 88 INTEGRATED BROKERAGE SERVICES LLC N NFA 09/30/2006 1,639,234 1,000,000 639,234 89 INTERACTIVE BROKERS LLC Y EUXUS 09/30/2006 245,510,790 21,439,204 224,071,586 90 INTERBANK FX LLC N NFA 09/30/2006 4,967,693 1,000,000 3,967,693 91 IOWA GRAIN CO N CBOT 09/30/2006 9,489,646 5,120,533 4,369,113 92 ITAU SECURITIES INC Y NFA 09/30/2006 16,290,564 500,000 15,790,564 93 IXIS SECURITIES NORTH AMERICA INC Y NFA 09/30/2006 147,767,199 500,000 147,267,199 
SELECTED FCM FINANCIAL DATA AS OF 

September 30, 2006

FROM REPORTS FILED BY 

October 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 JP MORGAN FUTURES INC N NYME 09/30/2006 1,066,348,543 634,531,003 431,817,540 95 KOTTKE ASSOCIATES LLC N CBOT 09/30/2006 5,851,920 500,000 5,351,920 96 LADENBURG THALMANN & CO INC Y NFA 09/30/2006 15,304,837 500,000 14,804,837 97 LBS LIMITED PARTNERSHIP N CBOT 09/30/2006 683,463 500,000 183,463 98 LEADER INVESTMENTS INC Y NFA 09/30/2006 352,176 100,000 252,176 99 LEHMAN BROTHERS INC Y CBOT 09/30/2006 (g) 531,960,000 (g) 

100 LINN GROUP THE N NFA 09/30/2006 647,315 500,000 147,315 101 LINSCO PRIVATE LEDGER CORP Y NFA 09/30/2006 76,372,281 6,469,199 69,903,082 102 LOEB PARTNERS CORPORATION Y NFA 09/30/2006 25,659,267 500,000 25,159,267 103 MACQUARIE FUTURES USA INC N NFA 09/30/2006 10,003,895 500,000 9,503,895 104 MAN FINANCIAL INC N CME 09/30/2006 514,416,777 377,107,964 137,308,813 105 MANCHESTER FINANCIAL GROUP INC N NFA 09/30/2006 517,952 500,000 17,952 106 MARQUETTE ELECTRONIC BROKERAGE LLC N NFA 09/30/2006 1,362,167 500,000 862,167 107 MB TRADING FUTURES INC N NFA 09/30/2006 3,131,435 1,000,000 2,131,435 108 MBF CLEARING CORP N NYME 09/30/2006 26,001,350 4,428,825 21,572,525 109 MCVEAN TRADING AND INVESTMENTS LLC N NFA 09/30/2006 6,516,304 2,306,843 4,209,461 110 MERRILL LYNCH PIERCE FENNER & SMITH Y CBOT 09/29/2006 (g) 507,239,061 (g) 111 MERRILL LYNCH PROFESSIONAL CLEARING CORP Y NFA 09/29/2006 922,336,585 47,994,414 874,342,171 112 MIDCO COMMODITIES INC N NFA 09/30/2006 4,429,757 1,324,641 3,105,116 113 MITSUI BUSSAN COMMODITIES USA INC N NYME 09/30/2006 5,928,529 737,545 5,190,984 114 MIZUHO SECURITIES USA INC Y CME 09/30/2006 170,048,830 23,185,895 146,862,935 115 MONEY GARDEN CORP N NFA 09/30/2006 3,503,673 1,000,000 2,503,673 116 MORGAN KEEGAN & COMPANY INC Y NFA 09/30/2006 371,325,331 12,736,012 358,589,319 117 MORGAN STANLEY & CO INCORPORATED Y CME 09/30/2006 (g) 1,085,707,489 (g) 118 MORGAN STANLEY DW INC Y CBOT 09/30/2006 1,369,962,247 69,961,060 1,300,001,187 119 NATIONS INVESTMENTS LLC N NFA 09/29/2006 1,509,265 1,000,000 509,265 120 NEUBERGER BERMAN LLC Y NFA 09/30/2006 355,254,804 15,070,871 340,183,933 121 NOMURA SECURITIES INTERNATIONAL INC Y CBOT 09/30/2006 951,733,234 7,006,080 944,727,154 122 OANDA CORPORATION N NFA 09/30/2006 29,553,939 1,000,000 28,553,939 123 ODL SECURITIES INC N NFA 09/30/2006 450,725 1,000,000 -549,275 124 ONE WORLD CAPITAL GROUP N NFA 09/30/2006 1,024,982 1,000,000 24,982 125 OPEN E CRY LLC N NFA 09/30/2006 1,232,959 632,222 600,737 126 OPPENHEIMER & CO INC Y NFA 09/30/2006 182,523,280 23,097,696 159,425,584 127 OPTIONSXPRESS INC Y NFA 09/30/2006 86,007,842 3,176,852 82,830,990 128 PENSON FINANCIAL FUTURES INC N NFA 09/30/2006 1,480,291 500,000 980,291 129 PEREGRINE FINANCIAL GROUP INC N NFA 09/29/2006 14,880,545 7,669,562 7,210,983 130 PIONEER FUTURES INC N NYME 09/30/2006 2,191,010 500,000 1,691,010 131 PIPER JAFFRAY & CO Y NFA 09/30/2006 370,562,558 2,645,125 367,917,433 132 PRUDENTIAL FINANCIAL DERIVATIVES LLC N CBOT 09/30/2006 135,067,000 100,363,920 34,703,080 133 RAND FINANCIAL SERVICES INC N CME 09/30/2006 26,123,847 9,409,887 16,713,960 134 RAYMOND JAMES & ASSOCIATES INC Y NFA 09/30/2006 369,443,241 26,793,202 342,650,039 135 RBC CAPITAL MARKETS CORPORATION Y CME 09/30/2006 411,428,659 61,177,884 350,250,775 136 RBC DAIN RAUSCHER INC Y NFA 09/30/2006 393,288,297 34,537,148 358,751,149 137 REDSKY FINANCIAL LLC Y NFA 09/30/2006 578,799 500,000 78,799 138 RJ OBRIEN ASSOCIATES INC N CME 09/29/2006 99,657,360 80,411,734 19,245,626 139 ROBBINS FUTURES INC N NFA 09/30/2006 569,133 500,000 69,133 140 ROSENTHAL COLLINS GROUP LLC N CME 09/30/2006 35,224,743 21,367,502 13,857,241 
SELECTED FCM FINANCIAL DATA AS OF 

September 30, 2006

FROM REPORTS FILED BY 

October 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 ROSENTHAL GLOBAL SECURITIES LLC Y CBOT 09/30/2006 8,222,913 500,000 7,722,913 142 SANFORD C BERNSTEIN & CO LLC Y NFA 09/30/2006 161,652,167 35,170,359 126,481,808 143 SENTINEL MANAGEMENT GROUP INC N NFA 09/30/2006 2,805,764 500,000 2,305,764 144 SHATKIN ARBOR INC N CBOT 09/30/2006 4,904,714 500,000 4,404,714 145 SHAY GRAIN CLEARING COMPANY N KCBT 09/30/2006 1,065,377 602,990 462,387 146 SMW TRADING COMPANY INC N CME 09/30/2006 33,238,984 658,944 32,580,040 147 SNC INVESTMENTS INC N NFA 09/30/2006 1,289,750 1,000,000 289,750 148 SOLID GOLD FINANCIAL SERVICES INC N NFA 09/30/2006 42,338 1,000,000 -957,662 149 SPOT FX CLEARING CORP N NFA 09/30/2006 1,023,086 1,000,000 23,086 150 STEPHENS INC Y NFA 09/29/2006 60,789,708 10,863,048 49,926,660 151 STERLING COMMODITIES CORP N NYME 09/30/2006 8,067,088 1,154,634 6,912,454 152 TCA FUTURES LLC N NFA 09/30/2006 816,905 500,000 316,905 153 TENCO INC N CBOT 09/30/2006 32,749,033 3,617,963 29,131,070 154 TERRA NOVA TRADING LLC Y NFA 09/30/2006 9,800,996 1,500,000 8,300,996 155 TIMBER HILL LLC Y CME 09/30/2006 979,059,945 13,850,049 965,209,896 156 TOWER RESEARCH CAPITAL EUROPE LLC N NFA 09/30/2006 1,606,439 500,000 1,106,439 157 TRADELINK LLC Y CBOT 09/30/2006 27,104,360 500,000 26,604,360 158 TRADEMAVEN CLEARING LLC N NFA 09/30/2006 353,747 500,000 -146,253 159 TRADESTATION SECURITIES INC Y NFA 09/30/2006 50,799,308 2,201,912 48,597,396 160 TRADITION SECURITIES AND FUTURES INC N NFA 09/29/2006 787,181 500,000 287,181 161 TRANSMARKET GROUP LLC Y CBOT 09/30/2006 7,674,538 500,000 7,174,538 162 TREND COMMODITIES LIMITED PARTNERSHIP N NFA 09/30/2006 627,655 500,000 127,655 163 TRILAND USA INC N NYME 09/30/2006 28,517,188 6,799,052 21,718,136 164 UBS FINANCIAL SERVICES INC Y CBOT 09/30/2006 1,565,136,939 192,358,591 1,372,778,348 165 UBS SECURITIES LLC Y CBOT 09/30/2006 5,621,987,541 520,895,143 5,101,092,398 166 UNITED CLEARING LLC N NFA 09/30/2006 2,534 1,000,000 -997,466 167 UNITED GLOBAL MARKETS LLC N NFA 09/30/2006 1,356,912 1,000,000 356,912 168 VELOCITY FUTURES LP N NFA 09/30/2006 1,908,188 500,000 1,408,188 169 VISION LIMITED PARTNERSHIP N NFA 09/30/2006 27,291,917 14,304,481 12,987,436 170 WACHOVIA CAPITAL MARKETS LLC Y CME 09/30/2006 1,885,441,407 1,000,000 1,884,441,407 171 WACHOVIA SECURITIES FINANCIAL NETWORK, LLC Y NFA 09/30/2006 24,117,131 1,245,552 22,871,579 172 WACHOVIA SECURITIES LLC Y NFA 09/30/2006 300,250,188 3,592,729 296,657,459 173 WALL STREET DERIVATIVES INC N NFA 09/30/2006 802,162 500,000 302,162 174 WHITE COMMERCIAL CORPORATION N NFA 09/30/2006 2,450,685 500,000 1,950,685 175 XPRESSTRADE LLC N NFA 09/30/2006 8,730,923 1,659,396 7,071,527 176 YORK BUSINESS ASSOCIATES LLC N NFA 09/30/2006 1,074,751 500,000 574,751 

Total 

August Web Page Update 179Additions 1Trademaven Clearing LLCDeletions 4BGC Financial IncFortis Clearing Chicago LLCWorldwide Clearing
SELECTED FCM FINANCIAL DATA AS OF 

September 30, 2006

FROM REPORTS FILED BY 

October 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) 

Tradeco Clearing Group LLCName 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. (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. 
SELECTED FCM FINANCIAL DATA AS OF 

September 30, 2006

FROM REPORTS FILED BY 

October 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) 

(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 September 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 September 30, 2006, 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.