SELECTED FCM FINANCIAL DATA AS OF 

June 30, 2009

FROM REPORTS FILED BY 

July 31, 2009

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

Futures Commission Merchant Date Net Capital Requirement Net Capital 

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

1 3DFOREX LLC N NFA 06/30/2009 9,889,340 500,000 9,389,340 2 ACM USA LLC N NFA 06/30/2009 782,268 500,000 282,268 3 ADM INVESTOR SERVICES INC N CBOT 06/30/2009 160,496,289 82,507,381 77,988,908 

4 ADVANCED MARKETS LLC N NFA 06/30/2009 20,759,733 20,000,000 759,733 5 ADVANTAGE FUTURES LLC N CME 06/30/2009 15,467,149 4,478,000 10,989,149 

6 AIG CLEARING CORPORATION N NYME 06/30/2009 215,696,915 1,084,174 214,612,741 7 ALARON TRADING CORPORATION N NFA 06/30/2009 1,354,923 500,000 854,923 8 ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC* Y NFA 06/30/2009 20,380,910 6,459,884 13,921,026 9 ALPARI (US) LLC N NFA 06/30/2009 21,738,927 20,000,000 1,738,927 

10 AMERIPRISE ADVISOR SERVICES INC Y NFA 06/30/2009 80,135,845 5,868,517 74,267,328 11 BANC OF AMERICA SECURITIES LLC Y CME 06/30/2009 2,364,587,402 68,999,741 2,295,587,661 

12 BARCLAYS CAPITAL INC Y NYME 06/30/2009 4,925,400,400 506,585,790 4,418,814,610 13 BGC FINANCIAL LP Y NFA 06/30/2009 46,924,356 1,033,303 45,891,053 14 BNP PARIBAS COMMODITY FUTURES INC N NYME 06/30/2009 276,865,682 225,412,659 51,453,023 15 BNP PARIBAS SECURITIES CORP Y CBOT 06/30/2009 1,295,195,302 62,719,200 1,232,476,102 

16 CADENT FINANCIAL SERVICES LLC N CME 06/30/2009 3,948,628 4,100,314 -151,686 

17 CANTOR FITZGERALD & CO Y CBOT 06/30/2009 207,086,260 7,369,412 199,716,848 18 CAPITAL MARKET SERVICES LLC N NFA 06/30/2009 27,054,958 20,000,000 7,054,958 

19 CIBC WORLD MARKETS CORP Y CME 06/30/2009 1,245,442,071 2,923,955 1,242,518,116 

20 CITIGROUP GLOBAL MARKETS INC Y CBOT 06/30/2009 8,149,921,048 678,512,207 7,471,408,841 21 COMMONWEALTH FOREIGN EXCHANGE INC N NFA 06/30/2009 952,127 500,000 452,127 22 COUNTRY HEDGING INC N NFA 06/30/2009 13,300,103 8,187,508 5,112,595 

23 CREDIT SUISSE SECURITIES (USA) LLC Y CBOT 06/30/2009 9,339,853,966 598,301,274 8,741,552,692 24 CROSSLAND LLC N CBOT 06/30/2009 5,918,935 3,558,684 2,360,251 

25 CUNNINGHAM COMMODITIES LLC N CBOT 06/30/2009 3,664,098 500,000 3,164,098 26 CX CAPITAL MARKETS LLC N NFA 06/30/2009 799,637 500,000 299,637 27 DAIWA SECURITIES AMERICA INC Y CME 06/30/2009 272,279,881 1,049,387 271,230,494 28 DEUTSCHE BANK SECURITIES INC Y CBOT 06/30/2009 6,952,348,418 433,718,561 6,518,629,857 29 DORMAN TRADING LLC N CME 06/30/2009 8,560,647 969,981 7,590,666 30 EAGLE MARKET MAKERS INC N CBOT 06/30/2009 6,540,168 500,000 6,040,168 

31 EASY FOREX US LTD N NFA 06/30/2009 20,801,320 20,000,000 801,320 32 ELECTRONIC BROKERAGE SYSTEMS LLC Y NFA 06/30/2009 9,707,378 550,544 9,156,834 33 ENSKILDA FUTURES LTD N CME 06/30/2009 23,791,790 10,176,966 13,614,824 

34 FARR FINANCIAL INC N NFA 06/30/2009 967,781 500,000 467,781 35 FCSTONE LLC N CME 06/30/2009 58,094,179 37,321,103 20,773,076 36 FOREX CAPITAL MARKETS LLC N NFA 06/30/2009 65,695,487 20,000,000 45,695,487 

37 FOREX CLUB FINANCIAL COMPANY INC N NFA 06/30/2009 25,420,007 20,000,000 5,420,007 38 FORTIS CLEARING AMERICAS LLC Y CBOT 06/30/2009 200,397,679 59,948,328 140,449,351 

39 FRIEDBERG MERCANTILE GROUP INC N NFA 06/30/2009 3,364,966 500,000 2,864,966 40 FRONTIER FUTURES INC N NFA 06/30/2009 1,161,838 700,391 461,447 41 FUTURES TECH LLC N NFA 06/30/2009 813,783 500,000 313,783 
SELECTED FCM FINANCIAL DATA AS OF 

June 30, 2009

FROM REPORTS FILED BY 

July 31, 2009

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

Futures Commission Merchant Date Net Capital Requirement Net Capital 

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

42 FX SOLUTIONS LLC N NFA 06/30/2009 51,096,354 20,000,000 31,096,354 43 GAIN CAPITAL GROUP LLC N NFA 06/30/2009 99,742,273 20,000,000 79,742,273 44 GENESIS FUTURES LLC N NFA 06/30/2009 763,749 500,000 263,749 45 GFS FOREX & FUTURES INC N NFA 06/30/2009 3,558,305 500,000 3,058,305 46 GILDER GAGNON HOWE & CO LLC Y NFA 06/30/2009 17,288,548 500,000 16,788,548 47 GLOBAL FUTURES & FOREX LTD N NFA 06/30/2009 81,244,495 20,000,000 61,244,495 

48 GOLDMAN SACHS & CO Y CBOT 06/26/2009 13,186,909,828 1,771,241,221 11,415,668,607 

49 GOLDMAN SACHS EXECUTION & CLEARING LP Y CME 06/26/2009 1,872,647,152 75,758,636 1,796,888,516 50 HOTSPOT FXR LLC N NFA 06/30/2009 6,068,405 500,000 5,568,405 51 HSBC SECURITIES USA INC Y CME 06/30/2009 1,331,966,188 75,490,440 1,256,475,748 

52 I TRADE FX LLC N NFA 06/30/2009 1,039,123 500,000 539,123 53 ICAP FUTURES LLC N NFA 06/30/2009 6,038,660 500,000 5,538,660 54 IG MARKETS INC N NFA 06/30/2009 31,124,938 20,000,000 11,124,938 55 IKON GLOBAL MARKETS INC N NFA 06/30/2009 21,065,193 20,000,000 1,065,193 

56 INSTINET LLC Y NFA 06/30/2009 115,448,235 2,367,848 113,080,387 57 INTEGRATED BROKERAGE SERVICES LLC N NFA 06/30/2009 1,573,940 500,000 1,073,940 58 INTERACTIVE BROKERS LLC Y NFA 06/30/2009 696,556,790 59,794,975 636,761,815 59 INTERBANK FX LLC N NFA 06/30/2009 35,056,967 20,000,000 15,056,967 60 ITG DERIVATIVES LLC Y NFA 06/30/2009 2,980,985 500,000 2,480,985 61 JP MORGAN CLEARING CORP Y CME 06/30/2009 4,709,561,531 1,488,196,708 3,221,364,823 62 JP MORGAN FUTURES INC N NYME 06/30/2009 1,377,866,635 1,140,521,964 237,344,671 

63 JP MORGAN SECURITIES INC Y NFA 06/30/2009 7,269,789,323 584,185,216 6,685,604,107 64 LADENBURG THALMANN & CO INC Y NFA 06/30/2009 3,238,010 500,000 2,738,010 65 LEK SECURITIES CORPORATION Y NFA 06/30/2009 13,521,655 1,803,584 11,718,071 

66 LIMESTONE TRADING LLC N NFA 06/30/2009 11,856,168 500,000 11,356,168 67 LINN GROUP THE N NFA 06/30/2009 2,074,032 616,320 1,457,712 

68 LPL FINANCIAL CORPORATION Y NFA 06/30/2009 93,208,554 6,388,077 86,820,477 69 MACQUARIE FUTURES USA INC N CBOT 06/30/2009 76,356,708 37,598,523 38,758,185 

70 MAREX USA LIMITED N NFA 06/30/2009 840,578 500,000 340,578 

71 MB TRADING FUTURES INC N NFA 06/30/2009 21,142,486 20,000,000 1,142,486 72 MBF CLEARING CORP N NYME 06/30/2009 21,831,849 2,803,729 19,028,120 

73 MCVEAN TRADING & INVESTMENTS LLC N NFA 06/30/2009 7,497,509 1,940,130 5,557,379 74 MERRILL LYNCH PIERCE FENNER & SMITH Y CBOT 06/30/2009 5,003,592,032 575,379,041 4,428,212,991 75 MERRILL LYNCH PROFESSIONAL CLEARING CORP Y NFA 06/30/2009 1,630,519,413 73,522,602 1,556,996,811 

76 MF GLOBAL INC Y CME 06/30/2009 591,275,743 325,611,286 265,664,457 77 MG FINANCIAL LLC N NFA 06/30/2009 5,013,736 500,000 4,513,736 78 MID CO COMMODITIES INC N NFA 06/30/2009 11,338,742 2,551,675 8,787,067 79 MITSUBISHI UFJ SECURITIES USA INC Y NFA 06/30/2009 71,961,024 1,029,511 70,931,513 

80 MITSUI BUSSAN COMMODITIES USA INC N NYME 06/30/2009 6,965,200 1,970,427 4,994,773 81 MIZUHO SECURITIES USA INC Y CME 06/30/2009 324,745,871 46,446,991 278,298,880 

82 MORGAN KEEGAN & COMPANY INC Y NFA 06/30/2009 340,428,098 10,895,602 329,532,496 83 MORGAN STANLEY & CO INCORPORATED Y CME 06/30/2009 11,259,959,490 1,010,538,903 10,249,420,587 
SELECTED FCM FINANCIAL DATA AS OF 

June 30, 2009

FROM REPORTS FILED BY 

July 31, 2009

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

Futures Commission Merchant Date Net Capital Requirement Net Capital 

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

84 MORGAN STANLEY SMITH BARNEY LLC Y NFA 06/30/2009 89,306,476 500,000 88,806,476 85 NATIXIS SECURITIES NORTH AMERICA INC Y NFA 06/30/2009 208,440,383 500,000 207,940,383 

86 NEUBERGER BERMAN LLC Y NFA 06/30/2009 50,052,621 1,500,000 48,552,621 

87 NEWEDGE USA LLC Y NYME 06/30/2009 2,448,567,651 1,461,512,780 987,054,871 

88 NOMURA SECURITIES INTERNATIONAL INC Y CBOT 06/30/2009 677,802,417 3,836,161 673,966,256 89 OANDA CORPORATION N NFA 06/30/2009 160,253,525 20,000,000 140,253,525 90 ODL SECURITIES INC N NFA 06/30/2009 3,186,542 1,000,000 2,186,542 

91 OPEN E CRY LLC N NFA 06/30/2009 2,872,644 875,140 1,997,504 

92 OPPENHEIMER & CO INC Y NFA 06/30/2009 178,898,705 18,642,163 160,256,542 

93 OPTIONSXPRESS INC Y NFA 06/30/2009 77,969,887 6,543,677 71,426,210 94 PENSON GHCO N CBOT 06/30/2009 20,053,648 14,252,468 5,801,180 95 PEREGRINE FINANCIAL GROUP INC N NFA 06/30/2009 33,525,381 20,000,000 13,525,381 

96 PIONEER FUTURES INC N NYME 06/30/2009 1,667,517 500,000 1,167,517 97 PRUDENTIAL BACHE COMMODITIES LLC N CBOT 06/30/2009 238,549,000 169,869,640 68,679,360 98 PUMA FINANCIAL LLC N NFA 06/30/2009 1,184,311 750,000 434,311 

99 RAND FINANCIAL SERVICES INC N CME 06/30/2009 57,950,221 8,327,893 49,622,328 

100 RAYMOND JAMES & ASSOCIATES INC Y NFA 06/30/2009 299,906,454 25,472,138 274,434,316 101 RBC CAPITAL MARKETS CORPORATION Y CME 06/30/2009 1,193,909,653 102,989,559 1,090,920,094 102 RBS SECURITIES INC Y CBOT 06/30/2009 2,134,514,000 179,676,000 1,954,838,000 

103 RJ OBRIEN ASSOCIATES LLC N CME 06/30/2009 118,598,809 60,973,755 57,625,054 104 ROBBINS FUTURES INC N NFA 06/30/2009 586,064 500,000 86,064 105 ROSENTHAL COLLINS GROUP LLC N CME 06/30/2009 59,392,124 31,000,548 28,391,576 106 ROSENTHAL GLOBAL SECURITIES LLC Y NFA 06/30/2009 34,066,340 761,862 33,304,478 107 SANFORD C BERNSTEIN & CO LLC Y NFA 06/30/2009 142,532,030 9,157,084 133,374,946 108 SANTANDER INVESTMENT SECURITIES INC Y NFA 06/30/2009 79,746,475 500,000 79,246,475 109 SHAY GRAIN CLEARING COMPANY N KCBT 06/30/2009 2,573,918 500,000 2,073,918 110 SMW TRADING COMPANY INC N CME 06/30/2009 35,166,459 500,000 34,666,459 

111 STEPHENS INC Y NFA 06/30/2009 57,658,459 11,255,796 46,402,663 112 STERLING COMMODITIES CORP N NYME 06/30/2009 9,125,585 732,855 8,392,730 113 TCA FUTURES LLC N NFA 06/30/2009 868,766 500,000 368,766 114 TD AMERITRADE INC Y NFA 06/30/2009 229,900,805 500,000 229,400,805 

115 TENCO INC N CBOT 06/30/2009 44,827,288 7,696,976 37,130,312 

116 TERRA NOVA FINANCIAL LLC Y NFA 06/30/2009 12,243,687 1,500,000 10,743,687 117 TIMBER HILL LLC Y CME 06/30/2009 1,186,370,714 17,017,880 1,169,352,834 

118 TOWER RESEARCH CAPITAL EUROPE LLC N NFA 06/30/2009 4,022,010 500,000 3,522,010 119 TRADELINK LLC Y CBOT 06/30/2009 20,151,168 500,000 19,651,168 120 TRADESTATION SECURITIES INC Y NFA 06/30/2009 91,093,349 1,460,606 89,632,743 

121 TRADITION SECURITIES AND FUTURES INC N NFA 06/30/2009 810,895 500,000 310,895 

122 TRANSMARKET GROUP LLC Y CBOT 06/30/2009 16,778,352 500,000 16,278,352 123 TRILAND USA INC N NYME 06/30/2009 45,377,834 10,537,253 34,840,581 

124 UBS FINANCIAL SERVICES INC Y NFA 06/30/2009 919,187,509 86,522,088 832,665,421 125 UBS SECURITIES LLC Y CBOT 06/30/2009 12,957,441,801 949,134,123 12,008,307,678 
SELECTED FCM FINANCIAL DATA AS OF 

June 30, 2009

FROM REPORTS FILED BY 

July 31, 2009

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

Futures Commission Merchant Date Net Capital Requirement Net Capital 

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

126 VELOCITY FUTURES LLC N NFA 06/30/2009 938,092 500,000 438,092 127 VISION FINANCIAL MARKETS LLC Y CME 06/30/2009 23,402,774 7,385,133 16,017,641 128 WACHOVIA CAPITAL MARKETS LLC Y CME 06/30/2009 2,011,495,921 1,000,000 2,010,495,921 

129 WELLS FARGO ADVISORS FINANCIAL NETWORK LLC Y NFA 06/30/2009 18,898,237 1,544,200 17,354,037 130 WELLS FARGO ADVISORS LLC Y NFA 06/30/2009 644,159,658 1,500,000 642,659,658 131 WHITE COMMERCIAL CORPORATION N NFA 06/30/2009 2,309,857 500,000 1,809,857 132 WSD FINANCIAL USA INC N NFA 06/30/2009 1,260,952 500,000 760,952 133 YORK BUSINESS ASSOCIATES LLC N NFA 06/30/2009 1,361,842 500,000 861,842 

Totals 
SELECTED FCM FINANCIAL DATA AS OF 

June 30, 2009

FROM REPORTS FILED BY 

July 31, 2009

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

Futures Commission Merchant Date Net Capital Requirement Net Capital 

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

May Web Page Update 132Additions 1GENESIS FUTURES LLCDeletionsNoneName ChangeNoneJune Web Page Update 133*Allianz Global Investors Distributors LLC files financial statements quarterly.(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); or(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.
SELECTED FCM FINANCIAL DATA AS OF 

June 30, 2009

FROM REPORTS FILED BY 

July 31, 2009

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

Futures Commission Merchant Date Net Capital Requirement Net Capital 

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

(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. 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: mhendrickso@cftc.gov, phill@cftc.gov, fzimmerle@cftc.gov.