SELECTED FCM FINANCIAL DATA AS OF 

December 31, 2010

FROM REPORTS FILED BY 

February 10, 2011

Reg As DSRO A/O Adjusted Net Capital Excess Customer

Date Net Capital Requirement Net Capital Seg Requir

4d(a)(2) 

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

1 ABN AMRO CLEARING CHICAGO LLC FCM BD CBOT 12/31/2010 223,334,513 95,664,932 127,669,581 1,494,682 ADM INVESTOR SERVICES INC FCM CBOT 12/31/2010 292,004,689 164,552,915 127,451,774 2,498,243 ADVANCED MARKETS LLC RFED NFA 12/31/2010 20,219,163 20,000,000 219,163 4 ADVANTAGE FUTURES LLC FCM CME 12/31/2010 21,341,943 11,438,349 9,903,594 362,515 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 12/31/2010 21,821,249 20,000,000 1,821,249 7 AMERIPRISE FINANCIAL SERVICES INC FCM BD NFA 12/31/2010 119,013,207 1,000,000 118,013,207 8 AMP GLOBAL CLEARING LLC FCM NFA 12/31/2010 1,380,472 1,000,000 380,472 22,449 BARCLAYS CAPITAL INC FCM BD NYME 12/31/2010 6,072,239,569 689,934,711 5,382,304,858 4,983,08

10 BGC FINANCIAL LP FCM BD NFA 12/31/2010 45,496,814 1,000,000 44,496,814 11 BNP PARIBAS COMMODITY FUTURES INC FCM NYME 12/31/2010 376,556,237 210,752,076 165,804,161 1,282,00

12 BNP PARIBAS SECURITIES CORP FCM BD CBOT 12/31/2010 1,743,573,534 71,087,486 1,672,486,048 439,88

13 BNY MELLON CLEARING LLC FCM CME 12/31/2010 77,850,302 4,820,037 73,030,265 6714 CANTOR FITZGERALD & CO FCM BD CBOT 12/31/2010 164,750,275 12,449,134 152,301,141 10,8315 CAPITAL MARKET SERVICES LLC RFED NFA 12/31/2010 3,048,589 1,000,000 2,048,589 16 CIBC WORLD MARKETS CORP FCM BD CME 12/31/2010 491,108,043 1,500,000 489,608,043 17 CITADEL SECURITIES LLC FCM BD CME 12/31/2010 414,093,015 1,000,000 413,093,015 18 CITIGROUP GLOBAL MARKETS INC FCM BD CBOT 12/31/2010 8,902,804,356 684,878,661 8,217,925,695 10,307,9919 COMMONWEALTH FOREIGN EXCHANGE INC FCM NFA 12/31/2010 1,565,758 1,000,000 565,758 20 COMPASS PROFESSIONAL SERVICES LLC FCM BD NFA 12/31/2010 3,328,963 1,000,000 2,328,963 

21 COUNTRY HEDGING INC FCM NFA 12/31/2010 26,867,889 19,616,150 7,251,739 169,6722 CREDIT SUISSE SECURITIES (USA) LLC FCM BD CBOT 12/31/2010 8,105,024,274 914,725,872 7,190,298,402 5,155,65

23 CROSSLAND LLC FCM CBOT 12/31/2010 10,705,254 5,735,480 4,969,774 73,3624 CUNNINGHAM COMMODITIES LLC FCM CBOT 12/31/2010 3,166,630 1,000,000 2,166,630 46,9825 CX CAPITAL MARKETS LLC FCM NFA 12/31/2010 2,324,913 1,000,000 1,324,913 23,5526 DAIWA CAPITAL MARKETS AMERICA INC FCM BD CME 12/31/2010 337,602,216 1,158,861 336,443,355 8,2327 DEUTSCHE BANK SECURITIES INC FCM BD CBOT 12/31/2010 6,131,422,510 571,734,615 5,559,687,895 13,677,7628 DORMAN TRADING LLC FCM CME 12/31/2010 7,649,889 1,000,000 6,649,889 106,5329 EAGLE MARKET MAKERS INC FCM CBOT 12/31/2010 6,392,485 1,000,000 5,392,485 5,77

30 EASY FOREX US LTD FCM NFA 12/31/2010 2,029,017 1,000,000 1,029,017 

31 ELECTRONIC BROKERAGE SYSTEMS LLC FCM BD NFA 12/31/2010 7,853,150 1,000,000 6,853,150 

32 ENSKILDA FUTURES LTD FCM CME 12/31/2010 28,885,080 18,436,093 10,448,987 302,6933 FARR FINANCIAL INC FCM NFA 12/31/2010 1,814,592 1,000,000 814,592 42,9934 FCSTONE LLC FCM CME 12/31/2010 92,452,940 75,460,512 16,992,428 1,025,4135 FOREX CAPITAL MARKETS LLC RFED NFA 12/31/2010 87,549,746 26,500,998 61,048,748 36 FOREX CLUB FINANCIAL COMPANY INC RFED NFA 12/31/2010 20,631,753 20,000,000 631,753 37 FRIEDBERG MERCANTILE GROUP INC FCM NFA 12/31/2010 3,411,418 1,000,000 2,411,418 9,0738 FRONTIER FUTURES INC FCM NFA 12/31/2010 1,803,161 1,444,179 358,982 30,7939 FUTURES TECH LLC FCM NFA 12/31/2010 1,598,972 1,000,000 598,972 40 FX SOLUTIONS LLC RFED NFA 12/31/2010 38,692,609 20,616,699 18,075,910 41 FXDIRECTDEALER LLC RFED NFA 12/31/2010 24,292,230 21,526,800 2,765,430 42 GAIN CAPITAL GROUP LLC RFED NFA 12/31/2010 75,975,719 26,408,104 49,567,615 43 GLOBAL FUTURES & FOREX LTD RFED NFA 12/31/2010 70,448,625 24,097,848 46,350,777 43

Futures Commission Merchant / Retail Foreign Exchange 

Dealer
SELECTED FCM FINANCIAL DATA AS OF 

December 31, 2010

FROM REPORTS FILED BY 

February 10, 2011

Reg As DSRO A/O Adjusted Net Capital Excess Customer

Date Net Capital Requirement Net Capital Seg Requir

4d(a)(2) 

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

Futures Commission Merchant / Retail Foreign Exchange 

Dealer

44 GOLDMAN SACHS & CO FCM BD CBOT 12/31/2010 11,144,351,902 1,934,352,725 9,209,999,177 19,901,5745 GOLDMAN SACHS EXECUTION & CLEARING LP FCM BD CME 12/31/2010 1,960,801,715 132,932,757 1,827,868,958 1,167,4546 HSBC SECURITIES USA INC FCM BD CME 12/31/2010 1,086,263,365 101,082,797 985,180,568 848,0347 ICAP FUTURES LLC FCM NFA 12/31/2010 8,280,693 1,000,000 7,280,693 48 IG MARKETS INC FCM NFA 12/31/2010 29,049,601 20,000,000 9,049,601 1149 IKON GLOBAL MARKETS INC FCM NFA 12/31/2010 15,655,916 1,000,000 14,655,916 17,0450 INSTINET LLC FCM BD NFA 12/31/2010 120,846,803 1,000,000 119,846,803 51 INSTITUTIONAL LIQUIDITY LLC FCM NFA 12/31/2010 21,146,263 20,000,000 1,146,263 52 INTEGRATED BROKERAGE SERVICES LLC FCM NFA 12/31/2010 1,778,660 1,000,000 778,660 53 INTERACTIVE BROKERS LLC FCM BD NFA 12/31/2010 1,154,986,340 161,767,638 993,218,702 600,8054 INTERBANK FX LLC RFED NFA 12/31/2010 25,794,840 21,110,769 4,684,071 55 IRONBEAM INC FCM NFA 12/31/2010 1,828,699 1,000,000 828,699 

56 ITG DERIVATIVES LLC FCM BD NFA 12/31/2010 5,690,907 1,000,000 4,690,907 

57 JP MORGAN CLEARING CORP FCM BD CME 12/31/2010 5,720,845,541 1,814,270,694 3,906,574,847 529,5158 JP MORGAN FUTURES INC FCM NYME 12/31/2010 2,346,186,811 1,295,860,102 1,050,326,709 15,975,5759 JP MORGAN SECURITIES LLC FCM BD NFA 12/31/2010 6,857,016,996 545,747,951 6,311,269,045 60 LEK SECURITIES CORPORATION FCM BD NFA 12/31/2010 10,821,069 1,500,000 9,321,069 2561 LIMESTONE TRADING LLC FCM NFA 12/31/2010 9,563,098 1,000,000 8,563,098 62 LINN GROUP THE FCM NFA 12/31/2010 2,444,365 1,108,880 1,335,485 35,3063 LPL FINANCIAL CORPORATION FCM BD NFA 12/31/2010 95,362,174 5,530,100 89,832,074 64 MACQUARIE FUTURES USA INC FCM CBOT 12/31/2010 124,499,519 59,258,146 65,241,373 774,1165 MAREX NORTH AMERICA LLC FCM NFA 12/31/2010 11,776,056 1,000,000 10,776,056 33,9566 MAREX USA LIMITED FCM NFA 12/31/2010 2,748,527 1,000,000 1,748,527 67 MB TRADING FUTURES INC RFED NFA 12/31/2010 22,031,406 21,234,588 796,818 68 MBF CLEARING CORP FCM NYME 12/31/2010 10,384,620 1,236,711 9,147,909 81,5669 MCVEAN TRADING & INVESTMENTS LLC FCM NFA 12/31/2010 9,149,094 4,588,259 4,560,835 739,82

70 MERRILL LYNCH PIERCE FENNER & SMITH FCM BD CBOT 12/31/2010 9,843,107,283 735,931,408 9,107,175,875 8,804,3171 MERRILL LYNCH PROFESSIONAL CLEARING CORP FCM BD NFA 12/31/2010 2,335,172,066 187,563,930 2,147,608,136 645,13

72 MF GLOBAL INC FCM BD CME 12/31/2010 566,914,106 410,800,746 156,113,360 8,333,9773 MID CO COMMODITIES INC FCM NFA 12/31/2010 14,537,713 8,909,553 5,628,160 46,9074 MITSUBISHI UFJ SECURITIES USA INC FCM BD NFA 12/31/2010 109,754,768 1,143,993 108,610,775 75 MITSUI BUSSAN COMMODITIES USA INC FCM NFA 12/31/2010 2,529,663 1,000,000 1,529,663 

76 MIZUHO SECURITIES USA INC FCM BD CME 12/31/2010 444,331,218 67,083,069 377,248,149 762,9577 MORGAN KEEGAN & COMPANY INC FCM BD NFA 12/31/2010 459,596,890 8,955,849 450,641,041 

78 MORGAN STANLEY & CO INCORPORATED FCM BD CME 12/31/2010 7,462,511,520 1,107,649,084 6,354,862,436 4,664,3279 MORGAN STANLEY SMITH BARNEY LLC FCM BD NFA 12/31/2010 1,022,715,233 47,978,013 974,737,220 634,2580 NATIXIS SECURITIES NORTH AMERICA INC FCM BD NFA 12/31/2010 222,507,516 1,000,000 221,507,516 81 NEUBERGER BERMAN LLC FCM BD NFA 12/31/2010 124,128,778 1,500,000 122,628,778 82 NEWEDGE USA LLC FCM BD NYME 12/31/2010 2,232,382,565 1,373,751,236 858,631,329 21,003,3183 NOMURA SECURITIES INTERNATIONAL INC FCM BD CBOT 12/31/2010 2,055,038,405 23,831,402 2,031,207,003 75,8784 OANDA CORPORATION RFED NFA 12/31/2010 168,140,077 27,912,354 140,227,723 85 OPEN E CRY LLC FCM NFA 12/31/2010 2,688,424 1,000,000 1,688,424 84,5886 OPPENHEIMER & CO INC FCM BD NFA 12/31/2010 170,758,265 24,429,796 146,328,469 22,96
SELECTED FCM FINANCIAL DATA AS OF 

December 31, 2010

FROM REPORTS FILED BY 

February 10, 2011

Reg As DSRO A/O Adjusted Net Capital Excess Customer

Date Net Capital Requirement Net Capital Seg Requir

4d(a)(2) 

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

Futures Commission Merchant / Retail Foreign Exchange 

Dealer

87 OPTIONSXPRESS INC FCM BD NFA 12/31/2010 81,791,630 11,237,909 70,553,721 94,69

88 PENSON FUTURES FCM CBOT 12/31/2010 32,094,395 27,928,283 4,166,112 749,0789 PEREGRINE FINANCIAL GROUP INC FCM NFA 12/31/2010 35,873,805 21,506,327 14,367,478 508,0290 PIONEER FUTURES INC FCM NFA 12/31/2010 2,061,117 1,000,000 1,061,117 91 PRUDENTIAL BACHE COMMODITIES LLC FCM CBOT 12/31/2010 229,543,000 197,356,400 32,186,600 2,938,7792 RAND FINANCIAL SERVICES INC FCM CME 12/31/2010 71,461,732 18,575,239 52,886,493 268,5393 RAYMOND JAMES & ASSOCIATES INC FCM BD NFA 12/31/2010 361,814,300 28,949,972 332,864,328 

94 RBC CAPITAL MARKETS LLC FCM BD CME 12/31/2010 1,156,477,701 106,362,199 1,050,115,502 279,5995 RBS SECURITIES INC FCM BD CBOT 12/31/2010 1,441,720,000 181,796,000 1,259,924,000 1,711,6796 RJ OBRIEN ASSOCIATES LLC FCM CME 12/31/2010 142,324,061 111,139,781 31,184,280 2,276,83

97 ROSENTHAL COLLINS GROUP LLC FCM CME 12/31/2010 81,299,258 50,493,302 30,805,956 1,499,4798 ROSENTHAL GLOBAL SECURITIES LLC FCM BD NFA 12/31/2010 33,223,397 1,000,000 32,223,397 99 SANFORD C BERNSTEIN & CO LLC FCM BD NFA 12/31/2010 173,304,109 14,713,565 158,590,544 

100 SANTANDER INVESTMENT SECURITIES INC FCM BD NYME 12/31/2010 94,707,213 9,635,661 85,071,552 389,99

101 STATE STREET GLOBAL MARKETS LLC FCM BD CME 12/31/2010 386,534,827 1,719,498 384,815,329 13,86102 STEPHENS FCM BD NFA 12/31/2010 74,907,552 11,937,900 62,969,652 103 STERLING COMMODITIES CORP FCM NYME 12/31/2010 7,792,076 2,456,585 5,335,491 57,20104 TCA FUTURES LLC FCM NFA 12/31/2010 1,600,970 1,000,000 600,970 105 TD AMERITRADE INC FCM BD NFA 12/31/2010 223,409,972 1,000,000 222,409,972 106 TENCO INC FCM CBOT 12/31/2010 55,275,089 14,192,635 41,082,454 316,39107 TIMBER HILL LLC FCM BD CME 12/31/2010 1,024,003,976 37,798,797 986,205,179 469,34108 TOWER RESEARCH CAPITAL EUROPE LLC FCM NFA 12/31/2010 6,325,493 1,000,000 5,325,493 109 TRADELINK LLC FCM BD CBOT 12/31/2010 32,262,633 1,000,000 31,262,633 110 TRADESTATION SECURITIES INC FCM BD NFA 12/31/2010 68,464,203 2,823,621 65,640,582 407,74111 TRADITION SECURITIES AND FUTURES INC FCM NFA 12/31/2010 1,530,855 1,000,000 530,855 112 TRILAND USA INC FCM NYME 12/31/2010 23,573,381 17,054,493 6,518,888 196,52113 UBS FINANCIAL SERVICES INC FCM BD NFA 12/31/2010 1,364,195,427 92,590,311 1,271,605,116 213,85114 UBS SECURITIES LLC FCM BD CBOT 12/31/2010 11,146,646,865 981,273,080 10,165,373,785 10,303,40115 VELOCITY FUTURES LLC FCM NFA 12/31/2010 1,601,366 1,000,000 601,366 62,92116 VISION FINANCIAL MARKETS LLC FCM BD CME 12/31/2010 22,501,045 6,731,358 15,769,687 362,94117 WALL STREET DERIVATIVES INC FCM NFA 12/31/2010 1,505,924 1,000,000 505,924 

118 WELLS FARGO ADVISORS FINANCIAL NETWORK LLC FCM BD NFA 12/31/2010 33,819,754 3,804,753 30,015,001 119 WELLS FARGO ADVISORS LLC FCM BD NFA 12/31/2010 783,003,989 1,500,000 781,503,989 120 WELLS FARGO SECURITIES LLC FCM BD CME 12/31/2010 931,694,590 21,750,282 909,944,308 121 WHITE COMMERCIAL CORPORATION FCM NFA 12/31/2010 3,018,950 1,000,000 2,018,950 122 YORK BUSINESS ASSOCIATES LLC FCM NFA 12/31/2010 3,030,390 1,000,000 2,030,390 69,58

Totals 151,055,52
SELECTED FCM FINANCIAL DATA AS OF 

December 31, 2010

FROM REPORTS FILED BY 

February 10, 2011

Reg As DSRO A/O Adjusted Net Capital Excess Customer

Date Net Capital Requirement Net Capital Seg Requir

4d(a)(2) 

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

Futures Commission Merchant / Retail Foreign Exchange 

Dealer

November Web Page Update 124Additions 0NoneDeletions 2MG FINANCIAL LLCSMW TRADING CO INCName ChangeWSD FINANCIAL USA INC to WALL STREET DERIVATIVES INCDecember Web Page Update 122(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.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: ccoffi

• 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.

• the amount of capital required by a registered futures association (currently NFA is the only such association); or

*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.(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