SELECTED FCM FINANCIAL DATA AS OF 

February 28, 2010

FROM REPORTS FILED BY 

March 31, 2010

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

Futures Commission Merchant Date Net Capital Requirement Net Capital 

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

1 ACM USA LLC N NFA 02/28/2010 743,473 500,000 243,473 2 ADM INVESTOR SERVICES INC N CBOT 02/28/2010 178,941,498 87,523,288 91,418,210 

3 ADVANCED MARKETS LLC N NFA 02/28/2010 20,350,386 20,000,000 350,386 4 ADVANTAGE FUTURES LLC N CME 02/26/2010 17,961,367 10,047,970 7,913,397 

5 ADVANTAGE SECURITIES LLC Y NFA 02/26/2010 4,612,057 500,000 4,112,057 

6 AIG CLEARING CORPORATION N NYME 02/28/2010 224,756,979 500,000 224,256,979 7 ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC* Y NFA 12/31/2009 28,024,917 8,706,179 19,318,738 

8 ALPARI (US) LLC N NFA 02/28/2010 21,469,750 20,000,000 1,469,750 9 AMERIPRISE FINANCIAL SERVICES INC Y NFA 02/28/2010 70,327,847 500,000 69,827,847 

10 BANC OF AMERICA SECURITIES LLC Y CME 02/26/2010 3,483,212,561 120,275,650 3,362,936,911 

11 BARCLAYS CAPITAL INC Y NYME 02/26/2010 5,009,167,392 609,564,270 4,399,603,122 12 BGC FINANCIAL LP Y NFA 02/28/2010 34,405,722 500,000 33,905,722 13 BNP PARIBAS COMMODITY FUTURES INC N NYME 02/28/2010 395,450,616 183,480,661 211,969,955 14 BNP PARIBAS SECURITIES CORP Y CBOT 02/28/2010 1,780,638,858 40,112,067 1,740,526,791 

15 CADENT FINANCIAL SERVICES LLC N NFA 02/28/2010 726,494 350,000 376,494 16 CANTOR FITZGERALD & CO Y CBOT 02/28/2010 168,094,872 3,884,640 164,210,232 17 CAPITAL MARKET SERVICES LLC N NFA 02/28/2010 26,711,661 21,099,655 5,612,006 

18 CIBC WORLD MARKETS CORP Y CME 02/26/2010 1,382,961,895 1,500,000 1,381,461,895 

19 CITADEL SECURITIES LLC Y CME 02/26/2010 226,823,611 16,966,732 209,856,879 

20 CITIGROUP GLOBAL MARKETS INC Y CBOT 02/26/2010 8,476,913,179 639,262,993 7,837,650,186 21 COMMONWEALTH FOREIGN EXCHANGE INC N NFA 02/28/2010 1,238,591 500,000 738,591 22 COMPASS PROFESSIONAL SERVICES LLC Y NFA 02/28/2010 3,270,669 500,000 2,770,669 23 COUNTRY HEDGING INC N NFA 02/28/2010 16,379,596 6,660,116 9,719,480 24 CREDIT SUISSE SECURITIES (USA) LLC Y CBOT 02/26/2010 8,997,890,935 777,796,740 8,220,094,195 25 CROSSLAND LLC N CBOT 02/28/2010 8,530,221 5,103,001 3,427,220 

26 CUNNINGHAM COMMODITIES LLC N CBOT 02/28/2010 3,847,529 1,297,930 2,549,599 

27 CX CAPITAL MARKETS LLC N NFA 02/28/2010 1,007,250 500,000 507,250 

28 DAIWA SECURITIES AMERICA INC Y CME 02/28/2010 274,458,684 1,000,000 273,458,684 29 DEUTSCHE BANK SECURITIES INC Y CBOT 02/26/2010 6,626,825,255 447,895,855 6,178,929,400 

30 DORMAN TRADING LLC N CME 02/28/2010 7,759,360 784,134 6,975,226 31 EAGLE MARKET MAKERS INC N CBOT 02/28/2010 5,901,987 500,000 5,401,987 

32 EASY FOREX US LTD N NFA 02/28/2010 20,283,551 20,000,000 283,551 33 ELECTRONIC BROKERAGE SYSTEMS LLC Y NFA 02/28/2010 8,995,093 500,000 8,495,093 34 ENSKILDA FUTURES LTD N CME 02/28/2010 24,952,125 16,607,998 8,344,127 35 FARR FINANCIAL INC N NFA 02/28/2010 1,440,557 685,272 755,285 36 FCSTONE LLC N CME 02/28/2010 74,111,569 33,481,888 40,629,681 

37 FOREX CAPITAL MARKETS LLC N NFA 02/28/2010 64,711,438 24,707,103 40,004,335 

38 FOREX CLUB FINANCIAL COMPANY INC N NFA 02/28/2010 21,804,109 20,000,000 1,804,109 39 FORTIS CLEARING AMERICAS LLC Y CBOT 02/26/2010 218,884,319 51,561,847 167,322,472 

40 FRIEDBERG MERCANTILE GROUP INC N NFA 02/28/2010 3,370,475 500,000 2,870,475 41 FRONTIER FUTURES INC N NFA 02/28/2010 1,340,695 783,675 557,020 
SELECTED FCM FINANCIAL DATA AS OF 

February 28, 2010

FROM REPORTS FILED BY 

March 31, 2010

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

Futures Commission Merchant Date Net Capital Requirement Net Capital 

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

42 FUTURES TECH LLC N NFA 02/28/2010 825,922 500,000 325,922 43 FX SOLUTIONS LLC N NFA 02/28/2010 34,172,077 20,501,006 13,671,071 44 FXDIRECTDEALER LLC N NFA 02/28/2010 34,717,702 23,095,763 11,621,939 45 GAIN CAPITAL GROUP LLC N NFA 02/28/2010 61,565,742 25,897,354 35,668,388 46 GENESIS FUTURES LLC N NFA 02/28/2010 761,217 500,000 261,217 47 GFS FOREX & FUTURES INC N NFA 02/28/2010 1,402,625 500,000 902,625 48 GILDER GAGNON HOWE & CO LLC Y NFA 02/28/2010 14,101,836 500,000 13,601,836 49 GLOBAL FUTURES & FOREX LTD N NFA 02/28/2010 71,121,251 25,127,250 45,994,001 

50 GOLDMAN SACHS & CO Y CBOT 02/28/2010 11,728,468,594 1,982,583,379 9,745,885,215 

51 GOLDMAN SACHS EXECUTION & CLEARING LP Y CME 02/26/2010 2,053,718,465 136,991,390 1,916,727,075 52 HG CLEARING SERVICES LLC N NFA 02/28/2010 598,462 500,000 98,462 53 HSBC SECURITIES USA INC Y CME 02/26/2010 1,104,578,914 70,456,762 1,034,122,152 

54 I TRADE FX LLC N NFA 02/25/2010 500,195 500,000 195 55 ICAP FUTURES LLC N NFA 02/28/2010 12,598,092 500,000 12,098,092 56 IG MARKETS INC N NFA 02/28/2010 30,584,797 20,000,000 10,584,797 57 IKON GLOBAL MARKETS INC N NFA 02/28/2010 22,060,807 20,513,202 1,547,605 

58 INSTINET LLC Y NFA 02/26/2010 118,082,822 1,525,609 116,557,213 59 INTEGRATED BROKERAGE SERVICES LLC N NFA 02/28/2010 1,353,862 500,000 853,862 60 INTERACTIVE BROKERS LLC Y NFA 02/28/2010 851,193,812 95,971,073 755,222,739 61 INTERBANK FX LLC N NFA 02/28/2010 31,758,002 21,415,845 10,342,157 62 ITG DERIVATIVES LLC Y NFA 02/28/2010 3,061,516 500,000 2,561,516 63 JP MORGAN CLEARING CORP Y CME 02/28/2010 5,331,965,540 1,546,861,325 3,785,104,215 64 JP MORGAN FUTURES INC N NYME 02/28/2010 2,227,076,524 1,050,857,994 1,176,218,530 

65 JP MORGAN SECURITIES INC Y NFA 02/28/2010 8,326,105,109 552,091,164 7,774,013,945 66 LADENBURG THALMANN & CO INC Y NFA 02/26/2010 5,314,970 500,000 4,814,970 67 LEK SECURITIES CORPORATION Y NFA 02/28/2010 12,730,374 1,500,000 11,230,374 

68 LIMESTONE TRADING LLC N NFA 02/28/2010 5,416,141 500,000 4,916,141 69 LINN GROUP THE N NFA 02/28/2010 2,372,152 692,790 1,679,362 

70 LPL FINANCIAL CORPORATION Y NFA 02/26/2010 99,886,227 5,399,483 94,486,744 71 MACQUARIE FUTURES USA INC N CBOT 02/28/2010 87,708,967 38,509,882 49,199,085 

72 MAREX USA LIMITED N NFA 02/28/2010 971,636 500,000 471,636 

73 MB TRADING FUTURES INC N NFA 02/28/2010 23,741,892 20,000,000 3,741,892 74 MBF CLEARING CORP N NYME 02/28/2010 10,941,529 1,852,603 9,088,926 

75 MCVEAN TRADING & INVESTMENTS LLC N NFA 02/28/2010 9,890,735 1,625,537 8,265,198 76 MERRILL LYNCH PIERCE FENNER & SMITH Y CBOT 02/28/2010 5,606,537,156 592,583,217 5,013,953,939 

77 MERRILL LYNCH PROFESSIONAL CLEARING CORP Y NFA 02/28/2010 1,599,278,259 187,724,419 1,411,553,840 

78 MF GLOBAL INC Y CME 02/28/2010 561,600,731 376,014,552 185,586,179 79 MG FINANCIAL LLC N NFA 02/28/2010 5,029,218 500,000 4,529,218 80 MID CO COMMODITIES INC N NFA 02/28/2010 11,310,964 2,348,256 8,962,708 81 MITSUBISHI UFJ SECURITIES USA INC Y NFA 02/28/2010 85,477,903 1,286,039 84,191,864 

82 MITSUI BUSSAN COMMODITIES USA INC N NYME 02/28/2010 8,140,053 2,717,475 5,422,578 83 MIZUHO SECURITIES USA INC Y CME 02/26/2010 325,035,618 43,703,997 281,331,621 
SELECTED FCM FINANCIAL DATA AS OF 

February 28, 2010

FROM REPORTS FILED BY 

March 31, 2010

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

Futures Commission Merchant Date Net Capital Requirement Net Capital 

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

84 MORGAN KEEGAN & COMPANY INC Y NFA 02/26/2010 421,507,831 9,673,488 411,834,343 85 MORGAN STANLEY & CO INCORPORATED Y CME 02/26/2010 8,087,643,364 1,084,134,214 7,003,509,150 86 MORGAN STANLEY SMITH BARNEY LLC Y NFA 02/28/2010 749,889,469 500,000 749,389,469 87 NATIXIS SECURITIES NORTH AMERICA INC Y NFA 02/26/2010 205,465,394 500,000 204,965,394 

88 NEUBERGER BERMAN LLC Y NFA 02/26/2010 62,871,792 1,500,000 61,371,792 

89 NEWEDGE USA LLC Y NYME 02/28/2010 2,381,618,964 1,210,422,583 1,171,196,381 

90 NOMURA SECURITIES INTERNATIONAL INC Y CBOT 02/26/2010 1,283,918,383 10,549,693 1,273,368,690 91 OANDA CORPORATION N NFA 02/28/2010 166,736,982 28,878,006 137,858,976 92 OPEN E CRY LLC N NFA 02/28/2010 3,635,622 730,157 2,905,465 

93 OPPENHEIMER & CO INC Y NFA 02/26/2010 169,163,862 20,997,740 148,166,122 

94 OPTIONSXPRESS INC Y NFA 02/28/2010 103,962,227 17,632,669 86,329,558 95 PENSON GHCO N CBOT 02/28/2010 23,384,309 16,605,615 6,778,694 96 PEREGRINE FINANCIAL GROUP INC N NFA 02/28/2010 32,331,737 20,000,000 12,331,737 

97 PIONEER FUTURES INC N NYME 02/28/2010 1,225,451 500,000 725,451 98 PRUDENTIAL BACHE COMMODITIES LLC N CBOT 02/28/2010 206,917,000 161,255,840 45,661,160 99 RAND FINANCIAL SERVICES INC N CME 02/28/2010 68,225,198 8,323,117 59,902,081 

100 RAYMOND JAMES & ASSOCIATES INC Y NFA 02/28/2010 401,031,203 27,204,491 373,826,712 101 RBC CAPITAL MARKETS CORPORATION Y CME 02/26/2010 1,235,005,065 70,101,886 1,164,903,179 

102 RBS SECURITIES INC Y CBOT 02/26/2010 1,425,803,000 162,345,000 1,263,458,000 

103 RJ OBRIEN ASSOCIATES LLC N CME 02/28/2010 115,011,001 65,014,363 49,996,638 104 ROBBINS FUTURES INC N NFA 02/28/2010 600,863 500,000 100,863 105 ROSENTHAL COLLINS GROUP LLC N CME 02/28/2010 65,483,849 33,368,855 32,114,994 106 ROSENTHAL GLOBAL SECURITIES LLC Y NFA 02/28/2010 19,807,594 590,573 19,217,021 107 SANFORD C BERNSTEIN & CO LLC Y NFA 02/26/2010 154,808,276 12,043,752 142,764,524 108 SANTANDER INVESTMENT SECURITIES INC Y NFA 02/26/2010 91,946,229 1,027,037 90,919,192 109 SHAY GRAIN CLEARING COMPANY N KCBT 02/28/2010 2,548,379 508,099 2,040,280 110 SMW TRADING COMPANY INC N CME 02/28/2010 25,461,082 500,000 24,961,082 

111 STATE STREET GLOBAL MARKETS LLC Y CME 02/28/2010 290,819,738 500,000 290,319,738 112 STEPHENS Y NFA 02/28/2010 63,447,481 10,436,553 53,010,928 

113 STERLING COMMODITIES CORP N NYME 02/28/2010 6,874,653 1,415,410 5,459,243 

114 TCA FUTURES LLC N NFA 02/28/2010 833,186 500,000 333,186 115 TD AMERITRADE INC Y NFA 02/28/2010 259,512,293 500,000 259,012,293 116 TENCO INC N CBOT 02/28/2010 48,345,725 5,794,109 42,551,616 

117 TERRA NOVA FINANCIAL LLC Y NFA 02/26/2010 9,698,419 1,500,000 8,198,419 118 TIMBER HILL LLC Y CME 02/28/2010 903,837,309 42,849,678 860,987,631 

119 TOWER RESEARCH CAPITAL EUROPE LLC N NFA 02/28/2010 4,696,309 500,000 4,196,309 120 TRADELINK LLC Y CBOT 02/28/2010 28,446,621 500,000 27,946,621 121 TRADESTATION SECURITIES INC Y NFA 02/28/2010 83,672,730 2,765,004 80,907,726 122 TRADITION SECURITIES AND FUTURES INC N NFA 02/28/2010 753,469 500,000 253,469 

123 TRANSMARKET GROUP LLC Y CBOT 02/28/2010 9,356,950 500,000 8,856,950 124 TRILAND USA INC N NYME 02/28/2010 36,731,975 11,672,405 25,059,570 

125 UBS FINANCIAL SERVICES INC Y NFA 02/26/2010 1,289,939,836 89,085,530 1,200,854,306 
SELECTED FCM FINANCIAL DATA AS OF 

February 28, 2010

FROM REPORTS FILED BY 

March 31, 2010

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

Futures Commission Merchant Date Net Capital Requirement Net Capital 

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

126 UBS SECURITIES LLC Y CBOT 02/26/2010 11,248,367,065 857,358,242 10,391,008,823 

127 VELOCITY FUTURES LLC N NFA 02/28/2010 1,495,786 500,000 995,786 128 VISION FINANCIAL MARKETS LLC Y CME 02/28/2010 20,817,437 9,077,145 11,740,292 129 WELLS FARGO ADVISORS FINANCIAL NETWORK LLC Y NFA 02/26/2010 25,908,480 2,668,340 23,240,140 130 WELLS FARGO ADVISORS LLC Y NFA 02/26/2010 291,383,307 1,500,000 289,883,307 131 WELLS FARGO SECURITIES LLC Y CME 02/28/2010 1,336,071,155 1,640,471 1,334,430,684 132 WHITE COMMERCIAL CORPORATION N NFA 02/28/2010 2,409,193 500,000 1,909,193 133 WSD FINANCIAL USA INC N NFA 02/28/2010 1,223,198 500,000 723,198 134 YORK BUSINESS ASSOCIATES LLC N NFA 02/28/2010 1,747,134 500,000 1,247,134 

Totals 
SELECTED FCM FINANCIAL DATA AS OF 

February 28, 2010

FROM REPORTS FILED BY 

March 31, 2010

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

Futures Commission Merchant Date Net Capital Requirement Net Capital 

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

January 2010 Web Page Update 133Additions 1ADVANTAGE SECURITIES LLCDeletions 0NoneName ChangeNone February 2010 Web Page Update 134*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.
SELECTED FCM FINANCIAL DATA AS OF 

February 28, 2010

FROM REPORTS FILED BY 

March 31, 2010

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

Futures Commission Merchant Date Net Capital Requirement Net Capital 

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

(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. 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, or mfranklin@cftc.gov