SELECTED FCM FINANCIAL DATA AS OF 

September 30, 2008

FROM REPORTS FILED BY 

October 31, 2008

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 09/30/2008 16,195,040 500,000 15,695,040 2 ACM USA LLC N NFA 09/30/2008 8,891,292 5,000,000 3,891,292 3 ADM INVESTOR SERVICES INC N CBOT 09/30/2008 153,657,171 76,879,351 76,777,820 4 ADVANCED MARKETS INC N NFA 09/30/2008 6,743,097 5,000,000 1,743,097 5 ADVANTAGE FUTURES LLC N CME 09/30/2008 25,393,646 6,463,385 18,930,261 6 AIG CLEARING CORPORATION N NYME 09/30/2008 319,866,248 25,967,899 293,898,349 7 ALARON TRADING CORPORATION N CME 09/30/2008 7,754,821 2,664,345 5,090,476 

8 ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC Y NFA 09/30/2008 25,779,452 7,250,234 18,529,218 9 ALPARI (US) LLC N NFA 09/30/2008 17,437,221 5,000,000 12,437,221 

10 BACERA CORPORATION N NFA 09/30/2008 5,489,342 5,000,000 489,342 11 BANC OF AMERICA SECURITIES LLC Y CME 09/30/2008 2,792,592,516 276,062,957 2,516,529,559 

12 BARCLAYS CAPITAL INC Y NYME 09/30/2008 8,334,665,920 550,369,186 7,784,296,734 

13 BEAR STEARNS & CO INC Y NFA 09/30/2008 5,098,168,548 553,837,792 4,544,330,756 14 BEAR STEARNS SECURITIES CORP Y CME 09/30/2008 4,750,987,921 1,403,927,334 3,347,060,587 

15 BGC SECURITIES Y NFA 09/30/2008 8,379,996 500,000 7,879,996 16 BNP PARIBAS COMMODITY FUTURES INC N NYME 09/30/2008 266,860,500 211,546,540 55,313,960 

17 BNP PARIBAS SECURITIES CORP Y CBOT 09/30/2008 845,664,489 128,403,898 717,260,591 

18 CADENT FINANCIAL SERVICES LLC N CME 09/30/2008 3,855,697 5,104,753 -1,249,056* 

19 CANTOR FITZGERALD & CO Y CBOT 09/30/2008 258,064,041 37,305,412 220,758,629 20 CAPITAL MARKET SERVICES LLC N NFA 09/30/2008 22,018,126 5,000,000 17,018,126 21 CIBC WORLD MARKETS CORP Y CME 09/30/2008 1,067,895,517 13,096,693 1,054,798,824 22 CITIGROUP GLOBAL MARKETS INC Y CBOT 09/30/2008 4,871,985,164 1,015,826,523 3,856,158,641 

23 CLIFF LARSON COMPANY THE N NFA 09/30/2008 3,393,322 1,525,228 1,868,094 24 CMC MARKETS (US) LLC N NFA 09/30/2008 8,636,095 5,000,000 3,636,095 25 COMMONWEALTH FOREIGN EXCHANGE INC N NFA 09/30/2008 1,659,047 500,000 1,159,047 26 COMTRUST INC N NFA 09/30/2008 847,040 500,000 347,040 27 COUNTRY HEDGING INC N NFA 09/30/2008 12,790,082 10,262,136 2,527,946 

28 CREDIT SUISSE SECURITIES (USA) LLC Y CBOT 09/30/2008 5,817,067,960 771,398,423 5,045,669,537 

29 CROSSLAND LLC N CBOT 09/30/2008 3,160,979 500,000 2,660,979 30 CUNNINGHAM COMMODITIES LLC N CBOT 09/30/2008 3,413,531 868,160 2,545,371 31 DAIWA SECURITIES AMERICA INC Y CME 09/30/2008 157,873,129 43,997,474 113,875,655 32 DEUTSCHE BANK SECURITIES INC Y CBOT 09/30/2008 3,423,577,796 486,590,772 2,936,987,024 

33 DORMAN TRADING LLC N CME 09/30/2008 8,564,950 537,899 8,027,051 

34 DUNAVANT COMMODITY CORP N NFA 09/30/2008 43,582,086 739,604 42,842,482 35 EAGLE MARKET MAKERS INC N CBOT 09/30/2008 6,828,134 500,000 6,328,134 36 EASY FOREX US LTD N NFA 09/30/2008 9,943,778 5,000,000 4,943,778 37 ED &F MAN COMMODITY ADVISORS INC N NFA 09/30/2008 981,275 500,000 481,275 38 ELECTRONIC BROKERAGE SYSTEMS LLC Y NFA 09/30/2008 12,233,593 500,000 11,733,593 39 ENSKILDA FUTURES LTD N CME 09/30/2008 18,294,265 10,646,511 7,647,754 40 FARR FINANCIAL INC N NFA 09/30/2008 1,778,491 611,421 1,167,070 41 FC STONE LLC N CME 09/30/2008 84,458,355 61,226,936 23,231,419 42 FOREX CAPITAL MARKETS LLC N NFA 09/30/2008 114,299,767 12,199,221 102,100,546 43 FOREX CLUB FINANCIAL COMPANY INC N NFA 09/30/2008 9,615,811 5,000,000 4,615,811 44 FORTIS CLEARING AMERICAS LLC Y CBOT 09/30/2008 273,955,744 50,167,137 223,788,607 45 FRIEDBERG MERCANTILE GROUP INC N NFA 09/30/2008 8,164,571 5,000,000 3,164,571 46 FRONTIER FUTURES INC N NFA 09/30/2008 1,512,893 881,883 631,010 
SELECTED FCM FINANCIAL DATA AS OF 

September 30, 2008

FROM REPORTS FILED BY 

October 31, 2008

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

Futures Commission Merchant Date Net Capital Requirement Net Capital S

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

47 FUTURES TECH LLC N NFA 09/30/2008 829,283 500,000 329,283 48 FX SOLUTIONS LLC N NFA 09/30/2008 21,197,643 5,000,000 16,197,643 49 GAIN CAPITAL GROUP LLC N NFA 09/30/2008 77,580,143 7,689,506 69,890,637 50 GATEWAY CAPITAL L.L.C. N NFA 09/30/2008 841,639 500,000 341,639 51 GELBER GROUP LLC N CBOT 09/30/2008 131,316,336 500,000 130,816,336 

52 GENESIS FUTURES LLC N NFA 09/30/2008 1,020,747 500,000 520,747 53 GFS FOREX & FUTURES INC N NFA 09/30/2008 11,908,980 5,000,000 6,908,980 54 GILDER GAGNON HOWE AND CO LLC Y NFA 09/30/2008 15,337,016 500,000 14,837,016 55 GLOBAL FUTURES & FOREX LTD N NFA 09/30/2008 67,073,561 5,885,312 61,188,249 

56 GOLDMAN SACHS & CO Y CBOT 09/26/2008 10,053,524,008 2,882,651,487 7,170,872,521 

57 GOLDMAN SACHS EXECUTION & CLEARING LP Y CME 09/26/2008 1,227,220,738 61,551,275 1,165,669,463 

58 H & R BLOCK FINANCIAL ADVISORS INC Y NFA 09/30/2008 41,606,220 7,968,790 33,637,430 59 HOTSPOT FXR LLC N NFA 09/30/2008 10,021,446 5,000,000 5,021,446 60 HSBC SECURITIES USA INC Y CME 09/30/2008 853,015,055 219,519,706 633,495,349 

61 I TRADE FX LLC N NFA 09/30/2008 17,258,339 5,000,000 12,258,339 62 ICAP FUTURES LLC N NFA 09/30/2008 5,357,007 500,000 4,857,007 63 IG MARKETS INC. N NFA 09/30/2008 16,240,340 5,000,000 11,240,340 64 IKON GLOBAL MARKETS INC. N NFA 09/30/2008 10,424,199 5,000,000 5,424,199 65 INSTINET LLC Y NFA 09/30/2008 54,378,106 7,372,642 47,005,464 66 INTEGRATED BROKERAGE SERVICES LLC N NFA 09/30/2008 2,202,140 500,000 1,702,140 67 INTERACTIVE BROKERS LLC Y EUXUS 09/30/2008 551,524,984 47,602,873 503,922,111 68 INTERBANK FX LLC N NFA 09/30/2008 37,596,319 5,000,000 32,596,319 69 ITG DERIVATIVES, LLC Y NFA 09/30/2008 2,679,798 526,285 2,153,513 70 JP MORGAN FUTURES INC N NYME 09/30/2008 1,733,660,702 1,144,724,184 588,936,518 

71 KOTTKE ASSOCIATES LLC N CBOT 09/30/2008 22,725,498 500,000 22,225,498 

72 LADENBURG THALMANN & CO INC Y NFA 09/30/2008 11,596,775 500,000 11,096,775 73 LBS LIMITED PARTNERSHIP N NFA 09/30/2008 826,973 500,000 326,973 74 LEK SECURITIES CORPORATION Y NFA 09/30/2008 11,229,858 1,500,000 9,729,858 75 LIMESTONE TRADING LLC N NFA 09/30/2008 20,118,821 500,000 19,618,821 76 LINN GROUP ( THE ) N NFA 09/30/2008 3,374,621 500,000 2,874,621 77 LOEB PARTNERS CORPORATION Y NFA 09/30/2008 15,517,349 500,000 15,017,349 78 LPL FINANCIAL CORPORATION Y NFA 09/30/2008 80,351,808 9,281,982 71,069,826 79 MACQUARIE FUTURES USA INC N CBOT 09/30/2008 48,516,021 28,781,282 19,734,739 80 MB TRADING FUTURES INC. N NFA 09/30/2008 14,245,045 5,000,000 9,245,045 81 MBF CLEARING CORP N NYME 09/30/2008 29,326,963 1,151,710 28,175,253 

82 MCVEAN TRADING AND INVESTMENTS LLC N NFA 09/30/2008 14,479,256 1,957,359 12,521,897 83 MERRILL LYNCH PIERCE FENNER & SMITH Y CBOT 09/26/2008 4,704,957,228 684,832,535 4,020,124,693 84 MERRILL LYNCH PROFESSIONAL CLEARING CORP Y NFA 09/26/2008 1,460,306,208 103,812,811 1,356,493,397 

85 MF GLOBAL INC. Y CME 09/30/2008 610,021,617 383,693,488 226,328,129 

86 MG FINANCIAL LLC N NFA 09/30/2008 5,979,092 5,000,000 979,092 87 MID-CO COMMODITIES INC N NFA 09/30/2008 13,409,347 4,415,024 8,994,323 88 MITSUI BUSSAN COMMODITIES USA INC N NYME 09/30/2008 7,499,830 2,394,864 5,104,966 89 MIZUHO SECURITIES USA INC Y CME 09/30/2008 255,988,011 65,987,668 190,000,343 

90 MORGAN KEEGAN & COMPANY INC Y NFA 09/30/2008 356,183,785 12,867,223 343,316,562 91 MORGAN STANLEY & CO INCORPORATED Y CME 09/30/2008 8,753,264,672 2,092,182,429 6,661,082,243 92 NATIXIS SECURITIES NORTH AMERICA INC Y NFA 09/30/2008 187,456,249 500,000 186,956,249 93 NEUBERGER BERMAN LLC Y NFA 09/30/2008 277,046,477 5,000,000 272,046,477 
SELECTED FCM FINANCIAL DATA AS OF 

September 30, 2008

FROM REPORTS FILED BY 

October 31, 2008

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

Futures Commission Merchant Date Net Capital Requirement Net Capital S

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

94 NEWEDGE USA LLC. Y NYME 09/30/2008 2,015,441,407 1,477,133,615 538,307,792 95 NOMURA SECURITIES INTERNATIONAL INC Y CBOT 09/30/2008 548,096,249 15,160,476 532,935,773 96 OANDA CORPORATION N NFA 09/30/2008 168,344,347 8,045,545 160,298,802 97 ODL SECURITIES INC N NFA 09/30/2008 15,180,254 5,000,000 10,180,254 

98 OPEN E CRY LLC N NFA 09/30/2008 2,040,704 535,971 1,504,733 

99 OPPENHEIMER & CO INC Y NFA 09/30/2008 189,055,731 25,988,140 163,067,591 

100 OPTIONSXPRESS INC Y NFA 09/30/2008 71,630,948 10,694,264 60,936,684 101 PENSON GHCO N CBOT 09/30/2008 18,530,729 13,482,583 5,048,146 102 PEREGRINE FINANCIAL GROUP INC N NFA 09/30/2008 22,038,818 5,532,588 16,506,230 103 PIONEER FUTURES INC N NYME 09/30/2008 1,599,113 500,000 1,099,113 104 PRUDENTIAL BACHE COMMODITIES LLC N CBOT 09/30/2008 275,513,000 222,762,840 52,750,160 105 PUMA FINANCIAL LLC N NFA 09/30/2008 1,571,556 500,000 1,071,556 106 RAND FINANCIAL SERVICES INC N CME 09/30/2008 60,351,609 9,913,119 50,438,490 107 RAYMOND JAMES & ASSOCIATES INC Y NFA 09/30/2008 303,192,554 33,096,145 270,096,409 108 RBC CAPITAL MARKETS CORPORATION Y CME 09/30/2008 725,435,219 97,531,718 627,903,501 

109 RBS GREENWICH CAPITAL INC Y CBOT 09/30/2008 1,830,594,000 332,812,704 1,497,781,296 

110 RJ OBRIEN & ASSOCIATES LLC N CME 09/30/2008 90,320,058 63,844,277 26,475,781 111 ROBBINS FUTURES INC N NFA 09/30/2008 616,520 500,000 116,520 112 ROSENTHAL COLLINS GROUP LLC N CME 09/30/2008 86,733,814 36,349,825 50,383,989 113 ROSENTHAL GLOBAL SECURITIES LLC Y NFA 09/30/2008 22,027,717 2,452,522 19,575,195 114 SANFORD C BERNSTEIN & CO LLC Y NFA 09/30/2008 143,951,685 10,522,491 133,429,194 115 SANTANDER INVESTMENT SECURITIES INC. Y NFA 09/30/2008 77,449,602 617,638 76,831,964 116 SHAY GRAIN CLEARING COMPANY N KCBT 09/30/2008 2,799,558 1,021,909 1,777,649 

117 SMW TRADING COMPANY INC N CME 09/30/2008 34,775,547 500,000 34,275,547 

118 SNC INVESTMENTS INC N NFA 09/30/2008 636,915 500,000 136,915 119 STEPHENS INC Y NFA 09/26/2008 77,733,628 10,142,589 67,591,039 120 STERLING COMMODITIES CORP N NYME 09/30/2008 9,914,352 1,018,575 8,895,777 121 TCA FUTURES LLC N NFA 09/30/2008 855,284 500,000 355,284 122 TD AMERITRADE INC. Y NFA 09/30/2008 44,039,280 250,000 43,789,280 123 TENCO INC N CBOT 09/30/2008 41,721,804 7,372,692 34,349,112 

124 TERRA NOVA FINANCIAL, LLC Y NFA 09/30/2008 9,494,467 1,527,710 7,966,757 125 TIMBER HILL LLC Y CME 09/30/2008 1,035,961,993 10,327,194 1,025,634,799 

126 TOWER RESEARCH CAPITAL EUROPE LLC N NFA 09/30/2008 1,629,309 500,000 1,129,309 127 TRADELINK LLC Y CBOT 09/30/2008 61,627,360 500,000 61,127,360 128 TRADEMAVEN CLEARING LLC N NFA 09/30/2008 704,066 500,000 204,066 129 TRADESTATION SECURITIES INC Y NFA 09/30/2008 89,444,967 2,097,193 87,347,774 130 TRADITION SECURITIES AND FUTURES INC N NFA 09/30/2008 810,417 500,000 310,417 131 TRANSMARKET GROUP LLC Y CBOT 09/30/2008 18,776,956 500,000 18,276,956 132 TRILAND USA INC N NYME 09/30/2008 47,492,521 15,363,898 32,128,623 133 UBS FINANCIAL SERVICES INC Y NFA 09/30/2008 1,310,114,303 134,025,405 1,176,088,898 134 UBS SECURITIES LLC Y CBOT 09/30/2008 11,822,180,437 1,227,761,321 10,594,419,116 135 VELOCITY FUTURES LP N NFA 09/30/2008 1,016,814 500,000 516,814 136 VISION FINANCIAL MARKETS LLC Y CME 09/30/2008 26,538,890 7,134,604 19,404,286 137 WACHOVIA CAPITAL MARKETS LLC Y CME 09/30/2008 1,493,607,099 2,901,587 1,490,705,512 138 WACHOVIA SECURITIES FINANCIAL NETWORK, LLC Y NFA 09/30/2008 31,711,043 1,778,626 29,932,417 139 WACHOVIA SECURITIES LLC Y NFA 09/30/2008 520,546,078 33,860,833 486,685,245 140 WHITE COMMERCIAL CORPORATION N NFA 09/30/2008 2,581,779 500,000 2,081,779 
SELECTED FCM FINANCIAL DATA AS OF 

September 30, 2008

FROM REPORTS FILED BY 

October 31, 2008

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

Futures Commission Merchant Date Net Capital Requirement Net Capital S

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

141 WSD FINANCIAL USA, INC N NFA 09/30/2008 1,287,194 500,000 787,194 142 YORK BUSINESS ASSOCIATES LLC N NFA 09/30/2008 1,152,065 500,000 652,065 

Total August Web Page Update 145Additions 2Allianz Global Investors Distributors LLCTD Ameritrade IncDeletions 5CSC Futures IncFirst Capitol Group IncIFX Markets IncNewedge Financial Inc.Shatkin Arbor IncName ChangeNoneSeptember Web Page Update 142

*Cadent Financial Services LLC is currently in capital compliance

(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.
SELECTED FCM FINANCIAL DATA AS OF 

September 30, 2008

FROM REPORTS FILED BY 

October 31, 2008

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

Futures Commission Merchant Date Net Capital Requirement Net Capital S

(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 vthe 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.