SELECTED FCM FINANCIAL DATA AS OF 

February 28, 2009

FROM REPORTS FILED BY 

March 31, 2009

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

Futures Commission Merchant Date Net Capital Requirement Net Capital S

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

1 3DFOREX LLC N NFA 02/28/2009 20,881,095 500,000 20,381,095 2 ACM USA LLC N NFA 02/28/2009 505,814 500,000 5,814 3 ADM INVESTOR SERVICES INC N CBOT 02/28/2009 158,774,010 71,328,717 87,445,293 4 ADVANCED MARKETS LLC N NFA 02/28/2009 19,779,530 15,000,000 4,779,530 5 ADVANTAGE FUTURES LLC N CME 02/27/2009 20,121,981 5,868,564 14,253,417 6 AIG CLEARING CORPORATION N NYME 02/28/2009 219,655,660 12,354,735 207,300,925 7 ALARON TRADING CORPORATION N NFA 02/28/2009 2,541,700 500,000 2,041,700 8 ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC * Y NFA 12/31/2008 27,457,078 6,847,647 20,609,431 

9 ALPARI (US) LLC N NFA 02/28/2009 19,563,428 15,000,000 4,563,428 

10 AMERIPRISE ADVISOR SERVICES INC Y NFA 02/27/2009 82,821,447 5,352,419 77,469,028 11 BANC OF AMERICA SECURITIES LLC Y CME 02/27/2009 4,503,564,417 153,514,221 4,350,050,196 

12 BARCLAYS CAPITAL INC Y NYME 02/27/2009 5,115,887,276 500,000,000 4,615,887,276 13 BGC FINANCIAL LP Y NFA 02/28/2009 49,911,759 500,000 49,411,759 14 BNP PARIBAS COMMODITY FUTURES INC N NYME 02/27/2009 320,584,157 227,994,603 92,589,554 

15 BNP PARIBAS SECURITIES CORP Y CBOT 02/28/2009 1,409,078,265 87,170,802 1,321,907,463 

16 CADENT FINANCIAL SERVICES LLC N CME 02/28/2009 9,234,987 2,578,829 6,656,158 17 CANTOR FITZGERALD & CO Y CBOT 02/28/2009 299,909,109 11,985,646 287,923,463 

18 CAPITAL MARKET SERVICES LLC N NFA 02/28/2009 29,132,552 15,000,000 14,132,552 

19 CIBC WORLD MARKETS CORP Y CME 02/27/2009 1,093,080,271 4,244,822 1,088,835,449 

20 CITIGROUP GLOBAL MARKETS INC Y CBOT 02/28/2009 7,990,494,424 834,759,087 7,155,735,337 21 CLIFF LARSON COMPANY THE N NFA 02/28/2009 1,913,232 750,325 1,162,907 

22 COMMONWEALTH FOREIGN EXCHANGE INC N NFA 02/28/2009 1,052,301 500,000 552,301 23 COUNTRY HEDGING INC N NFA 02/28/2009 14,226,430 7,540,470 6,685,960 24 CREDIT SUISSE SECURITIES (USA) LLC Y CBOT 02/27/2009 11,490,595,873 564,933,231 10,925,662,642 25 CROSSLAND LLC N CBOT 02/28/2009 3,187,770 500,000 2,687,770 

26 CUNNINGHAM COMMODITIES LLC N CBOT 02/28/2009 3,065,797 500,000 2,565,797 27 CX CAPITAL MARKETS LLC N NFA 02/28/2009 792,082 500,000 292,082 28 DAIWA SECURITIES AMERICA INC Y CME 02/28/2009 259,749,580 1,755,623 257,993,957 29 DEUTSCHE BANK SECURITIES INC Y CBOT 02/27/2009 5,954,627,642 412,822,869 5,541,804,773 

30 DORMAN TRADING LLC N CME 02/28/2009 7,865,911 500,000 7,365,911 31 EAGLE MARKET MAKERS INC N CBOT 02/28/2009 5,716,808 500,000 5,216,808 32 EASY FOREX US LTD N NFA 02/28/2009 15,267,707 15,000,000 267,707 33 ELECTRONIC BROKERAGE SYSTEMS LLC Y NFA 02/28/2009 9,569,086 500,000 9,069,086 34 ENSKILDA FUTURES LTD N CME 02/28/2009 22,270,316 13,109,081 9,161,235 35 FARR FINANCIAL INC N NFA 02/28/2009 1,072,501 500,000 572,501 36 FCSTONE LLC N CME 02/28/2009 66,728,403 37,093,355 29,635,048 

37 FOREX CAPITAL MARKETS LLC N NFA 02/28/2009 101,546,963 15,000,000 86,546,963 

38 FOREX CLUB FINANCIAL COMPANY INC N NFA 02/28/2009 21,536,154 15,000,000 6,536,154 

39 FORTIS CLEARING AMERICAS LLC Y CBOT 02/28/2009 193,334,408 56,740,577 136,593,831 40 FRIEDBERG MERCANTILE GROUP INC N NFA 02/28/2009 3,358,383 500,000 2,858,383 41 FRONTIER FUTURES INC N NFA 02/28/2009 1,209,146 680,925 528,221 42 FUTURES TECH LLC N NFA 02/28/2009 814,340 500,000 314,340 43 FX SOLUTIONS LLC N NFA 02/28/2009 49,298,390 15,000,000 34,298,390 44 GAIN CAPITAL GROUP LLC N NFA 02/28/2009 105,049,005 15,000,000 90,049,005 45 GELBER GROUP LLC N CBOT 02/28/2009 40,393,159 500,000 39,893,159 

46 GFS FOREX & FUTURES INC N NFA 02/28/2009 16,008,891 15,000,000 1,008,891 
SELECTED FCM FINANCIAL DATA AS OF 

February 28, 2009

FROM REPORTS FILED BY 

March 31, 2009

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

Futures Commission Merchant Date Net Capital Requirement Net Capital S

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

47 GILDER GAGNON HOWE & CO LLC Y NFA 02/28/2009 14,053,865 500,000 13,553,865 48 GLOBAL FUTURES & FOREX LTD N NFA 02/28/2009 84,505,231 15,000,000 69,505,231 49 GOLDMAN SACHS & CO Y CBOT 02/27/2009 14,996,166,804 1,848,312,216 13,147,854,588 50 GOLDMAN SACHS EXECUTION & CLEARING LP Y CME 02/27/2009 1,818,905,009 58,749,930 1,760,155,079 

51 HOTSPOT FXR LLC N NFA 02/28/2009 15,275,407 15,000,000 275,407 52 HSBC SECURITIES USA INC Y CME 02/27/2009 1,252,510,216 78,691,213 1,173,819,003 

53 I TRADE FX LLC N NFA 02/28/2009 16,811,042 15,000,000 1,811,042 54 ICAP FUTURES LLC N NFA 02/28/2009 6,719,983 500,000 6,219,983 55 IG MARKETS INC N NFA 02/28/2009 24,005,775 15,000,000 9,005,775 

56 IKON GLOBAL MARKETS INC N NFA 02/28/2009 16,310,492 15,000,000 1,310,492 

57 INSTINET LLC Y NFA 02/28/2009 99,708,729 1,500,000 98,208,729 58 INTEGRATED BROKERAGE SERVICES LLC N NFA 02/28/2009 2,200,983 500,000 1,700,983 59 INTERACTIVE BROKERS LLC Y NFA 02/28/2009 617,622,985 39,854,812 577,768,173 60 INTERBANK FX LLC N NFA 02/28/2009 37,816,773 15,000,000 22,816,773 61 ITG DERIVATIVES LLC Y NFA 02/28/2009 1,674,747 500,000 1,174,747 

62 JP MORGAN CLEARING CORP Y CME 02/28/2009 4,660,400,416 1,244,811,390 3,415,589,026 

63 JP MORGAN FUTURES INC N NYME 02/28/2009 2,197,911,921 1,482,409,796 715,502,125 

64 JP MORGAN SECURITIES INC Y NFA 02/28/2009 8,762,506,848 575,504,876 8,187,001,972 

65 LADENBURG THALMANN & CO INC Y NFA 02/28/2009 2,662,020 500,000 2,162,020 66 LEK SECURITIES CORPORATION Y NFA 02/28/2009 12,413,846 1,500,000 10,913,846 

67 LIMESTONE TRADING LLC N NFA 02/28/2009 9,772,579 500,000 9,272,579 68 LINN GROUP THE N NFA 02/28/2009 3,034,587 500,000 2,534,587 

69 LPL FINANCIAL CORPORATION Y NFA 02/28/2009 112,563,809 5,759,356 106,804,453 70 MACQUARIE FUTURES USA INC N CBOT 02/28/2009 48,669,252 38,082,244 10,587,008 

71 MAREX CARLTON LIMITED N NFA 02/28/2009 903,453 500,000 403,453 72 MB TRADING FUTURES INC N NFA 02/28/2009 15,449,683 15,000,000 449,683 73 MBF CLEARING CORP N NYME 02/28/2009 27,153,553 2,010,956 25,142,597 

74 MCVEAN TRADING & INVESTMENTS LLC N NFA 02/28/2009 8,023,065 1,467,350 6,555,715 

75 MERRILL LYNCH PIERCE FENNER & SMITH Y CBOT 02/28/2009 5,515,830,117 616,791,854 4,899,038,263 

76 MERRILL LYNCH PROFESSIONAL CLEARING CORP Y NFA 02/28/2009 1,972,898,954 76,675,302 1,896,223,652 77 MF GLOBAL INC Y CME 02/27/2009 628,768,648 363,163,421 265,605,227 78 MG FINANCIAL LLC N NFA 02/27/2009 5,262,459 500,000 4,762,459 79 MID CO COMMODITIES INC N NFA 02/28/2009 14,002,887 2,281,131 11,721,756 

80 MITSUI BUSSAN COMMODITIES USA INC N NYME 02/28/2009 7,333,734 1,220,800 6,112,934 

81 MIZUHO SECURITIES USA INC Y CME 02/27/2009 276,240,894 85,011,256 191,229,638 

82 MORGAN KEEGAN & COMPANY INC Y NFA 02/28/2009 337,255,010 10,045,601 327,209,409 

83 MORGAN STANLEY & CO INCORPORATED Y CME 02/27/2009 12,505,485,822 829,359,030 11,676,126,792 

84 NATIXIS SECURITIES NORTH AMERICA INC Y NFA 02/27/2009 202,103,819 500,000 201,603,819 

85 NEUBERGER BERMAN LLC Y NFA 02/27/2009 111,581,934 1,500,000 110,081,934 

86 NEWEDGE USA LLC Y NYME 02/28/2009 2,411,388,616 1,659,130,409 752,258,207 

87 NOMURA SECURITIES INTERNATIONAL INC Y CBOT 02/27/2009 729,771,357 1,979,884 727,791,473 88 OANDA CORPORATION N NFA 02/28/2009 169,205,862 15,000,000 154,205,862 89 ODL SECURITIES INC N NFA 02/28/2009 19,035,590 15,000,000 4,035,590 

90 OPEN E CRY LLC N NFA 02/28/2009 2,567,572 733,302 1,834,270 

91 OPPENHEIMER & CO INC Y NFA 02/27/2009 176,920,383 15,758,325 161,162,058 92 OPTIONSXPRESS INC Y NFA 02/28/2009 75,664,633 5,313,251 70,351,382 93 PENSON GHCO N CBOT 02/28/2009 18,419,051 14,342,750 4,076,301 
SELECTED FCM FINANCIAL DATA AS OF 

February 28, 2009

FROM REPORTS FILED BY 

March 31, 2009

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

Futures Commission Merchant Date Net Capital Requirement Net Capital S

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

94 PEREGRINE FINANCIAL GROUP INC N NFA 02/28/2009 26,053,988 15,000,000 11,053,988 95 PIONEER FUTURES INC N NYME 02/28/2009 1,801,775 500,000 1,301,775 96 PRUDENTIAL BACHE COMMODITIES LLC N CBOT 02/28/2009 252,300,000 190,136,680 62,163,320 97 PUMA FINANCIAL LLC N NFA 02/27/2009 1,607,758 500,000 1,107,758 

98 RAND FINANCIAL SERVICES INC N CME 02/28/2009 69,665,214 8,096,079 61,569,135 

99 RAYMOND JAMES & ASSOCIATES INC Y NFA 02/28/2009 290,883,783 23,945,758 266,938,025 

100 RBC CAPITAL MARKETS CORPORATION Y CME 02/27/2009 991,081,622 141,882,915 849,198,707 

101 RBS GREENWICH CAPITAL INC Y CBOT 02/28/2009 2,046,511,000 209,291,000 1,837,220,000 102 RJ OBRIEN & ASSOCIATES LLC N CME 02/28/2009 108,007,143 56,363,947 51,643,196 103 ROBBINS FUTURES INC N NFA 02/28/2009 554,280 500,000 54,280 104 ROSENTHAL COLLINS GROUP LLC N CME 02/28/2009 71,435,206 30,765,645 40,669,561 105 ROSENTHAL GLOBAL SECURITIES LLC Y NFA 02/28/2009 37,639,708 1,052,195 36,587,513 106 SANFORD C BERNSTEIN & CO LLC Y NFA 02/27/2009 164,471,366 7,593,590 156,877,776 107 SANTANDER INVESTMENT SECURITIES INC Y NFA 02/28/2009 64,805,492 500,000 64,305,492 108 SHAY GRAIN CLEARING COMPANY N KCBT 02/28/2009 2,569,255 523,134 2,046,121 

109 SMW TRADING COMPANY INC N CME 02/28/2009 18,679,147 500,000 18,179,147 

110 STEPHENS INC Y NFA 02/27/2009 69,538,044 8,675,225 60,862,819 111 STERLING COMMODITIES CORP N NYME 02/28/2009 8,583,732 719,301 7,864,431 112 TCA FUTURES LLC N NFA 02/28/2009 867,823 500,000 367,823 113 TD AMERITRADE INC Y NFA 02/28/2009 94,162,365 500,000 93,662,365 114 TENCO INC N CBOT 02/28/2009 43,642,050 6,377,141 37,264,909 

115 TERRA NOVA FINANCIAL LLC Y NFA 02/27/2009 11,388,812 1,500,000 9,888,812 116 TIMBER HILL LLC Y CME 02/28/2009 1,379,931,199 11,278,208 1,368,652,991 

117 TOWER RESEARCH CAPITAL EUROPE LLC N NFA 02/28/2009 2,558,336 500,000 2,058,336 118 TRADELINK LLC Y CBOT 02/28/2009 26,855,564 500,000 26,355,564 119 TRADESTATION SECURITIES INC Y NFA 02/28/2009 94,236,263 970,570 93,265,693 120 TRADITION SECURITIES AND FUTURES INC N NFA 02/28/2009 832,540 500,000 332,540 

121 TRANSMARKET GROUP LLC Y CBOT 02/28/2009 14,468,224 500,000 13,968,224 122 TRILAND USA INC N NYME 02/28/2009 45,944,963 12,149,158 33,795,805 

123 UBS FINANCIAL SERVICES INC Y NFA 02/28/2009 1,015,517,144 94,271,799 921,245,345 

124 UBS SECURITIES LLC Y CBOT 02/27/2009 14,351,757,931 1,018,113,519 13,333,644,412 

125 VELOCITY FUTURES LLC N NFA 02/28/2009 1,122,963 500,000 622,963 

126 VISION FINANCIAL MARKETS LLC Y CME 02/28/2009 21,377,715 6,451,846 14,925,869 127 WACHOVIA CAPITAL MARKETS LLC Y CME 02/28/2009 1,758,699,118 1,000,000 1,757,699,118 

128 WACHOVIA SECURITIES FINANCIAL NETWORK LLC Y NFA 02/28/2009 30,308,015 1,693,712 28,614,303 129 WACHOVIA SECURITIES LLC Y NFA 02/28/2009 471,676,840 6,371,178 465,305,662 130 WHITE COMMERCIAL CORPORATION N NFA 02/28/2009 2,167,269 500,000 1,667,269 131 WSD FINANCIAL USA INC N NFA 02/28/2009 1,277,423 500,000 777,423 132 YORK BUSINESS ASSOCIATES LLC N NFA 02/28/2009 1,056,547 500,000 556,547 

TOTALS 
SELECTED FCM FINANCIAL DATA AS OF 

February 28, 2009

FROM REPORTS FILED BY 

March 31, 2009

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

Futures Commission Merchant Date Net Capital Requirement Net Capital S

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

January Web Page Update 134Additions 0NoneDeletions 2BGC SECURITIESLBS LIMITED PARTNERSHIPName Change 0NoneFebruary Web Page Update 132*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);

(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 the United States. 
SELECTED FCM FINANCIAL DATA AS OF 

February 28, 2009

FROM REPORTS FILED BY 

March 31, 2009

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