SELECTED FCM FINANCIAL DATA AS OF 

April 30, 2010

FROM REPORTS FILED BY 

May 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 04/30/2010 1,101,079 1,000,000 101,079 2 ADM INVESTOR SERVICES INC N CBOT 04/30/2010 187,741,313 105,427,375 82,313,938 

3 ADVANCED MARKETS LLC N NFA 04/30/2010 20,129,134 20,000,000 129,134 4 ADVANTAGE FUTURES LLC N CME 04/30/2010 18,057,897 8,752,701 9,305,196 

5 ADVANTAGE SECURITIES LLC Y NFA 04/30/2010 3,992,715 1,000,000 2,992,715 

6 AIG CLEARING CORPORATION N NYME 04/30/2010 224,878,033 1,000,000 223,878,033 7 ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC* Y NFA 03/31/2010 31,950,881 8,179,981 23,770,900 

8 ALPARI (US) LLC N NFA 04/30/2010 20,938,516 20,000,000 938,516 9 AMERIPRISE FINANCIAL SERVICES INC Y NFA 04/30/2010 112,868,929 1,000,000 111,868,929 

10 BANC OF AMERICA SECURITIES LLC Y CME 04/30/2010 2,331,750,056 188,277,652 2,143,472,404 

11 BARCLAYS CAPITAL INC Y NYME 04/30/2010 5,086,385,517 753,264,268 4,333,121,249 12 BGC FINANCIAL LP Y NFA 04/30/2010 28,384,625 1,000,000 27,384,625 13 BNP PARIBAS COMMODITY FUTURES INC N NYME 04/30/2010 347,509,332 195,752,585 151,756,747 14 BNP PARIBAS SECURITIES CORP Y CBOT 04/30/2010 2,112,109,660 70,972,952 2,041,136,708 

15 BNY MELLON CLEARING LLC N NFA 04/30/2010 8,407,774 1,000,000 7,407,774 

16 CANTOR FITZGERALD & CO Y CBOT 04/30/2010 143,311,585 5,384,656 137,926,929 17 CAPITAL MARKET SERVICES LLC N NFA 04/30/2010 25,988,456 21,107,941 4,880,515 

18 CIBC WORLD MARKETS CORP Y CME 04/30/2010 1,419,435,898 1,500,000 1,417,935,898 

19 CITADEL SECURITIES LLC Y CME 04/30/2010 102,538,521 19,139,147 83,399,374 

20 CITIGROUP GLOBAL MARKETS INC Y CBOT 04/30/2010 7,999,154,983 696,479,940 7,302,675,043 21 COMMONWEALTH FOREIGN EXCHANGE INC N NFA 04/30/2010 1,239,025 1,000,000 239,025 22 COMPASS PROFESSIONAL SERVICES LLC Y NFA 04/30/2010 3,423,813 1,000,000 2,423,813 23 COUNTRY HEDGING INC N NFA 04/30/2010 16,625,923 7,970,731 8,655,192 24 CREDIT SUISSE SECURITIES (USA) LLC Y CBOT 04/30/2010 10,147,736,372 920,956,279 9,226,780,093 25 CROSSLAND LLC N CBOT 04/30/2010 8,672,864 5,291,854 3,381,010 

26 CUNNINGHAM COMMODITIES LLC N CBOT 04/30/2010 3,622,431 1,530,615 2,091,816 

27 CX CAPITAL MARKETS LLC N NFA 04/30/2010 2,179,475 1,000,000 1,179,475 28 DAIWA CAPITAL MARKETS AMERICA INC Y CME 04/30/2010 263,791,474 1,802,704 261,988,770 

29 DEUTSCHE BANK SECURITIES INC Y CBOT 04/30/2010 6,631,128,764 583,361,349 6,047,767,415 

30 DORMAN TRADING LLC N CME 04/30/2010 7,822,415 1,000,000 6,822,415 

31 EAGLE MARKET MAKERS INC N CBOT 04/30/2010 6,107,496 1,000,000 5,107,496 32 EASY FOREX US LTD N NFA 04/30/2010 20,222,350 20,000,000 222,350 33 ELECTRONIC BROKERAGE SYSTEMS LLC Y NFA 04/30/2010 8,462,825 1,000,000 7,462,825 34 ENSKILDA FUTURES LTD N CME 04/30/2010 25,199,293 19,433,491 5,765,802 35 FARR FINANCIAL INC N NFA 04/30/2010 1,977,430 1,000,000 977,430 

36 FCSTONE LLC N CME 04/30/2010 79,210,548 37,571,468 41,639,080 37 FOREX CAPITAL MARKETS LLC N NFA 04/30/2010 69,253,442 24,752,877 44,500,565 

38 FOREX CLUB FINANCIAL COMPANY INC N NFA 04/30/2010 20,764,874 20,000,000 764,874 39 FORTIS CLEARING AMERICAS LLC Y CBOT 04/30/2010 217,751,511 62,592,299 155,159,212 

40 FRIEDBERG MERCANTILE GROUP INC N NFA 04/30/2010 3,353,400 1,000,000 2,353,400 41 FRONTIER FUTURES INC N NFA 04/30/2010 1,564,060 1,000,000 564,060 
SELECTED FCM FINANCIAL DATA AS OF 

April 30, 2010

FROM REPORTS FILED BY 

May 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 04/30/2010 1,601,435 1,000,000 601,435 43 FX SOLUTIONS LLC N NFA 04/30/2010 37,726,291 20,416,022 17,310,269 44 FXDIRECTDEALER LLC N NFA 04/30/2010 34,519,603 21,882,307 12,637,296 45 GAIN CAPITAL GROUP LLC N NFA 04/30/2010 75,419,999 26,300,140 49,119,859 46 GENESIS FUTURES LLC N NFA 04/30/2010 1,515,333 1,000,000 515,333 47 GILDER GAGNON HOWE & CO LLC Y NFA 04/30/2010 15,840,319 1,000,000 14,840,319 48 GLOBAL FUTURES & FOREX LTD N NFA 04/30/2010 83,354,274 25,831,571 57,522,703 

49 GOLDMAN SACHS & CO Y CBOT 04/30/2010 11,974,209,919 2,112,532,315 9,861,677,604 

50 GOLDMAN SACHS EXECUTION & CLEARING LP Y CME 04/30/2010 1,707,890,973 114,102,034 1,593,788,939 51 HG CLEARING SERVICES LLC N NFA 04/30/2010 1,002,262 1,000,000 2,262 52 HSBC SECURITIES USA INC Y CME 04/30/2010 1,141,967,687 98,839,926 1,043,127,761 

53 ICAP FUTURES LLC N NFA 04/30/2010 11,427,253 1,000,000 10,427,253 54 IG MARKETS INC N NFA 04/30/2010 14,019,709 7,500,000 6,519,709 55 IKON GLOBAL MARKETS INC N NFA 04/30/2010 21,678,953 20,468,178 1,210,775 

56 INSTINET LLC Y NFA 04/30/2010 85,540,369 2,141,435 83,398,934 57 INTEGRATED BROKERAGE SERVICES LLC N NFA 04/30/2010 1,725,368 1,000,000 725,368 58 INTERACTIVE BROKERS LLC Y NFA 04/30/2010 954,038,267 118,309,729 835,728,538 59 INTERBANK FX LLC N NFA 04/30/2010 30,491,110 21,558,357 8,932,753 60 ITG DERIVATIVES LLC Y NFA 04/30/2010 3,651,179 1,000,000 2,651,179 61 JP MORGAN CLEARING CORP Y CME 04/30/2010 5,225,672,919 1,589,041,218 3,636,631,701 62 JP MORGAN FUTURES INC N NYME 04/30/2010 2,097,310,028 1,114,018,259 983,291,769 

63 JP MORGAN SECURITIES INC Y NFA 04/30/2010 9,222,539,616 537,564,376 8,684,975,240 64 LEK SECURITIES CORPORATION Y NFA 04/30/2010 12,346,560 1,500,000 10,846,560 

65 LIMESTONE TRADING LLC N NFA 04/30/2010 5,686,222 1,000,000 4,686,222 66 LINN GROUP THE N NFA 04/30/2010 2,178,662 1,000,000 1,178,662 

67 LPL FINANCIAL CORPORATION Y NFA 04/30/2010 125,261,197 5,409,609 119,851,588 68 MACQUARIE FUTURES USA INC N CBOT 04/30/2010 86,533,457 42,370,748 44,162,709 

69 MAREX USA LIMITED N NFA 04/30/2010 3,730,567 1,000,000 2,730,567 

70 MB TRADING FUTURES INC N NFA 04/30/2010 24,324,618 20,000,000 4,324,618 71 MBF CLEARING CORP N NYME 04/30/2010 11,624,817 1,606,536 10,018,281 

72 MCVEAN TRADING & INVESTMENTS LLC N NFA 04/30/2010 9,931,934 2,146,139 7,785,795 73 MERRILL LYNCH PIERCE FENNER & SMITH Y CBOT 04/30/2010 5,222,403,661 678,469,337 4,543,934,324 74 MERRILL LYNCH PROFESSIONAL CLEARING CORP Y NFA 04/30/2010 1,641,778,529 174,277,734 1,467,500,795 

75 MF GLOBAL INC Y CME 04/30/2010 569,174,484 373,458,656 195,715,828 76 MG FINANCIAL LLC N NFA 04/30/2010 4,493,541 1,000,000 3,493,541 

77 MID CO COMMODITIES INC N NFA 04/30/2010 9,459,531 3,424,311 6,035,220 78 MITSUBISHI UFJ SECURITIES USA INC Y NFA 04/30/2010 92,354,633 2,114,202 90,240,431 

79 MITSUI BUSSAN COMMODITIES USA INC N NYME 04/30/2010 8,006,479 6,042,268 1,964,211 80 MIZUHO SECURITIES USA INC Y CME 04/30/2010 499,262,628 59,838,515 439,424,113 81 MORGAN KEEGAN & COMPANY INC Y NFA 04/30/2010 424,602,796 10,932,928 413,669,868 82 MORGAN STANLEY & CO INCORPORATED Y CME 04/30/2010 7,702,739,486 1,159,827,326 6,542,912,160 83 MORGAN STANLEY SMITH BARNEY LLC Y NFA 04/30/2010 929,917,974 1,000,000 928,917,974 
SELECTED FCM FINANCIAL DATA AS OF 

April 30, 2010

FROM REPORTS FILED BY 

May 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 NATIXIS SECURITIES NORTH AMERICA INC Y NFA 04/30/2010 219,196,899 1,000,000 218,196,899 

85 NEUBERGER BERMAN LLC Y NFA 04/30/2010 69,515,177 1,500,000 68,015,177 

86 NEWEDGE USA LLC Y NYME 04/30/2010 2,446,433,962 1,365,953,651 1,080,480,311 

87 NOMURA SECURITIES INTERNATIONAL INC Y CBOT 04/30/2010 1,278,117,809 20,658,266 1,257,459,543 88 OANDA CORPORATION N NFA 04/30/2010 170,299,469 29,180,107 141,119,362 89 OPEN E CRY LLC N NFA 04/30/2010 3,874,164 1,031,907 2,842,257 

90 OPPENHEIMER & CO INC Y NFA 04/30/2010 167,670,497 24,473,345 143,197,152 

91 OPTIONSXPRESS INC Y NFA 04/30/2010 109,167,800 12,107,165 97,060,635 92 PENSON GHCO N CBOT 04/30/2010 23,186,273 19,482,852 3,703,421 93 PEREGRINE FINANCIAL GROUP INC N NFA 04/30/2010 32,332,718 20,000,000 12,332,718 

94 PIONEER FUTURES INC N NYME 04/30/2010 1,435,315 1,000,000 435,315 95 PRUDENTIAL BACHE COMMODITIES LLC N CBOT 04/30/2010 214,097,000 157,962,480 56,134,520 96 RAND FINANCIAL SERVICES INC N CME 04/30/2010 68,914,315 13,412,671 55,501,644 97 RAYMOND JAMES & ASSOCIATES INC Y NFA 04/30/2010 367,131,156 28,645,947 338,485,209 98 RBC CAPITAL MARKETS CORPORATION Y CME 04/30/2010 1,032,398,275 82,566,786 949,831,489 99 RBS SECURITIES INC Y CBOT 04/30/2010 1,502,336,000 207,827,000 1,294,509,000 

100 RJ OBRIEN ASSOCIATES LLC N CME 04/30/2010 118,024,039 71,493,107 46,530,932 101 ROSENTHAL COLLINS GROUP LLC N CME 04/30/2010 63,795,747 36,393,430 27,402,317 102 ROSENTHAL GLOBAL SECURITIES LLC Y NFA 04/30/2010 51,251,342 1,000,000 50,251,342 103 SANFORD C BERNSTEIN & CO LLC Y NFA 04/30/2010 172,818,632 12,230,142 160,588,490 104 SANTANDER INVESTMENT SECURITIES INC Y NFA 04/30/2010 287,876,970 1,420,564 286,456,406 105 SHAY GRAIN CLEARING COMPANY N KCBT 04/30/2010 2,578,875 1,000,000 1,578,875 106 SMW TRADING COMPANY INC N CME 04/30/2010 26,916,554 1,000,000 25,916,554 

107 STATE STREET GLOBAL MARKETS LLC Y CME 04/30/2010 350,178,945 1,305,977 348,872,968 108 STEPHENS Y NFA 04/30/2010 63,838,079 10,861,267 52,976,812 

109 STERLING COMMODITIES CORP N NYME 04/30/2010 7,677,634 1,605,294 6,072,340 

110 TCA FUTURES LLC N NFA 04/30/2010 1,596,840 1,000,000 596,840 111 TD AMERITRADE INC Y NFA 04/30/2010 313,642,725 1,000,000 312,642,725 112 TENCO INC N CBOT 04/30/2010 50,574,538 6,431,202 44,143,336 

113 TERRA NOVA FINANCIAL LLC Y NFA 04/30/2010 9,700,267 1,500,000 8,200,267 

114 TIMBER HILL LLC Y CME 04/30/2010 718,601,069 39,011,750 679,589,319 

115 TOWER RESEARCH CAPITAL EUROPE LLC N NFA 04/30/2010 5,801,542 1,000,000 4,801,542 116 TRADELINK LLC Y CBOT 04/30/2010 24,929,702 1,000,000 23,929,702 117 TRADESTATION SECURITIES INC Y NFA 04/30/2010 79,556,489 2,132,833 77,423,656 118 TRADITION SECURITIES AND FUTURES INC N NFA 04/30/2010 1,571,425 1,000,000 571,425 

119 TRANSMARKET GROUP LLC Y CBOT 04/30/2010 5,512,363 1,000,000 4,512,363 120 TRILAND USA INC N NYME 04/30/2010 28,468,897 18,366,990 10,101,907 

121 UBS FINANCIAL SERVICES INC Y NFA 04/30/2010 1,280,739,488 91,594,688 1,189,144,800 122 UBS SECURITIES LLC Y CBOT 04/30/2010 11,281,312,998 939,239,628 10,342,073,370 123 VELOCITY FUTURES LLC N NFA 04/30/2010 1,632,088 1,000,000 632,088 124 VISION FINANCIAL MARKETS LLC Y CME 04/30/2010 19,349,848 9,716,536 9,633,312 125 WELLS FARGO ADVISORS FINANCIAL NETWORK LLC Y NFA 04/30/2010 25,903,140 4,168,511 21,734,629 
SELECTED FCM FINANCIAL DATA AS OF 

April 30, 2010

FROM REPORTS FILED BY 

May 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 WELLS FARGO ADVISORS LLC Y NFA 04/30/2010 465,914,741 1,500,000 464,414,741 127 WELLS FARGO SECURITIES LLC Y CME 04/30/2010 1,302,282,194 5,719,604 1,296,562,590 128 WHITE COMMERCIAL CORPORATION N NFA 04/30/2010 2,352,262 1,000,000 1,352,262 129 WSD FINANCIAL USA INC N NFA 04/30/2010 1,210,985 1,000,000 210,985 130 YORK BUSINESS ASSOCIATES LLC N NFA 04/30/2010 1,971,607 1,000,000 971,607 

Totals 
SELECTED FCM FINANCIAL DATA AS OF 

April 30, 2010

FROM REPORTS FILED BY 

May 31, 2010

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

Futures Commission Merchant Date Net Capital Requirement Net Capital 

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

March Web Page Update 131AdditionsNoneDeletionsLADENBURG THALMANN & CO INC 1Name ChangeFROM DAIWA SECURITIES AMERICA INC TO DAIWA CAPITAL MARKETS AMERICA INC.April Web Page Update 130*Allianz Global Investors Distributors LLC files financial statements quarterly.(a): B/D? : A 'Y' means the FCM is also registered with the (b): DSRO: Designated Self-Regulatory Organization. (c): A firm's net capital requirement is the greater of (1) $1,000,000; or(2) risk based capital requirement, the sum of 8% of total customer risk maintenance margin and 8% 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 

April 30, 2010

FROM REPORTS FILED BY 

May 31, 2010

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 or mfranklin@cftc.gov.