SELECTED FCM FINANCIAL DATA AS OF 

March 31, 2010

FROM REPORTS FILED BY 

April 30, 2010

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

Futures Commission Merchant Date Net Capital Requirement Net Capital 

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

1 ACM USA LLC N NFA 03/31/2010 1,101,044 1,000,000 101,044 2 ADM INVESTOR SERVICES INC N CBOT 03/31/2010 183,938,362 99,852,310 84,086,052 

3 ADVANCED MARKETS LLC N NFA 03/31/2010 20,279,924 20,000,000 279,924 4 ADVANTAGE FUTURES LLC N CME 03/31/2010 17,513,152 7,758,747 9,754,405 

5 ADVANTAGE SECURITIES LLC Y NFA 03/31/2010 4,533,596 1,000,000 3,533,596 

6 AIG CLEARING CORPORATION N NYME 03/31/2010 224,945,740 1,000,000 223,945,740 7 ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC Y NFA 03/31/2010 31,950,881 8,179,981 23,770,900 8 ALPARI (US) LLC N NFA 03/31/2010 21,176,747 20,000,000 1,176,747 9 AMERIPRISE FINANCIAL SERVICES INC Y NFA 03/31/2010 133,026,978 1,000,000 132,026,978 

10 BANC OF AMERICA SECURITIES LLC Y CME 03/31/2010 3,486,759,118 158,888,381 3,327,870,737 

11 BARCLAYS CAPITAL INC Y NYME 03/31/2010 5,162,888,409 700,368,710 4,462,519,699 12 BGC FINANCIAL LP Y NFA 03/31/2010 33,304,719 1,000,000 32,304,719 13 BNP PARIBAS COMMODITY FUTURES INC N NYME 03/31/2010 365,695,200 199,902,403 165,792,797 14 BNP PARIBAS SECURITIES CORP Y CBOT 03/31/2010 1,844,446,646 78,194,209 1,766,252,437 

15 BNY MELLON CLEARING LLC N NFA 03/31/2010 2,733,574 1,000,000 1,733,574 

16 CANTOR FITZGERALD & CO Y CBOT 03/31/2010 183,503,671 9,485,714 174,017,957 17 CAPITAL MARKET SERVICES LLC N NFA 03/31/2010 26,302,399 21,029,895 5,272,504 

18 CIBC WORLD MARKETS CORP Y CME 03/31/2010 1,388,391,754 1,500,000 1,386,891,754 

19 CITADEL SECURITIES LLC Y CME 03/31/2010 302,268,587 13,471,925 288,796,662 

20 CITIGROUP GLOBAL MARKETS INC Y CBOT 03/31/2010 8,366,053,466 666,668,275 7,699,385,191 21 COMMONWEALTH FOREIGN EXCHANGE INC N NFA 03/31/2010 1,177,296 1,000,000 177,296 

22 COMPASS PROFESSIONAL SERVICES LLC Y NFA 03/31/2010 3,440,139 1,000,000 2,440,139 23 COUNTRY HEDGING INC N NFA 03/31/2010 13,629,340 7,642,033 5,987,307 

24 CREDIT SUISSE SECURITIES (USA) LLC Y CBOT 03/31/2010 10,683,672,903 833,428,081 9,850,244,822 25 CROSSLAND LLC N CBOT 03/31/2010 8,656,450 4,996,536 3,659,914 

26 CUNNINGHAM COMMODITIES LLC N CBOT 03/31/2010 3,808,455 1,465,174 2,343,281 

27 CX CAPITAL MARKETS LLC N NFA 03/31/2010 1,590,062 1,000,000 590,062 28 DAIWA SECURITIES AMERICA INC Y CME 03/31/2010 267,017,459 1,207,164 265,810,295 29 DEUTSCHE BANK SECURITIES INC Y CBOT 03/31/2010 7,168,127,879 519,728,202 6,648,399,677 

30 DORMAN TRADING LLC N CME 03/31/2010 7,783,383 1,000,000 6,783,383 

31 EAGLE MARKET MAKERS INC N CBOT 03/31/2010 5,879,961 1,000,000 4,879,961 32 EASY FOREX US LTD N NFA 03/31/2010 20,339,749 20,000,000 339,749 33 ELECTRONIC BROKERAGE SYSTEMS LLC Y NFA 03/31/2010 8,265,510 1,000,000 7,265,510 34 ENSKILDA FUTURES LTD N CME 03/31/2010 24,954,339 17,197,833 7,756,506 35 FARR FINANCIAL INC N NFA 03/31/2010 1,882,141 1,000,000 882,141 36 FCSTONE LLC N CME 03/31/2010 76,371,345 39,360,646 37,010,699 37 FOREX CAPITAL MARKETS LLC N NFA 03/31/2010 74,753,229 24,835,899 49,917,330 

38 FOREX CLUB FINANCIAL COMPANY INC N NFA 03/31/2010 20,454,085 20,000,000 454,085 39 FORTIS CLEARING AMERICAS LLC Y CBOT 03/31/2010 212,529,793 56,653,573 155,876,220 

40 FRIEDBERG MERCANTILE GROUP INC N NFA 03/31/2010 3,366,999 1,000,000 2,366,999 41 FRONTIER FUTURES INC N NFA 03/31/2010 1,305,545 1,000,000 305,545 
SELECTED FCM FINANCIAL DATA AS OF 

March 31, 2010

FROM REPORTS FILED BY 

April 30, 2010

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

Futures Commission Merchant Date Net Capital Requirement Net Capital 

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

42 FUTURES TECH LLC N NFA 03/31/2010 1,613,559 1,000,000 613,559 43 FX SOLUTIONS LLC N NFA 03/31/2010 36,093,560 20,459,424 15,634,136 44 FXDIRECTDEALER LLC N NFA 03/31/2010 37,401,219 21,838,166 15,563,053 45 GAIN CAPITAL GROUP LLC N NFA 03/31/2010 64,214,924 26,141,538 38,073,386 46 GENESIS FUTURES LLC N NFA 03/31/2010 1,496,007 1,000,000 496,007 47 GILDER GAGNON HOWE & CO LLC Y NFA 03/31/2010 15,102,097 1,000,000 14,102,097 48 GLOBAL FUTURES & FOREX LTD N NFA 03/31/2010 73,656,111 25,670,019 47,986,092 

49 GOLDMAN SACHS & CO Y CBOT 03/31/2010 11,599,880,600 2,012,187,254 9,587,693,346 

50 GOLDMAN SACHS EXECUTION & CLEARING LP Y CME 03/31/2010 1,924,466,316 123,544,950 1,800,921,366 51 HG CLEARING SERVICES LLC N NFA 03/31/2010 1,002,762 1,000,000 2,762 52 HSBC SECURITIES USA INC Y CME 03/31/2010 1,032,888,754 90,101,218 942,787,536 

53 ICAP FUTURES LLC N NFA 03/31/2010 12,371,942 1,000,000 11,371,942 54 IG MARKETS INC N NFA 03/31/2010 30,426,565 20,000,000 10,426,565 55 IKON GLOBAL MARKETS INC N NFA 03/31/2010 21,522,630 20,559,572 963,058 

56 INSTINET LLC Y NFA 03/31/2010 113,139,849 1,500,000 111,639,849 57 INTEGRATED BROKERAGE SERVICES LLC N NFA 03/31/2010 1,548,094 1,000,000 548,094 58 INTERACTIVE BROKERS LLC Y NFA 03/31/2010 890,338,308 113,227,815 777,110,493 59 INTERBANK FX LLC N NFA 03/31/2010 30,659,157 21,481,833 9,177,324 60 ITG DERIVATIVES LLC Y NFA 03/31/2010 3,194,927 1,000,000 2,194,927 61 JP MORGAN CLEARING CORP Y CME 03/31/2010 5,496,418,621 1,510,901,231 3,985,517,390 62 JP MORGAN FUTURES INC N NYME 03/31/2010 2,255,161,683 1,119,001,130 1,136,160,553 

63 JP MORGAN SECURITIES INC Y NFA 03/31/2010 9,570,021,897 536,354,056 9,033,667,841 64 LADENBURG THALMANN & CO INC Y NFA 03/31/2010 3,268,005 1,000,000 2,268,005 65 LEK SECURITIES CORPORATION Y NFA 03/31/2010 11,692,135 1,500,000 10,192,135 

66 LIMESTONE TRADING LLC N NFA 03/31/2010 4,270,007 1,000,000 3,270,007 67 LINN GROUP THE N NFA 03/31/2010 2,143,636 1,000,000 1,143,636 

68 LPL FINANCIAL CORPORATION Y NFA 03/31/2010 102,639,393 5,894,409 96,744,984 69 MACQUARIE FUTURES USA INC N CBOT 03/31/2010 86,455,859 42,034,383 44,421,476 

70 MAREX USA LIMITED N NFA 03/31/2010 3,887,925 1,000,000 2,887,925 

71 MB TRADING FUTURES INC N NFA 03/31/2010 24,664,975 20,000,000 4,664,975 72 MBF CLEARING CORP N NYME 03/31/2010 11,489,466 1,608,250 9,881,216 

73 MCVEAN TRADING & INVESTMENTS LLC N NFA 03/31/2010 9,632,528 2,470,465 7,162,063 74 MERRILL LYNCH PIERCE FENNER & SMITH Y CBOT 03/31/2010 6,528,215,531 672,961,467 5,855,254,064 

75 MERRILL LYNCH PROFESSIONAL CLEARING CORP Y NFA 03/31/2010 1,706,611,359 208,695,181 1,497,916,178 76 MF GLOBAL INC Y CME 03/31/2010 596,731,236 387,922,475 208,808,761 77 MG FINANCIAL LLC N NFA 03/31/2010 5,011,454 1,000,000 4,011,454 

78 MID CO COMMODITIES INC N NFA 03/31/2010 11,304,556 3,120,815 8,183,741 

79 MITSUBISHI UFJ SECURITIES USA INC Y NFA 03/31/2010 110,993,280 1,788,844 109,204,436 

80 MITSUI BUSSAN COMMODITIES USA INC N NYME 03/31/2010 8,236,779 6,015,564 2,221,215 81 MIZUHO SECURITIES USA INC Y CME 03/31/2010 506,935,585 56,210,013 450,725,572 

82 MORGAN KEEGAN & COMPANY INC Y NFA 03/31/2010 393,953,883 9,962,538 383,991,345 83 MORGAN STANLEY & CO INCORPORATED Y CME 03/31/2010 7,657,787,039 1,147,533,830 6,510,253,209 
SELECTED FCM FINANCIAL DATA AS OF 

March 31, 2010

FROM REPORTS FILED BY 

April 30, 2010

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

Futures Commission Merchant Date Net Capital Requirement Net Capital 

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

84 MORGAN STANLEY SMITH BARNEY LLC Y NFA 03/31/2010 824,348,300 1,000,000 823,348,300 

85 NATIXIS SECURITIES NORTH AMERICA INC Y NFA 03/31/2010 179,330,995 1,000,000 178,330,995 

86 NEUBERGER BERMAN LLC Y NFA 03/31/2010 79,798,064 1,500,000 78,298,064 

87 NEWEDGE USA LLC Y NYME 03/31/2010 2,445,638,424 1,329,455,788 1,116,182,636 

88 NOMURA SECURITIES INTERNATIONAL INC Y CBOT 03/31/2010 1,422,562,148 13,944,010 1,408,618,138 89 OANDA CORPORATION N NFA 03/31/2010 168,087,844 28,863,309 139,224,535 90 OPEN E CRY LLC N NFA 03/31/2010 3,833,774 1,000,000 2,833,774 

91 OPPENHEIMER & CO INC Y NFA 03/31/2010 171,920,520 22,744,292 149,176,228 

92 OPTIONSXPRESS INC Y NFA 03/31/2010 105,232,051 13,758,463 91,473,588 93 PENSON GHCO N CBOT 03/31/2010 23,545,691 19,043,718 4,501,973 94 PEREGRINE FINANCIAL GROUP INC N NFA 03/31/2010 32,327,335 20,000,000 12,327,335 

95 PIONEER FUTURES INC N NYME 03/31/2010 1,342,145 1,000,000 342,145 96 PRUDENTIAL BACHE COMMODITIES LLC N CBOT 03/31/2010 212,184,000 164,061,520 48,122,480 97 RAND FINANCIAL SERVICES INC N CME 03/31/2010 68,279,681 10,873,704 57,405,977 98 RAYMOND JAMES & ASSOCIATES INC Y NFA 03/31/2010 374,986,013 28,173,227 346,812,786 99 RBC CAPITAL MARKETS CORPORATION Y CME 03/31/2010 1,213,527,340 94,468,141 1,119,059,199 

100 RBS SECURITIES INC Y CBOT 03/31/2010 1,225,920,000 184,331,000 1,041,589,000 

101 RJ OBRIEN ASSOCIATES LLC N CME 03/31/2010 115,361,882 68,534,990 46,826,892 102 ROSENTHAL COLLINS GROUP LLC N CME 03/31/2010 60,848,323 36,120,099 24,728,224 103 ROSENTHAL GLOBAL SECURITIES LLC Y NFA 03/31/2010 43,064,615 1,000,000 42,064,615 104 SANFORD C BERNSTEIN & CO LLC Y NFA 03/31/2010 167,594,008 11,056,017 156,537,991 105 SANTANDER INVESTMENT SECURITIES INC Y NFA 03/31/2010 174,943,177 1,000,000 173,943,177 106 SHAY GRAIN CLEARING COMPANY N KCBT 03/31/2010 2,579,055 1,000,000 1,579,055 107 SMW TRADING COMPANY INC N CME 03/31/2010 25,709,700 1,000,000 24,709,700 

108 STATE STREET GLOBAL MARKETS LLC Y CME 03/31/2010 294,896,455 1,000,000 293,896,455 109 STEPHENS Y NFA 03/31/2010 62,722,743 11,309,376 51,413,367 

110 STERLING COMMODITIES CORP N NYME 03/31/2010 7,717,217 1,684,416 6,032,801 

111 TCA FUTURES LLC N NFA 03/31/2010 1,615,130 1,000,000 615,130 112 TD AMERITRADE INC Y NFA 03/31/2010 286,092,688 1,000,000 285,092,688 113 TENCO INC N CBOT 03/31/2010 49,742,905 6,365,289 43,377,616 

114 TERRA NOVA FINANCIAL LLC Y NFA 03/31/2010 9,945,063 1,500,000 8,445,063 115 TIMBER HILL LLC Y CME 03/31/2010 892,155,694 39,534,413 852,621,281 

116 TOWER RESEARCH CAPITAL EUROPE LLC N NFA 03/31/2010 5,195,389 1,000,000 4,195,389 117 TRADELINK LLC Y CBOT 03/31/2010 24,818,851 1,000,000 23,818,851 118 TRADESTATION SECURITIES INC Y NFA 03/31/2010 80,735,753 2,821,859 77,913,894 119 TRADITION SECURITIES AND FUTURES INC N NFA 03/31/2010 1,578,438 1,000,000 578,438 

120 TRANSMARKET GROUP LLC Y CBOT 03/31/2010 6,360,200 1,000,000 5,360,200 121 TRILAND USA INC N NYME 03/31/2010 25,691,133 19,703,437 5,987,696 

122 UBS FINANCIAL SERVICES INC Y NFA 03/31/2010 1,215,891,589 86,519,173 1,129,372,416 123 UBS SECURITIES LLC Y CBOT 03/31/2010 10,941,928,578 939,146,945 10,002,781,633 124 VELOCITY FUTURES LLC N NFA 03/31/2010 1,609,208 1,000,000 609,208 125 VISION FINANCIAL MARKETS LLC Y CME 03/31/2010 21,080,414 10,098,138 10,982,276 
SELECTED FCM FINANCIAL DATA AS OF 

March 31, 2010

FROM REPORTS FILED BY 

April 30, 2010

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

Futures Commission Merchant Date Net Capital Requirement Net Capital 

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

126 WELLS FARGO ADVISORS FINANCIAL NETWORK LLC Y NFA 03/31/2010 22,402,841 2,387,873 20,014,968 127 WELLS FARGO ADVISORS LLC Y NFA 03/31/2010 433,761,635 1,500,000 432,261,635 128 WELLS FARGO SECURITIES LLC Y CME 03/31/2010 1,432,635,479 4,022,336 1,428,613,143 129 WHITE COMMERCIAL CORPORATION N NFA 03/31/2010 2,293,340 1,000,000 1,293,340 130 WSD FINANCIAL USA INC N NFA 03/31/2010 1,198,388 1,000,000 198,388 131 YORK BUSINESS ASSOCIATES LLC N NFA 03/31/2010 2,102,909 1,000,000 1,102,909 

Totals 
SELECTED FCM FINANCIAL DATA AS OF 

March 31, 2010

FROM REPORTS FILED BY 

April 30, 2010

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

Futures Commission Merchant Date Net Capital Requirement Net Capital 

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

February Web Page Update 134Additions 1BNY MELLON CLEARING LLCDeletions 4CADENT FINANCIAL SERVICES LLCGFS FOREX & FUTURES INCI TRADE FX LLCROBBINS FUTURES INCName ChangeNoneMarch Web Page Update 131*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) $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
SELECTED FCM FINANCIAL DATA AS OF 

March 31, 2010

FROM REPORTS FILED BY 

April 30, 2010

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

Futures Commission Merchant Date Net Capital Requirement Net Capital 

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

(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.(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.