SELECTED FCM FINANCIAL DATA AS OF 

July 31, 2010

FROM REPORTS FILED BY 

August 30, 2010

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

Futures Commission Merchant Date Net Capital Requirement Net Capital Se

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

1 ABN AMRO CLEARING CHICAGO LLC Y CBOT 07/31/2010 218,086,765 63,662,409 154,424,356 

2 ADM INVESTOR SERVICES INC N CBOT 07/31/2010 184,054,773 101,526,598 82,528,175 

3 ADVANCED MARKETS LLC N NFA 07/31/2010 20,824,079 20,000,000 824,079 4 ADVANTAGE FUTURES LLC N CME 07/30/2010 21,284,438 11,625,921 9,658,517 

5 ADVANTAGE SECURITIES LLC Y NFA 07/30/2010 2,488,167 1,000,000 1,488,167 

6 ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC* Y NFA 06/30/2010 53,644,953 9,189,114 44,455,839 7 ALPARI (US) LLC N NFA 07/31/2010 21,883,014 20,000,000 1,883,014 8 AMERIPRISE FINANCIAL SERVICES INC Y NFA 07/31/2010 144,833,753 1,000,000 143,833,753 9 AMP GLOBAL CLEARING LLC N NFA 07/31/2010 1,135,988 1,000,000 135,988 

10 BARCLAYS CAPITAL INC Y NYME 07/31/2010 6,986,053,458 702,839,914 6,283,213,544 

11 BGC FINANCIAL LP Y NFA 07/31/2010 21,412,526 1,000,000 20,412,526 12 BNP PARIBAS COMMODITY FUTURES INC N NYME 07/31/2010 362,437,754 174,473,043 187,964,711 

13 BNP PARIBAS SECURITIES CORP Y CBOT 07/30/2010 1,675,379,280 68,467,560 1,606,911,720 14 BNY MELLON CLEARING LLC N CME 07/30/2010 29,263,707 4,088,293 25,175,414 

15 CANTOR FITZGERALD & CO Y CBOT 07/31/2010 116,590,278 2,225,607 114,364,671 

16 CAPITAL MARKET SERVICES LLC N NFA 07/31/2010 28,054,497 20,328,413 7,726,084 

17 CIBC WORLD MARKETS CORP Y CME 07/30/2010 664,601,739 1,500,000 663,101,739 

18 CITADEL SECURITIES LLC Y CME 07/30/2010 276,850,980 12,799,932 264,051,048 

19 CITIGROUP GLOBAL MARKETS INC Y CBOT 07/30/2010 8,719,500,730 668,098,334 8,051,402,396 

20 COMMONWEALTH FOREIGN EXCHANGE INC N NFA 07/31/2010 1,541,497 1,000,000 541,497 21 COMPASS PROFESSIONAL SERVICES LLC Y NFA 07/31/2010 3,113,679 1,000,000 2,113,679 

22 COUNTRY HEDGING INC N NFA 07/31/2010 16,102,655 9,743,900 6,358,755 

23 CREDIT SUISSE SECURITIES (USA) LLC Y CBOT 07/30/2010 10,544,864,379 837,596,663 9,707,267,716 

24 CROSSLAND LLC N CBOT 07/31/2010 7,581,957 4,994,155 2,587,802 

25 CUNNINGHAM COMMODITIES LLC N CBOT 07/31/2010 3,513,377 1,022,868 2,490,509 

26 CX CAPITAL MARKETS LLC N NFA 07/31/2010 2,432,317 1,000,000 1,432,317 

27 DAIWA CAPITAL MARKETS AMERICA INC Y CME 07/31/2010 212,144,891 1,000,000 211,144,891 

28 DEUTSCHE BANK SECURITIES INC Y CBOT 07/30/2010 7,886,207,769 609,003,402 7,277,204,367 

29 DORMAN TRADING LLC N CME 07/31/2010 6,613,540 1,000,000 5,613,540 

30 EAGLE MARKET MAKERS INC N CBOT 07/31/2010 6,052,699 1,000,000 5,052,699 

31 EASY FOREX US LTD N NFA 07/31/2010 20,027,843 20,000,000 27,843 

32 ELECTRONIC BROKERAGE SYSTEMS LLC Y NFA 07/31/2010 8,772,912 1,000,000 7,772,912 

33 ENSKILDA FUTURES LTD N CME 07/31/2010 27,842,507 15,103,644 12,738,863 

34 FARR FINANCIAL INC N NFA 07/31/2010 1,841,207 1,000,000 841,207 35 FCSTONE LLC N CME 07/31/2010 70,015,487 39,957,840 30,057,647 36 FOREX CAPITAL MARKETS LLC N NFA 07/31/2010 68,009,995 23,986,577 44,023,418 

37 FOREX CLUB FINANCIAL COMPANY INC N NFA 07/31/2010 20,194,105 20,000,000 194,105 38 FRIEDBERG MERCANTILE GROUP INC N NFA 07/31/2010 3,378,166 1,000,000 2,378,166 

39 FRONTIER FUTURES INC N NFA 07/31/2010 1,700,405 1,000,000 700,405 40 FUTURES TECH LLC N NFA 07/31/2010 1,567,123 1,000,000 567,123 41 FX SOLUTIONS LLC N NFA 07/31/2010 35,801,419 20,343,180 15,458,239 
SELECTED FCM FINANCIAL DATA AS OF 

July 31, 2010

FROM REPORTS FILED BY 

August 30, 2010

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

Futures Commission Merchant Date Net Capital Requirement Net Capital Se

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

42 FXDIRECTDEALER LLC N NFA 07/31/2010 34,380,380 21,779,339 12,601,041 43 GAIN CAPITAL GROUP LLC N NFA 07/31/2010 82,265,413 26,024,701 56,240,712 44 GENESIS FUTURES LLC N NFA 07/31/2010 1,519,322 1,000,000 519,322 45 GILDER GAGNON HOWE & CO LLC Y NFA 07/31/2010 18,962,334 1,000,000 17,962,334 46 GLOBAL FUTURES & FOREX LTD N NFA 07/31/2010 90,989,807 26,170,997 64,818,810 

47 GOLDMAN SACHS & CO Y CBOT 07/31/2010 10,965,428,151 1,928,727,768 9,036,700,383 

48 GOLDMAN SACHS EXECUTION & CLEARING LP Y CME 07/30/2010 1,916,681,445 93,904,400 1,822,777,045 49 HSBC SECURITIES USA INC Y CME 07/30/2010 1,186,785,534 95,206,588 1,091,578,946 50 ICAP FUTURES LLC N NFA 07/31/2010 9,728,489 1,000,000 8,728,489 51 IG MARKETS INC N NFA 07/31/2010 30,386,470 20,000,000 10,386,470 52 IKON GLOBAL MARKETS INC N NFA 07/31/2010 22,509,280 20,526,556 1,982,724 53 INSTINET LLC Y NFA 07/30/2010 116,327,892 1,207,322 115,120,570 54 INTEGRATED BROKERAGE SERVICES LLC N NFA 07/31/2010 1,875,954 1,000,000 875,954 55 INTERACTIVE BROKERS LLC Y NFA 07/31/2010 1,044,275,343 113,001,141 931,274,202 

56 INTERBANK FX LLC N NFA 07/31/2010 29,575,524 21,473,614 8,101,910 57 ITG DERIVATIVES LLC Y NFA 07/31/2010 4,527,694 1,000,000 3,527,694 

58 JP MORGAN CLEARING CORP Y CME 07/31/2010 5,515,478,514 1,578,611,400 3,936,867,114 

59 JP MORGAN FUTURES INC N NYME 07/31/2010 2,041,859,723 1,170,663,192 871,196,531 60 JP MORGAN SECURITIES INC Y NFA 07/31/2010 8,206,344,923 544,470,948 7,661,873,975 61 LEK SECURITIES CORPORATION Y NFA 07/31/2010 11,010,686 1,500,000 9,510,686 

62 LIMESTONE TRADING LLC N NFA 07/31/2010 5,997,512 1,000,000 4,997,512 63 LINN GROUP THE N NFA 07/31/2010 2,007,438 1,000,000 1,007,438 

64 LPL FINANCIAL CORPORATION Y NFA 07/31/2010 113,673,918 5,437,214 108,236,704 

65 MACQUARIE FUTURES USA INC N CBOT 07/31/2010 82,205,640 44,266,942 37,938,698 

66 MAREX USA LIMITED N NFA 07/31/2010 3,517,689 1,000,000 2,517,689 

67 MB TRADING FUTURES INC N NFA 07/31/2010 24,412,412 20,000,000 4,412,412 68 MBF CLEARING CORP N NYME 07/31/2010 11,283,042 1,102,398 10,180,644 

69 MCVEAN TRADING & INVESTMENTS LLC N NFA 07/30/2010 11,142,640 2,440,958 8,701,682 

70 MERRILL LYNCH PIERCE FENNER & SMITH Y CBOT 07/31/2010 5,682,563,390 669,817,011 5,012,746,379 

71 MERRILL LYNCH PROFESSIONAL CLEARING CORP Y NFA 07/31/2010 2,228,864,220 170,597,681 2,058,266,539 

72 MF GLOBAL INC Y CME 07/31/2010 521,362,870 353,967,127 167,395,743 

73 MG FINANCIAL LLC N NFA 07/31/2010 3,929,996 1,000,000 2,929,996 

74 MID CO COMMODITIES INC N NFA 07/31/2010 5,254,859 3,679,683 1,575,176 

75 MITSUBISHI UFJ SECURITIES USA INC Y NFA 07/31/2010 89,292,365 2,291,937 87,000,428 

76 MITSUI BUSSAN COMMODITIES USA INC N NYME 07/31/2010 9,088,330 4,893,114 4,195,216 

77 MIZUHO SECURITIES USA INC Y CME 07/30/2010 418,291,574 58,183,424 360,108,150 

78 MORGAN KEEGAN & COMPANY INC Y NFA 07/31/2010 416,605,287 11,438,114 405,167,173 

79 MORGAN STANLEY & CO INCORPORATED Y CME 07/31/2010 7,922,812,739 982,294,446 6,940,518,293 

80 MORGAN STANLEY SMITH BARNEY LLC Y NFA 07/31/2010 1,273,258,594 40,396,612 1,232,861,982 

81 NATIXIS SECURITIES NORTH AMERICA INC Y NFA 07/30/2010 155,724,081 1,000,000 154,724,081 

82 NEUBERGER BERMAN LLC Y NFA 07/31/2010 55,878,662 1,500,000 54,378,662 

83 NEWEDGE USA LLC Y NYME 07/31/2010 2,414,636,975 1,285,946,910 1,128,690,065 
SELECTED FCM FINANCIAL DATA AS OF 

July 31, 2010

FROM REPORTS FILED BY 

August 30, 2010

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

Futures Commission Merchant Date Net Capital Requirement Net Capital Se

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

84 NOMURA SECURITIES INTERNATIONAL INC Y CBOT 07/30/2010 1,280,790,041 16,357,273 1,264,432,768 

85 OANDA CORPORATION N NFA 07/31/2010 167,398,588 29,420,196 137,978,392 86 OPEN E CRY LLC N NFA 07/31/2010 3,603,178 1,000,000 2,603,178 

87 OPPENHEIMER & CO INC Y NFA 07/30/2010 163,227,780 23,119,820 140,107,960 

88 OPTIONSXPRESS INC Y NFA 07/31/2010 105,963,531 12,082,751 93,880,780 

89 PENSON GHCO N CBOT 07/31/2010 25,621,449 16,288,583 9,332,866 90 PEREGRINE FINANCIAL GROUP INC N NFA 07/31/2010 34,902,413 20,000,000 14,902,413 

91 PIONEER FUTURES INC N NYME 07/31/2010 2,036,187 1,000,000 1,036,187 92 PRUDENTIAL BACHE COMMODITIES LLC N CBOT 07/31/2010 216,603,000 159,766,400 56,836,600 

93 RAND FINANCIAL SERVICES INC N CME 07/31/2010 70,341,777 13,876,001 56,465,776 

94 RAYMOND JAMES & ASSOCIATES INC Y NFA 07/30/2010 353,273,980 27,448,559 325,825,421 

95 RBC CAPITAL MARKETS CORPORATION Y CME 07/30/2010 997,431,715 75,178,605 922,253,110 

96 RBS SECURITIES INC Y CBOT 07/31/2010 1,850,308,000 181,891,000 1,668,417,000 

97 RJ OBRIEN ASSOCIATES LLC N CME 07/31/2010 120,796,626 70,322,591 50,474,035 98 ROSENTHAL COLLINS GROUP LLC N CME 07/31/2010 61,325,834 35,597,524 25,728,310 99 ROSENTHAL GLOBAL SECURITIES LLC Y NFA 07/31/2010 35,410,776 1,000,000 34,410,776 

100 SANFORD C BERNSTEIN & CO LLC Y NFA 07/30/2010 174,194,648 13,139,160 161,055,488 101 SANTANDER INVESTMENT SECURITIES INC Y NFA 07/30/2010 100,692,505 1,000,000 99,692,505 102 SHAY GRAIN CLEARING COMPANY N KCBT 07/31/2010 2,514,422 1,000,000 1,514,422 

103 SMW TRADING COMPANY INC N CME 07/31/2010 24,285,728 1,000,000 23,285,728 104 STATE STREET GLOBAL MARKETS LLC Y CME 07/31/2010 364,864,034 1,000,000 363,864,034 

105 STEPHENS Y NFA 07/31/2010 73,291,278 12,900,909 60,390,369 106 STERLING COMMODITIES CORP N NYME 07/31/2010 8,039,412 1,584,076 6,455,336 107 TCA FUTURES LLC N NFA 07/31/2010 1,622,363 1,000,000 622,363 108 TD AMERITRADE INC Y NFA 07/31/2010 244,770,619 1,000,000 243,770,619 109 TENCO INC N CBOT 07/31/2010 48,136,585 6,219,777 41,916,808 

110 TERRA NOVA FINANCIAL LLC Y NFA 07/30/2010 9,712,257 1,500,000 8,212,257 111 TIMBER HILL LLC Y CME 07/31/2010 1,013,777,828 36,709,710 977,068,118 112 TOWER RESEARCH CAPITAL EUROPE LLC N NFA 07/31/2010 5,509,474 1,000,000 4,509,474 113 TRADELINK LLC Y CBOT 07/31/2010 28,445,834 1,000,000 27,445,834 114 TRADESTATION SECURITIES INC Y NFA 07/31/2010 81,021,031 2,527,101 78,493,930 

115 TRADITION SECURITIES AND FUTURES INC N NFA 07/30/2010 1,572,706 1,000,000 572,706 

116 TRILAND USA INC N NYME 07/31/2010 25,115,139 20,084,431 5,030,708 

117 UBS FINANCIAL SERVICES INC Y NFA 07/30/2010 1,185,456,579 91,309,785 1,094,146,794 

118 UBS SECURITIES LLC Y CBOT 07/31/2010 11,160,410,707 918,372,501 10,242,038,206 119 VELOCITY FUTURES LLC N NFA 07/31/2010 1,581,548 1,000,000 581,548 120 VISION FINANCIAL MARKETS LLC Y CME 07/30/2010 24,375,529 9,424,160 14,951,369 121 WELLS FARGO ADVISORS FINANCIAL NETWORK LLC Y NFA 07/31/2010 24,701,911 4,416,449 20,285,462 122 WELLS FARGO ADVISORS LLC Y NFA 07/30/2010 480,551,403 1,500,000 479,051,403 123 WELLS FARGO SECURITIES LLC Y CME 07/31/2010 970,687,346 7,506,157 963,181,189 

124 WHITE COMMERCIAL CORPORATION N NFA 07/31/2010 2,517,749 1,000,000 1,517,749 

125 WSD FINANCIAL USA INC N NFA 07/31/2010 1,194,172 1,000,000 194,172 
SELECTED FCM FINANCIAL DATA AS OF 

July 31, 2010

FROM REPORTS FILED BY 

August 30, 2010

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

Futures Commission Merchant Date Net Capital Requirement Net Capital Se

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

126 YORK BUSINESS ASSOCIATES LLC N NFA 07/31/2010 2,260,267 1,000,000 1,260,267 

Totals 1
SELECTED FCM FINANCIAL DATA AS OF 

July 31, 2010

FROM REPORTS FILED BY 

August 30, 2010

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

Futures Commission Merchant Date Net Capital Requirement Net Capital Se

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

June Web Page Update 127Additions 0Deletions 1HG CLEARING SERVICES LLCName ChangeFROM FORTIS CLEARING AMERICAS LLC to ABN AMRO CLEARING CHICAGO LLCJuly Web Page Update 126*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.
SELECTED FCM FINANCIAL DATA AS OF 

July 31, 2010

FROM REPORTS FILED BY 

August 30, 2010

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

Futures Commission Merchant Date Net Capital Requirement Net Capital Se

(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.