SELECTED FCM FINANCIAL DATA AS OF 

October 31, 2008

FROM REPORTS FILED BY 

November 30, 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 10/31/2008 19,221,675 500,000 18,721,675 2 ACM USA LLC N NFA 10/31/2008 11,855,109 10,000,000 1,855,109 3 ADM INVESTOR SERVICES INC N CBOT 10/31/2008 152,377,758 70,059,925 82,317,833 4 ADVANCED MARKETS INC N NFA 10/31/2008 10,163,341 10,000,000 163,341 5 ADVANTAGE FUTURES LLC N CME 10/31/2008 14,359,841 7,255,437 7,104,404 6 AIG CLEARING CORPORATION N NYME 10/31/2008 322,106,859 17,859,807 304,247,052 7 ALARON TRADING CORPORATION N NFA 10/31/2008 3,811,617 1,935,935 1,875,682 

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 10/31/2008 18,212,006 10,000,000 8,212,006 

10 BACERA CORPORATION N NFA 10/31/2008 5,400,805 5,000,000 400,805 11 BANC OF AMERICA SECURITIES LLC Y CME 10/31/2008 2,987,805,106 168,954,915 2,818,850,191 

12 BARCLAYS CAPITAL INC Y NYME 10/31/2008 6,936,290,294 511,669,934 6,424,620,360 

13 BGC SECURITIES Y NFA 10/31/2008 8,503,119 500,000 8,003,119 14 BNP PARIBAS COMMODITY FUTURES INC N NYME 10/31/2008 312,424,853 234,796,027 77,628,826 

15 BNP PARIBAS SECURITIES CORP. Y CBOT 10/31/2008 1,028,347,341 120,626,721 907,720,620 

16 CADENT FINANCIAL SERVICES LLC N CME 10/31/2008 10,133,416 5,374,807 4,758,609 17 CANTOR FITZGERALD & CO Y CBOT 10/31/2008 312,530,803 40,422,537 272,108,266 

18 CAPITAL MARKET SERVICES LLC N NFA 10/31/2008 25,162,577 10,000,000 15,162,577 19 CIBC WORLD MARKETS CORP Y CME 10/31/2008 1,123,207,821 8,922,725 1,114,285,096 20 CITIGROUP GLOBAL MARKETS INC Y CBOT 10/31/2008 5,611,768,401 863,058,939 4,748,709,462 

21 CLIFF LARSON COMPANY THE N NFA 10/31/2008 3,356,123 1,325,112 2,031,011 22 COMMONWEALTH FOREIGN EXCHANGE INC N NFA 10/31/2008 1,334,729 500,000 834,729 23 COMTRUST INC N NFA 10/31/2008 883,033 500,000 383,033 24 COUNTRY HEDGING INC N NFA 10/31/2008 11,575,514 8,943,048 2,632,466 

25 CREDIT SUISSE SECURITIES (USA) LLC Y CBOT 10/31/2008 6,352,316,217 629,746,693 5,722,569,524 

26 CROSSLAND LLC N CBOT 10/31/2008 3,441,447 500,000 2,941,447 27 CUNNINGHAM COMMODITIES LLC N CBOT 10/31/2008 3,276,418 607,745 2,668,673 28 DAIWA SECURITIES AMERICA INC Y CME 10/31/2008 207,920,991 5,829,183 202,091,808 29 DEUTSCHE BANK SECURITIES INC Y CBOT 10/31/2008 3,740,018,476 511,255,016 3,228,763,460 

30 DORMAN TRADING LLC N CME 10/31/2008 8,448,066 514,758 7,933,308 31 DUNAVANT COMMODITY CORP N NFA 10/31/2008 28,084,012 751,418 27,332,594 32 EAGLE MARKET MAKERS INC N CBOT 10/31/2008 6,256,234 500,000 5,756,234 33 EASY FOREX US LTD N NFA 10/31/2008 10,891,737 10,000,000 891,737 34 ED &F MAN COMMODITY ADVISORS INC N NFA 10/31/2008 1,209,312 500,000 709,312 35 ELECTRONIC BROKERAGE SYSTEMS LLC Y NFA 10/31/2008 10,484,063 500,000 9,984,063 36 ENSKILDA FUTURES LTD N CME 10/31/2008 22,312,508 12,444,356 9,868,152 37 FARR FINANCIAL INC N NFA 10/31/2008 1,811,898 500,000 1,311,898 38 FC STONE LLC N CME 10/31/2008 103,361,867 53,681,827 49,680,040 39 FOREX CAPITAL MARKETS LLC N NFA 10/31/2008 122,924,629 10,445,965 112,478,664 40 FOREX CLUB FINANCIAL COMPANY INC N NFA 10/31/2008 16,489,469 10,000,000 6,489,469 41 FORTIS CLEARING AMERICAS LLC Y CBOT 10/31/2008 266,136,815 54,901,640 211,235,175 42 FRIEDBERG MERCANTILE GROUP INC N NFA 10/31/2008 8,029,091 5,000,000 3,029,091 43 FRONTIER FUTURES INC N NFA 10/31/2008 1,492,140 809,607 682,533 44 FUTURES TECH LLC N NFA 10/31/2008 812,792 500,000 312,792 45 FX SOLUTIONS LLC N NFA 10/31/2008 43,570,621 10,000,000 33,570,621 46 GAIN CAPITAL GROUP LLC N NFA 10/31/2008 96,371,115 10,000,000 86,371,115 
SELECTED FCM FINANCIAL DATA AS OF 

October 31, 2008

FROM REPORTS FILED BY 

November 30, 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 GATEWAY CAPITAL L.L.C. N NFA 10/31/2008 755,533 500,000 255,533 48 GELBER GROUP LLC N CBOT 10/31/2008 136,059,400 500,000 135,559,400 49 GENESIS FUTURES LLC N NFA 10/31/2008 1,022,675 500,000 522,675 50 GFS FOREX & FUTURES INC N NFA 10/31/2008 12,503,658 10,000,000 2,503,658 51 GILDER GAGNON HOWE AND CO LLC Y NFA 10/31/2008 17,413,155 500,000 16,913,155 52 GLOBAL FUTURES & FOREX LTD N NFA 10/31/2008 76,980,631 10,000,000 66,980,631 53 GOLDMAN SACHS & CO Y CBOT 10/31/2008 11,132,363,936 2,422,454,117 8,709,909,819 

54 GOLDMAN SACHS EXECUTION & CLEARING LP Y CME 10/31/2008 1,419,122,854 80,267,954 1,338,854,900 

55 H & R BLOCK FINANCIAL ADVISORS INC Y NFA 10/31/2008 65,183,085 5,980,600 59,202,485 56 HOTSPOT FXR LLC N NFA 10/31/2008 10,559,478 10,000,000 559,478 57 HSBC SECURITIES USA INC Y CME 10/31/2008 1,170,103,250 134,476,410 1,035,626,840 

58 I TRADE FX LLC N NFA 10/31/2008 18,411,086 5,000,000 13,411,086 59 ICAP FUTURES LLC N NFA 10/31/2008 5,393,881 500,000 4,893,881 60 IG MARKETS INC. N NFA 10/31/2008 16,586,780 10,000,000 6,586,780 61 IKON GLOBAL MARKETS INC. N NFA 10/31/2008 15,033,593 10,000,000 5,033,593 62 INSTINET LLC Y NFA 10/31/2008 78,830,920 2,936,413 75,894,507 63 INTEGRATED BROKERAGE SERVICES LLC N NFA 10/31/2008 1,610,659 500,000 1,110,659 64 INTERACTIVE BROKERS LLC Y EUXUS 10/31/2008 565,122,522 36,648,629 528,473,893 65 INTERBANK FX LLC N NFA 10/31/2008 40,892,161 10,000,000 30,892,161 66 ITG DERIVATIVES, LLC Y NFA 10/31/2008 2,643,516 602,332 2,041,184 67 JP MORGAN CLEARING CORP Y CME 10/31/2008 4,658,457,910 1,368,376,030 3,290,081,880 68 JP MORGAN FUTURES INC N NYME 10/31/2008 2,083,558,412 1,544,330,198 539,228,214 

69 JP MORGAN SECURITIES INC Y NFA 10/31/2008 9,080,721,527 706,346,484 8,374,375,043 

70 KOTTKE ASSOCIATES LLC N CBOT 10/31/2008 26,724,304 500,000 26,224,304 

71 LADENBURG THALMANN & CO INC Y NFA 10/31/2008 9,280,402 500,000 8,780,402 72 LBS LIMITED PARTNERSHIP N NFA 10/31/2008 753,462 500,000 253,462 73 LEK SECURITIES CORPORATION Y NFA 10/31/2008 12,225,449 1,500,000 10,725,449 74 LIMESTONE TRADING LLC N NFA 10/31/2008 13,865,652 500,000 13,365,652 75 LINN GROUP ( THE ) N NFA 10/31/2008 3,003,289 500,000 2,503,289 76 LOEB PARTNERS CORPORATION Y NFA 10/31/2008 14,822,815 250,000 14,572,815 77 LPL FINANCIAL CORPORATION Y NFA 10/31/2008 99,693,745 6,828,199 92,865,546 78 MACQUARIE FUTURES USA INC N CBOT 10/31/2008 48,953,734 24,543,668 24,410,066 79 MB TRADING FUTURES INC. N NFA 10/31/2008 14,522,448 10,000,000 4,522,448 80 MBF CLEARING CORP N NYME 10/31/2008 29,469,902 1,677,730 27,792,172 

81 MCVEAN TRADING AND INVESTMENTS LLC N NFA 10/31/2008 11,014,959 1,830,988 9,183,971 82 MERRILL LYNCH PIERCE FENNER & SMITH Y CBOT 10/31/2008 4,468,234,330 836,525,128 3,631,709,202 83 MERRILL LYNCH PROFESSIONAL CLEARING CORP Y NFA 10/31/2008 1,422,106,393 93,032,655 1,329,073,738 

84 MF GLOBAL INC. Y CME 10/31/2008 607,854,968 380,279,485 227,575,483 

85 MG FINANCIAL LLC N NFA 10/31/2008 5,599,483 500,000 5,099,483 86 MID-CO COMMODITIES INC N NFA 10/31/2008 13,727,205 3,749,210 9,977,995 87 MITSUI BUSSAN COMMODITIES USA INC N NYME 10/31/2008 7,592,584 1,587,091 6,005,493 88 MIZUHO SECURITIES USA INC Y CME 10/31/2008 260,906,921 76,766,639 184,140,282 

89 MORGAN KEEGAN & COMPANY INC Y NFA 10/31/2008 357,504,864 10,874,324 346,630,540 90 MORGAN STANLEY & CO INCORPORATED Y CME 10/31/2008 6,464,583,459 1,094,383,686 5,370,199,773 91 NATIXIS SECURITIES NORTH AMERICA INC Y NFA 10/31/2008 200,993,914 500,000 200,493,914 92 NEUBERGER BERMAN LLC Y NFA 10/31/2008 105,603,328 5,000,000 100,603,328 93 NEWEDGE USA LLC. Y NYME 10/31/2008 2,307,408,835 1,627,192,456 680,216,379 
SELECTED FCM FINANCIAL DATA AS OF 

October 31, 2008

FROM REPORTS FILED BY 

November 30, 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 NOMURA SECURITIES INTERNATIONAL INC Y CBOT 10/31/2008 749,219,444 1,000,000 748,219,444 95 OANDA CORPORATION N NFA 10/31/2008 170,982,019 10,000,000 160,982,019 96 ODL SECURITIES INC N NFA 10/31/2008 19,991,817 10,000,000 9,991,817 

97 OPEN E CRY LLC N NFA 10/31/2008 2,081,457 535,476 1,545,981 

98 OPPENHEIMER & CO INC Y NFA 10/31/2008 192,893,881 17,914,990 174,978,891 99 OPTIONSXPRESS INC Y NFA 10/31/2008 84,143,996 6,183,150 77,960,846 

100 PENSON GHCO N CBOT 10/31/2008 21,240,630 11,238,570 10,002,060 101 PEREGRINE FINANCIAL GROUP INC N NFA 10/31/2008 21,809,360 10,000,000 11,809,360 102 PIONEER FUTURES INC N NYME 10/31/2008 1,325,122 500,000 825,122 103 PRUDENTIAL BACHE COMMODITIES LLC N CBOT 10/31/2008 273,719,000 228,339,680 45,379,320 104 PUMA FINANCIAL LLC N NFA 10/31/2008 1,515,544 500,000 1,015,544 105 RAND FINANCIAL SERVICES INC N CME 10/31/2008 65,032,078 10,264,112 54,767,966 106 RAYMOND JAMES & ASSOCIATES INC Y NFA 10/31/2008 268,020,297 25,852,052 242,168,245 107 RBC CAPITAL MARKETS CORPORATION Y CME 10/31/2008 759,398,950 138,763,742 620,635,208 

108 RBS GREENWICH CAPITAL INC Y CBOT 10/31/2008 1,648,588,000 239,658,760 1,408,929,240 

109 RJ OBRIEN & ASSOCIATES LLC N CME 10/31/2008 84,496,352 59,717,790 24,778,562 110 ROBBINS FUTURES INC N NFA 10/31/2008 581,895 500,000 81,895 111 ROSENTHAL COLLINS GROUP LLC N CME 10/31/2008 101,861,197 34,389,060 67,472,137 112 ROSENTHAL GLOBAL SECURITIES LLC Y NFA 10/31/2008 46,816,531 1,648,329 45,168,202 113 SANFORD C BERNSTEIN & CO LLC Y NFA 10/31/2008 173,881,251 8,686,274 165,194,977 114 SANTANDER INVESTMENT SECURITIES INC. Y NFA 10/31/2008 92,286,330 500,000 91,786,330 115 SHAY GRAIN CLEARING COMPANY N KCBT 10/31/2008 2,798,758 871,051 1,927,707 

116 SMW TRADING COMPANY INC N CME 10/31/2008 29,388,301 500,000 28,888,301 117 STEPHENS INC Y NFA 10/31/2008 78,469,606 10,503,004 67,966,602 118 STERLING COMMODITIES CORP N NYME 10/31/2008 9,420,870 1,147,633 8,273,237 119 TCA FUTURES LLC N NFA 10/31/2008 838,501 500,000 338,501 120 TD AMERITRADE INC. Y NFA 10/31/2008 66,149,869 250,000 65,899,869 121 TENCO INC N CBOT 10/31/2008 42,140,629 5,801,252 36,339,377 122 TERRA NOVA FINANCIAL, LLC Y NFA 10/31/2008 9,404,051 1,500,000 7,904,051 123 TIMBER HILL LLC Y CME 10/31/2008 828,488,237 10,568,070 817,920,167 124 TOWER RESEARCH CAPITAL EUROPE LLC N NFA 10/31/2008 2,234,805 500,000 1,734,805 125 TRADELINK LLC Y CBOT 10/31/2008 48,852,295 500,000 48,352,295 126 TRADESTATION SECURITIES INC Y NFA 10/31/2008 93,005,224 1,285,161 91,720,063 127 TRADITION SECURITIES AND FUTURES INC N NFA 10/31/2008 841,254 500,000 341,254 128 TRANSMARKET GROUP LLC Y CBOT 10/31/2008 18,731,371 500,000 18,231,371 129 TRILAND USA INC N NYME 10/31/2008 48,013,952 12,174,192 35,839,760 130 UBS FINANCIAL SERVICES INC Y NFA 10/31/2008 1,085,668,098 103,927,072 981,741,026 131 UBS SECURITIES LLC Y CBOT 10/31/2008 14,378,560,994 1,185,999,394 13,192,561,600 132 VELOCITY FUTURES LP N CME 10/31/2008 1,121,485 500,000 621,485 

133 VISION FINANCIAL MARKETS LLC Y NFA 10/31/2008 25,837,497 4,455,347 21,382,150 134 WACHOVIA CAPITAL MARKETS LLC Y CME 10/31/2008 1,480,895,127 1,221,260 1,479,673,867 135 WACHOVIA SECURITIES FINANCIAL NETWORK, LLC Y NFA 10/31/2008 33,989,622 2,989,081 31,000,541 136 WACHOVIA SECURITIES LLC Y NFA 10/31/2008 748,159,354 24,685,596 723,473,758 137 WHITE COMMERCIAL CORPORATION N NFA 10/31/2008 2,639,734 500,000 2,139,734 138 WSD FINANCIAL USA, INC N NFA 10/31/2008 1,297,590 500,000 797,590 139 YORK BUSINESS ASSOCIATES LLC N NFA 10/31/2008 1,166,065 500,000 666,065 
SELECTED FCM FINANCIAL DATA AS OF 

October 31, 2008

FROM REPORTS FILED BY 

November 30, 2008

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

Futures Commission Merchant Date Net Capital Requirement Net Capital S

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

TOTAL September Web Page Update 142Additions 0NoneDeletions 3CMC Markets USA LLCSNC Investments Inc.Trademaven Clearing Inc.Name Change 2From Bear Stearns & Co., Inc to JP Morgan Securities Inc.From Bear Stearns Securities Corp. to JP Morgan Clearing Corp.October Web Page Update 139*Allianz Global Investors Distributors LLC files financial statements quarterly.

(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.(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.
SELECTED FCM FINANCIAL DATA AS OF 

October 31, 2008

FROM REPORTS FILED BY 

November 30, 2008

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

Futures Commission Merchant Date Net Capital Requirement Net Capital S

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

(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 or fzimmerle@cftc.gov.