SELECTED FCM FINANCIAL DATA AS OF 

February 28, 2011

FROM REPORTS FILED BY 

March 31, 2011

Reg As DSRO A/O Adjusted Net Capital Excess Customer

Date Net Capital Requirement Net Capital Seg Requi

4d(a)(2) 

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

1 ABN AMRO CLEARING CHICAGO LLC FCM BD CBOT 02/28/2011 210,493,802 94,734,179 115,759,623 1,670,632 ADM INVESTOR SERVICES INC FCM CBOT 02/28/2011 289,038,753 170,738,345 118,300,408 2,871,25

3 ADVANCED MARKETS LLC RFED NFA 02/28/2011 20,177,732 20,000,000 177,732 4 ADVANTAGE FUTURES LLC FCM CME 02/28/2011 21,488,656 13,455,178 8,033,478 408,295 ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC * FCM BD NFA 12/31/2010 74,553,831 11,501,943 63,051,888 

6 ALPARI (US) LLC RFED NFA 02/28/2011 21,069,733 20,000,000 1,069,733 7 AMERIPRISE FINANCIAL SERVICES INC FCM BD NFA 02/28/2011 86,309,196 1,000,000 85,309,196 8 AMP GLOBAL CLEARING LLC FCM NFA 02/28/2011 1,416,651 1,000,000 416,651 24,949 BARCLAYS CAPITAL INC FCM BD NYME 02/28/2011 6,047,988,199 776,368,563 5,271,619,636 5,647,55

10 BGC FINANCIAL LP FCM BD NFA 02/28/2011 52,477,622 1,000,000 51,477,622 11 BNP PARIBAS COMMODITY FUTURES INC FCM NYME 02/28/2011 344,800,109 232,434,258 112,365,851 1,592,7912 BNP PARIBAS SECURITIES CORP FCM BD CBOT 02/28/2011 1,596,601,810 81,659,739 1,514,942,071 490,8513 BNY MELLON CLEARING LLC FCM CME 02/28/2011 78,918,235 4,761,597 74,156,638 8614 CANTOR FITZGERALD & CO FCM BD CBOT 02/28/2011 165,159,323 14,944,376 150,214,947 3,1315 CAPITAL MARKET SERVICES LLC RFED NFA 02/28/2011 2,398,703 1,000,000 1,398,703 16 CIBC WORLD MARKETS CORP FCM BD CME 02/28/2011 468,416,612 1,500,000 466,916,612 17 CITADEL SECURITIES LLC FCM BD CME 02/28/2011 375,636,680 1,000,000 374,636,680 18 CITIGROUP GLOBAL MARKETS INC FCM BD CBOT 02/28/2011 9,009,283,250 697,273,070 8,312,010,180 10,296,8819 COMMONWEALTH FOREIGN EXCHANGE INC FCM NFA 02/28/2011 1,536,513 1,000,000 536,513 20 COMPASS PROFESSIONAL SERVICES LLC FCM BD NFA 02/28/2011 3,556,972 1,000,000 2,556,972 21 COUNTRY HEDGING INC FCM NFA 02/28/2011 27,394,463 20,277,408 7,117,055 210,6722 CREDIT SUISSE SECURITIES (USA) LLC FCM BD CBOT 02/28/2011 7,552,267,018 1,046,827,620 6,505,439,398 5,293,12

23 CROSSLAND LLC FCM CBOT 02/28/2011 10,899,550 4,613,842 6,285,708 87,7024 CUNNINGHAM COMMODITIES LLC FCM CBOT 02/28/2011 3,488,189 1,000,000 2,488,189 48,4825 CX CAPITAL MARKETS LLC FCM NFA 02/28/2011 2,312,594 1,000,000 1,312,594 24,9226 DAIWA CAPITAL MARKETS AMERICA INC FCM BD CME 02/28/2011 269,863,999 1,562,654 268,301,345 5,7927 DEUTSCHE BANK SECURITIES INC FCM BD CBOT 02/28/2011 4,939,912,403 645,062,421 4,294,849,982 15,946,9028 DORMAN TRADING LLC FCM CME 02/28/2011 7,700,013 1,000,000 6,700,013 103,6929 EAGLE MARKET MAKERS INC FCM CBOT 02/28/2011 6,166,265 1,000,000 5,166,265 9,2030 EASY FOREX US LTD FCM NFA 02/28/2011 1,958,487 1,000,000 958,487 31 ELECTRONIC BROKERAGE SYSTEMS LLC FCM BD NFA 02/28/2011 4,891,387 1,000,000 3,891,387 32 ENSKILDA FUTURES LTD FCM CME 02/28/2011 29,903,596 21,338,755 8,564,841 309,0233 FARR FINANCIAL INC FCM NFA 02/28/2011 1,242,295 1,000,000 242,295 34 FCSTONE LLC FCM CME 02/28/2011 121,012,540 74,136,896 46,875,644 1,395,9935 FOREX CAPITAL MARKETS LLC RFED NFA 02/28/2011 82,725,462 26,500,031 56,225,431 36 FOREX CLUB LLC RFED NFA 02/28/2011 20,847,578 20,000,000 847,578 37 FRIEDBERG MERCANTILE GROUP INC FCM NFA 02/28/2011 3,421,351 1,000,000 2,421,351 9,4238 FRONTIER FUTURES INC FCM NFA 02/28/2011 1,847,501 1,330,248 517,253 31,7339 FUTURES TECH LLC FCM NFA 02/28/2011 1,571,030 1,000,000 571,030 40 FX SOLUTIONS LLC RFED NFA 02/28/2011 34,001,538 20,596,277 13,405,261 41 FXDIRECTDEALER LLC RFED NFA 02/28/2011 26,176,690 21,474,391 4,702,299 42 GAIN CAPITAL GROUP LLC RFED NFA 02/28/2011 49,718,169 26,684,390 23,033,779 43 GLOBAL FUTURES & FOREX LTD RFED NFA 02/28/2011 78,589,527 23,945,585 54,643,942 56

Futures Commission Merchant / Retail Foreign Exchange 

Dealer
SELECTED FCM FINANCIAL DATA AS OF 

February 28, 2011

FROM REPORTS FILED BY 

March 31, 2011

Reg As DSRO A/O Adjusted Net Capital Excess Customer

Date Net Capital Requirement Net Capital Seg Requi

4d(a)(2) 

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

Futures Commission Merchant / Retail Foreign Exchange 

Dealer

44 GOLDMAN SACHS & CO FCM BD CBOT 02/28/2011 12,128,277,439 1,974,174,100 10,154,103,339 21,290,9445 GOLDMAN SACHS EXECUTION & CLEARING LP FCM BD CME 02/28/2011 1,899,615,340 128,501,666 1,771,113,674 1,225,5546 HSBC SECURITIES USA INC FCM BD CME 02/28/2011 1,131,280,503 90,083,227 1,041,197,276 1,202,0647 ICAP FUTURES LLC FCM NFA 02/28/2011 7,263,408 1,000,000 6,263,408 48 IG MARKETS INC FCM NFA 02/28/2011 28,859,019 20,000,000 8,859,019 1449 IKON GLOBAL MARKETS INC FCM NFA 02/28/2011 16,782,598 1,000,000 15,782,598 19,2350 INSTINET LLC FCM BD NFA 02/28/2011 112,901,417 3,079,361 109,822,056 51 INSTITUTIONAL LIQUIDITY LLC FCM NFA 02/28/2011 20,932,375 20,000,000 932,375 52 INTEGRATED BROKERAGE SERVICES LLC FCM NFA 02/28/2011 1,685,270 1,000,000 685,270 53 INTERACTIVE BROKERS LLC FCM BD NFA 02/28/2011 1,207,588,284 186,859,566 1,020,728,718 710,3154 INTERBANK FX LLC RFED NFA 02/28/2011 23,681,871 21,243,145 2,438,726 55 IRONBEAM INC FCM NFA 02/28/2011 2,033,941 1,021,550 1,012,391 47,7056 ITG DERIVATIVES LLC FCM BD NFA 02/28/2011 4,877,500 1,000,000 3,877,500 57 JEFFERIES & COMPANY INC FCM BD NFA 02/28/2011 514,816,751 88,637,217 426,179,534 58 JP MORGAN CLEARING CORP FCM BD CME 02/28/2011 5,994,047,510 1,915,104,739 4,078,942,771 556,3759 JP MORGAN FUTURES INC FCM NYME 02/28/2011 2,505,552,725 1,378,854,133 1,126,698,592 16,549,3560 JP MORGAN SECURITIES LLC FCM BD NFA 02/28/2011 7,564,973,170 589,081,682 6,975,891,488 61 LEK SECURITIES CORPORATION FCM BD NFA 02/28/2011 9,581,728 1,500,000 8,081,728 2662 LIMESTONE TRADING LLC FCM NFA 02/28/2011 6,507,198 1,000,000 5,507,198 63 LINN GROUP THE FCM NFA 02/28/2011 2,402,025 1,116,191 1,285,834 37,1764 LPL FINANCIAL LLC FCM BD NFA 02/28/2011 165,383,127 5,718,908 159,664,219 65 MACQUARIE FUTURES USA INC FCM CBOT 02/28/2011 130,819,430 60,893,557 69,925,873 705,0866 MAREX NORTH AMERICA LLC FCM CME 02/28/2011 11,286,214 3,278,242 8,007,972 46,8267 MAREX USA LIMITED FCM NFA 02/28/2011 2,746,413 1,000,000 1,746,413 68 MB TRADING FUTURES INC RFED NFA 02/28/2011 23,795,246 21,356,774 2,438,472 69 MBF CLEARING CORP FCM NYME 02/28/2011 9,401,588 1,316,902 8,084,686 99,8570 MCVEAN TRADING & INVESTMENTS LLC FCM NFA 02/28/2011 10,433,136 5,290,760 5,142,376 823,3671 MERRILL LYNCH PIERCE FENNER & SMITH FCM BD CBOT 02/28/2011 9,729,633,615 793,475,027 8,936,158,588 9,380,9072 MERRILL LYNCH PROFESSIONAL CLEARING CORP FCM BD NFA 02/28/2011 2,352,385,862 167,287,997 2,185,097,865 936,16

73 MF GLOBAL INC FCM BD CME 02/28/2011 586,979,985 425,540,471 161,439,514 8,700,8174 MID CO COMMODITIES INC FCM NFA 02/28/2011 14,916,402 9,181,433 5,734,969 62,4175 MITSUBISHI UFJ SECURITIES USA INC FCM BD NFA 02/28/2011 97,296,309 1,788,294 95,508,015 76 MITSUI BUSSAN COMMODITIES USA INC FCM NFA 02/28/2011 2,564,804 1,000,000 1,564,804 77 MIZUHO SECURITIES USA INC FCM BD CME 02/28/2011 434,547,757 74,841,930 359,705,827 799,7578 MORGAN KEEGAN & COMPANY INC FCM BD NFA 02/28/2011 456,704,961 10,661,883 446,043,078 79 MORGAN STANLEY & CO INCORPORATED FCM BD CME 02/28/2011 7,853,044,139 1,304,449,956 6,548,594,183 5,197,8180 MORGAN STANLEY SMITH BARNEY LLC FCM BD NFA 02/28/2011 1,172,868,093 41,675,237 1,131,192,856 637,1081 NATIXIS SECURITIES NORTH AMERICA INC FCM BD NFA 02/28/2011 223,900,816 1,000,000 222,900,816 82 NEUBERGER BERMAN LLC FCM BD NFA 02/28/2011 50,789,599 1,500,000 49,289,599 83 NEWEDGE USA LLC FCM BD NYME 02/28/2011 2,213,569,152 1,531,336,402 682,232,750 23,696,3584 NOMURA SECURITIES INTERNATIONAL INC FCM BD CBOT 02/28/2011 1,813,006,159 23,074,950 1,789,931,209 75,7885 OANDA CORPORATION RFED NFA 02/28/2011 150,231,824 27,932,794 122,299,030 86 OPEN E CRY LLC FCM NFA 02/28/2011 3,120,814 1,476,045 1,644,769 96,37
SELECTED FCM FINANCIAL DATA AS OF 

February 28, 2011

FROM REPORTS FILED BY 

March 31, 2011

Reg As DSRO A/O Adjusted Net Capital Excess Customer

Date Net Capital Requirement Net Capital Seg Requi

4d(a)(2) 

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

Futures Commission Merchant / Retail Foreign Exchange 

Dealer

87 OPPENHEIMER & CO INC FCM BD NFA 02/28/2011 168,342,185 25,383,678 142,958,507 25,0488 OPTIONSXPRESS INC FCM BD NFA 02/28/2011 87,148,828 9,927,744 77,221,084 112,0389 PENSON FUTURES FCM CBOT 02/28/2011 38,879,021 31,801,995 7,077,026 819,3490 PEREGRINE FINANCIAL GROUP INC FCM NFA 02/28/2011 36,018,094 21,438,778 14,579,316 512,6291 PHILLIP FUTURES INC FCM NFA 02/28/2011 6,535,684 1,000,000 5,535,684 92 PIONEER FUTURES INC FCM NFA 02/28/2011 2,501,427 1,000,000 1,501,427 93 PRUDENTIAL BACHE COMMODITIES LLC FCM CBOT 02/28/2011 254,504,000 201,728,880 52,775,120 3,033,6394 RAND FINANCIAL SERVICES INC FCM CME 02/28/2011 71,099,808 14,863,725 56,236,083 230,1395 RAYMOND JAMES & ASSOCIATES INC FCM BD NFA 02/28/2011 359,590,030 30,150,214 329,439,816 96 RBC CAPITAL MARKETS LLC FCM BD CME 02/28/2011 1,270,255,297 107,177,699 1,163,077,598 385,3697 RBS SECURITIES INC FCM BD CBOT 02/28/2011 1,356,343,000 282,725,000 1,073,618,000 2,009,0698 RJ OBRIEN ASSOCIATES LLC FCM CME 02/28/2011 154,554,642 114,555,672 39,998,970 2,568,5799 ROSENTHAL COLLINS GROUP LLC FCM CME 02/28/2011 70,212,984 54,467,422 15,745,562 1,700,76

100 ROSENTHAL GLOBAL SECURITIES LLC FCM BD NFA 02/28/2011 34,942,540 1,000,000 33,942,540 101 SANFORD C BERNSTEIN & CO LLC FCM BD NFA 02/28/2011 156,690,997 15,131,457 141,559,540 102 SANTANDER INVESTMENT SECURITIES INC FCM BD NYME 02/28/2011 199,179,641 9,809,538 189,370,103 486,25

103 STATE STREET GLOBAL MARKETS LLC FCM BD CME 02/28/2011 399,872,889 2,469,956 397,402,933 3,05104 STEPHENS FCM BD NFA 02/28/2011 72,008,529 11,934,242 60,074,287 105 STERLING COMMODITIES CORP FCM NYME 02/28/2011 8,538,286 1,000,000 7,538,286 31,08106 TCA FUTURES LLC FCM NFA 02/28/2011 1,638,041 1,000,000 638,041 107 TD AMERITRADE INC FCM BD NFA 02/28/2011 279,412,966 1,000,000 278,412,966 108 TENCO INC FCM CBOT 02/28/2011 56,295,741 13,308,235 42,987,506 323,45109 TIMBER HILL LLC FCM BD CME 02/28/2011 1,084,035,367 47,072,050 1,036,963,317 523,77110 TOWER RESEARCH CAPITAL EUROPE LLC FCM NFA 02/28/2011 4,022,095 1,000,000 3,022,095 111 TRADELINK LLC FCM BD CBOT 02/28/2011 20,082,592 1,000,000 19,082,592 112 TRADESTATION FOREX INC RFED NFA 02/28/2011 22,653,315 20,000,000 2,653,315 113 TRADESTATION SECURITIES INC FCM BD NFA 02/28/2011 62,326,533 3,156,859 59,169,674 399,47114 TRADITION SECURITIES AND FUTURES INC FCM NFA 02/28/2011 1,541,322 1,000,000 541,322 115 TRILAND USA INC FCM NYME 02/28/2011 23,249,273 16,315,049 6,934,224 191,22116 UBS FINANCIAL SERVICES INC FCM BD NFA 02/28/2011 1,335,559,391 102,080,185 1,233,479,206 221,08117 UBS SECURITIES LLC FCM BD CBOT 02/28/2011 11,332,342,183 975,072,266 10,357,269,917 10,212,33118 VELOCITY FUTURES LLC FCM NFA 02/28/2011 1,575,457 1,000,000 575,457 68,09119 VISION FINANCIAL MARKETS LLC FCM BD CME 02/28/2011 20,700,686 7,358,904 13,341,782 405,16120 WALL STREET DERIVATIVES INC FCM NFA 02/28/2011 1,500,820 1,000,000 500,820 

121 WELLS FARGO ADVISORS FINANCIAL NETWORK LLC FCM BD NFA 02/28/2011 46,726,885 3,569,973 43,156,912 122 WELLS FARGO ADVISORS LLC FCM BD NFA 02/28/2011 1,323,066,677 1,500,000 1,321,566,677 123 WELLS FARGO SECURITIES LLC FCM BD CME 02/28/2011 1,192,130,039 13,213,851 1,178,916,188 124 WHITE COMMERCIAL CORPORATION FCM NFA 02/28/2011 2,653,634 1,000,000 1,653,634 125 YORK BUSINESS ASSOCIATES LLC FCM NFA 02/28/2011 2,689,698 1,000,000 1,689,698 67,82

Totals 163,711,64
SELECTED FCM FINANCIAL DATA AS OF 

February 28, 2011

FROM REPORTS FILED BY 

March 31, 2011

Reg As DSRO A/O Adjusted Net Capital Excess Customer

Date Net Capital Requirement Net Capital Seg Requi

4d(a)(2) 

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

Futures Commission Merchant / Retail Foreign Exchange 

Dealer

January Web Page Update 123Additions 2JEFFERIES & COMPANY INCPHILLIP FUTURES INCDeletions 0NoneName ChangeNoneFebruary Web Page Update 125*Allianz Global Investors Distributors LLC files financial statements quarterly.(a): FCM: Futures Commission Merchant that is registered with the Commodity Futures Trading Commission; BD: The FCM is also registered with the Securities and Exchange Commission as a securities broker or dealer; RFED: Retail Foreign Exchange Dealer that is registered with the Commodity Futures Trading Commission.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: DCIO(b): DSRO: Designated Self-Regulatory Organization. (c): A firm's net capital requirement is the greater of : 

• FCM minimum dollar amount ($1,000,000); or• risk based capital requirement, the sum of 8% of total customer risk maintenance margin and 8% of total non-customer risk maintenance margin; or 

• the amount of capital required by a registered futures association (currently NFA is the only such association); or• for securities brokers and dealers, the amount of net capital required by Rule 15c3-1(a) of the Securities and Exchange Commission; or • minimum dollar amount for FCM’s offering or engaged in retail forex transactions and RFEDs ($20,000,000); or• minimum dollar amount for FCM’s offering or engaged in retail forex transactions and RFEDs ($20,000,000) plus five percent of the FCM’s or RFED’s total retail forex oblig

(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 transactaccounts 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. (g): This represents the total amount of funds at an FCM or RFED that would be obtained by combining all money, securities and property deposited by a retail forex customer intthe realized and unrealized net profit or loss.