SELECTED FCM FINANCIAL DATA AS OF 

September 30, 2009

FROM REPORTS FILED BY 

October 31, 2009

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

Futures Commission Merchant Date Net Capital Requirement Net Capital 

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

1 3DFOREX LLC N NFA 09/30/2009 1,360,720 500,000 860,720 2 ACM USA LLC N NFA 09/30/2009 774,119 500,000 274,119 3 ADM INVESTOR SERVICES INC N CBOT 09/30/2009 164,046,188 93,388,623 70,657,565 

4 ADVANCED MARKETS LLC N NFA 09/30/2009 20,608,259 20,000,000 608,259 5 ADVANTAGE FUTURES LLC N CME 09/30/2009 18,669,695 7,152,168 11,517,527 

6 AIG CLEARING CORPORATION N NYME 09/30/2009 230,675,258 941,824 229,733,434 7 ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC* Y NFA 09/30/2009 20,468,279 7,257,790 13,210,489 8 ALPARI (US) LLC N NFA 09/30/2009 20,739,123 20,000,000 739,123 9 AMERIPRISE ADVISOR SERVICES INC Y NFA 09/30/2009 69,222,414 6,350,918 62,871,496 

10 BANC OF AMERICA SECURITIES LLC Y CME 09/30/2009 2,956,749,679 114,211,778 2,842,537,901 

11 BARCLAYS CAPITAL INC Y NYME 09/30/2009 6,153,041,931 616,745,073 5,536,296,858 12 BGC FINANCIAL LP Y NFA 09/30/2009 35,316,118 500,000 34,816,118 13 BNP PARIBAS COMMODITY FUTURES INC N NYME 09/30/2009 298,598,600 175,294,065 123,304,535 14 BNP PARIBAS SECURITIES CORP Y CBOT 09/30/2009 1,654,176,620 73,235,160 1,580,941,460 

15 CADENT FINANCIAL SERVICES LLC N CME 09/30/2009 2,390,343 500,000 1,890,343 

16 CANTOR FITZGERALD & CO Y CBOT 09/30/2009 172,702,286 11,621,632 161,080,654 17 CAPITAL MARKET SERVICES LLC N NFA 09/30/2009 24,437,205 20,000,000 4,437,205 

18 CIBC WORLD MARKETS CORP Y CME 09/30/2009 1,336,455,351 1,500,000 1,334,955,351 

19 CITADEL SECURITIES LLC Y CME 09/30/2009 450,240,522 1,000,000 449,240,522 20 CITIGROUP GLOBAL MARKETS INC Y CBOT 09/30/2009 9,112,297,835 723,113,520 8,389,184,315 21 COMMONWEALTH FOREIGN EXCHANGE INC N NFA 09/30/2009 875,190 500,000 375,190 22 COMPASS PROFESSIONAL SERVICES LLC Y NFA 09/30/2009 3,247,935 500,000 2,747,935 

23 COUNTRY HEDGING INC N NFA 09/30/2009 14,312,373 6,992,951 7,319,422 24 CREDIT SUISSE SECURITIES (USA) LLC Y CBOT 09/30/2009 8,784,995,728 741,081,421 8,043,914,307 25 CROSSLAND LLC N CBOT 09/30/2009 5,917,357 4,715,142 1,202,215 

26 CUNNINGHAM COMMODITIES LLC N CBOT 09/30/2009 3,189,411 614,697 2,574,714 

27 CX CAPITAL MARKETS LLC N NFA 09/30/2009 778,103 500,000 278,103 28 DAIWA SECURITIES AMERICA INC Y CME 09/30/2009 259,340,284 1,000,000 258,340,284 29 DEUTSCHE BANK SECURITIES INC Y CBOT 09/30/2009 7,904,732,029 523,272,944 7,381,459,085 30 DORMAN TRADING LLC N CME 09/30/2009 7,886,686 1,060,450 6,826,236 

31 EAGLE MARKET MAKERS INC N CBOT 09/30/2009 4,780,421 500,000 4,280,421 32 EASY FOREX US LTD N NFA 09/30/2009 20,571,936 20,000,000 571,936 33 ELECTRONIC BROKERAGE SYSTEMS LLC Y NFA 09/30/2009 8,978,602 500,000 8,478,602 34 ENSKILDA FUTURES LTD N CME 09/30/2009 22,952,458 16,217,499 6,734,959 35 FARR FINANCIAL INC N NFA 09/30/2009 1,064,934 615,869 449,065 36 FCSTONE LLC N CME 09/30/2009 63,171,960 34,752,599 28,419,361 37 FOREX CAPITAL MARKETS LLC N NFA 09/30/2009 53,636,719 20,000,000 33,636,719 

38 FOREX CLUB FINANCIAL COMPANY INC N NFA 09/30/2009 23,739,580 20,000,000 3,739,580 39 FORTIS CLEARING AMERICAS LLC Y CBOT 09/30/2009 184,183,624 53,717,016 130,466,608 

40 FRIEDBERG MERCANTILE GROUP INC N NFA 09/30/2009 3,365,697 500,000 2,865,697 41 FRONTIER FUTURES INC N NFA 09/30/2009 1,146,179 779,878 366,301 
SELECTED FCM FINANCIAL DATA AS OF 

September 30, 2009

FROM REPORTS FILED BY 

October 31, 2009

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 09/30/2009 848,520 500,000 348,520 43 FX SOLUTIONS LLC N NFA 09/30/2009 44,055,493 20,000,000 24,055,493 44 GAIN CAPITAL GROUP LLC N NFA 09/30/2009 85,491,631 20,000,000 65,491,631 45 GENESIS FUTURES LLC N NFA 09/30/2009 762,467 500,000 262,467 46 GFS FOREX & FUTURES INC N NFA 09/30/2009 3,407,874 500,000 2,907,874 47 GILDER GAGNON HOWE & CO LLC Y NFA 09/30/2009 15,600,800 500,000 15,100,800 48 GLOBAL FUTURES & FOREX LTD N NFA 09/30/2009 75,893,697 20,000,000 55,893,697 

49 GOLDMAN SACHS & CO Y CBOT 09/25/2009 13,413,993,253 1,936,805,551 11,477,187,702 

50 GOLDMAN SACHS EXECUTION & CLEARING LP Y CME 09/25/2009 1,948,268,419 113,159,476 1,835,108,943 51 HOTSPOT FXR LLC N NFA 09/30/2009 6,471,059 500,000 5,971,059 52 HSBC SECURITIES USA INC Y CME 09/30/2009 1,417,095,786 68,935,136 1,348,160,650 53 I TRADE FX LLC N NFA 09/30/2009 675,808 500,000 175,808 54 ICAP FUTURES LLC N NFA 09/30/2009 13,523,171 500,000 13,023,171 55 IG MARKETS INC N NFA 09/30/2009 30,823,918 20,000,000 10,823,918 56 IKON GLOBAL MARKETS INC N NFA 09/30/2009 21,694,630 20,000,000 1,694,630 57 INSTINET LLC Y NFA 09/30/2009 120,948,120 1,500,000 119,448,120 58 INTEGRATED BROKERAGE SERVICES LLC N NFA 09/30/2009 1,090,891 500,000 590,891 59 INTERACTIVE BROKERS LLC Y NFA 09/30/2009 753,008,503 74,118,335 678,890,168 60 INTERBANK FX LLC N NFA 09/30/2009 34,550,285 20,000,000 14,550,285 61 ITG DERIVATIVES LLC Y NFA 09/30/2009 12,490,336 500,000 11,990,336 62 JP MORGAN CLEARING CORP Y CME 09/30/2009 5,347,240,631 1,469,346,384 3,877,894,247 63 JP MORGAN FUTURES INC N NYME 09/30/2009 2,267,030,197 1,066,967,353 1,200,062,844 

64 JP MORGAN SECURITIES INC Y NFA 09/30/2009 8,730,099,474 554,389,984 8,175,709,490 65 LADENBURG THALMANN & CO INC Y NFA 09/30/2009 2,397,020 500,000 1,897,020 66 LEK SECURITIES CORPORATION Y NFA 09/30/2009 12,855,005 1,500,000 11,355,005 

67 LIMESTONE TRADING LLC N NFA 09/30/2009 20,231,501 500,000 19,731,501 68 LINN GROUP THE N NFA 09/30/2009 2,880,166 500,000 2,380,166 

69 LPL FINANCIAL CORPORATION Y NFA 09/30/2009 85,171,905 6,064,876 79,107,029 

70 MACQUARIE FUTURES USA INC N CBOT 09/30/2009 68,354,445 37,523,696 30,830,749 

71 MAREX USA LIMITED N NFA 09/30/2009 1,547,928 500,000 1,047,928 

72 MB TRADING FUTURES INC N NFA 09/30/2009 22,625,607 20,000,000 2,625,607 73 MBF CLEARING CORP N NYME 09/30/2009 11,098,059 2,021,760 9,076,299 

74 MCVEAN TRADING & INVESTMENTS LLC N NFA 09/30/2009 7,636,407 2,265,845 5,370,562 75 MERRILL LYNCH PIERCE FENNER & SMITH Y CBOT 09/30/2009 5,373,285,468 613,763,800 4,759,521,668 

76 MERRILL LYNCH PROFESSIONAL CLEARING CORP Y NFA 09/30/2009 1,343,920,301 100,887,865 1,243,032,436 77 MF GLOBAL INC Y CME 09/30/2009 626,854,329 356,128,249 270,726,080 78 MG FINANCIAL LLC N NFA 09/30/2009 5,141,398 500,000 4,641,398 79 MID CO COMMODITIES INC N NFA 09/30/2009 11,210,499 1,986,369 9,224,130 80 MITSUBISHI UFJ SECURITIES USA INC Y NFA 09/30/2009 71,641,783 1,064,120 70,577,663 81 MITSUI BUSSAN COMMODITIES USA INC N NYME 09/30/2009 7,437,176 2,021,436 5,415,740 82 MIZUHO SECURITIES USA INC Y CME 09/30/2009 346,566,623 42,924,401 303,642,222 83 MORGAN KEEGAN & COMPANY INC Y NFA 09/30/2009 374,501,315 9,531,107 364,970,208 
SELECTED FCM FINANCIAL DATA AS OF 

September 30, 2009

FROM REPORTS FILED BY 

October 31, 2009

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 & CO INCORPORATED Y CME 09/30/2009 9,727,954,500 1,027,144,294 8,700,810,206 85 MORGAN STANLEY SMITH BARNEY LLC Y NFA 09/30/2009 353,630,678 500,000 353,130,678 86 NATIXIS SECURITIES NORTH AMERICA INC Y NFA 09/30/2009 212,931,028 500,000 212,431,028 

87 NEUBERGER BERMAN LLC Y NFA 09/30/2009 90,621,791 1,500,000 89,121,791 

88 NEWEDGE USA LLC Y NYME 09/30/2009 2,381,986,997 1,307,856,839 1,074,130,158 

89 NOMURA SECURITIES INTERNATIONAL INC Y CBOT 09/30/2009 972,563,298 2,427,972 970,135,326 90 OANDA CORPORATION N NFA 09/30/2009 162,177,870 20,000,000 142,177,870 91 OPEN E CRY LLC N NFA 09/30/2009 3,103,617 883,543 2,220,074 

92 OPPENHEIMER & CO INC Y NFA 09/30/2009 169,492,086 21,630,675 147,861,411 

93 OPTIONSXPRESS INC Y NFA 09/30/2009 87,870,423 11,722,778 76,147,645 94 PENSON GHCO N CBOT 09/30/2009 19,652,668 13,763,134 5,889,534 95 PEREGRINE FINANCIAL GROUP INC N NFA 09/30/2009 32,234,022 20,000,000 12,234,022 

96 PIONEER FUTURES INC N NYME 09/30/2009 1,348,112 500,000 848,112 97 PRUDENTIAL BACHE COMMODITIES LLC N CBOT 09/30/2009 232,974,000 161,664,520 71,309,480 98 RAND FINANCIAL SERVICES INC N CME 09/30/2009 57,316,779 10,844,774 46,472,005 99 RAYMOND JAMES & ASSOCIATES INC Y NFA 09/30/2009 278,092,175 27,233,373 250,858,802 

100 RBC CAPITAL MARKETS CORPORATION Y CME 09/30/2009 1,086,825,909 107,369,460 979,456,449 

101 RBS SECURITIES INC Y CBOT 09/30/2009 1,929,624,000 166,880,000 1,762,744,000 

102 RJ OBRIEN ASSOCIATES LLC N CME 09/30/2009 113,105,457 62,082,971 51,022,486 103 ROBBINS FUTURES INC N NFA 09/30/2009 572,959 500,000 72,959 104 ROSENTHAL COLLINS GROUP LLC N CME 09/30/2009 49,768,451 35,530,284 14,238,167 105 ROSENTHAL GLOBAL SECURITIES LLC Y NFA 09/30/2009 36,795,655 725,768 36,069,887 106 SANFORD C BERNSTEIN & CO LLC Y NFA 09/30/2009 147,718,360 10,841,531 136,876,829 107 SANTANDER INVESTMENT SECURITIES INC Y NFA 09/30/2009 82,145,212 605,606 81,539,606 108 SHAY GRAIN CLEARING COMPANY N KCBT 09/30/2009 2,573,977 500,000 2,073,977 109 SMW TRADING COMPANY INC N CME 09/30/2009 33,853,971 500,000 33,353,971 

110 STEPHENS INC Y NFA 09/30/2009 51,050,124 14,544,885 36,505,239 111 STERLING COMMODITIES CORP N NYME 09/30/2009 8,367,979 740,573 7,627,406 112 TCA FUTURES LLC N NFA 09/30/2009 881,080 500,000 381,080 113 TD AMERITRADE INC Y NFA 09/30/2009 263,957,138 500,000 263,457,138 114 TENCO INC N CBOT 09/30/2009 46,878,165 7,818,909 39,059,256 

115 TERRA NOVA FINANCIAL LLC Y NFA 09/30/2009 11,301,401 1,500,000 9,801,401 116 TIMBER HILL LLC Y CME 09/30/2009 1,039,658,271 22,124,393 1,017,533,878 

117 TOWER RESEARCH CAPITAL EUROPE LLC N NFA 09/30/2009 2,796,502 500,000 2,296,502 118 TRADELINK LLC Y CBOT 09/30/2009 27,991,495 500,000 27,491,495 119 TRADESTATION SECURITIES INC Y NFA 09/30/2009 93,576,563 3,245,035 90,331,528 

120 TRADITION SECURITIES AND FUTURES INC N NFA 09/30/2009 780,509 500,000 280,509 

121 TRANSMARKET GROUP LLC Y CBOT 09/30/2009 12,846,486 500,000 12,346,486 122 TRILAND USA INC N NYME 09/30/2009 37,569,681 11,294,976 26,274,705 

123 UBS FINANCIAL SERVICES INC Y NFA 09/30/2009 1,093,484,937 94,616,738 998,868,199 124 UBS SECURITIES LLC Y CBOT 09/30/2009 13,232,147,521 939,642,103 12,292,505,418 125 VELOCITY FUTURES LLC N NFA 09/30/2009 1,264,060 500,000 764,060 
SELECTED FCM FINANCIAL DATA AS OF 

September 30, 2009

FROM REPORTS FILED BY 

October 31, 2009

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

Futures Commission Merchant Date Net Capital Requirement Net Capital 

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

126 VISION FINANCIAL MARKETS LLC Y CME 09/30/2009 21,557,893 7,915,519 13,642,374 127 WELLS FARGO ADVISORS FINANCIAL NETWORK LLC Y NFA 09/30/2009 23,654,538 1,910,041 21,744,497 128 WELLS FARGO ADVISORS LLC Y NFA 09/30/2009 681,331,259 1,500,000 679,831,259 129 WELLS FARGO SECURITIES LLC Y CME 09/30/2009 2,125,182,371 1,004,775 2,124,177,596 130 WHITE COMMERCIAL CORPORATION N NFA 09/30/2009 2,235,787 500,000 1,735,787 131 WSD FINANCIAL USA INC N NFA 09/30/2009 1,243,954 500,000 743,954 132 YORK BUSINESS ASSOCIATES LLC N NFA 09/30/2009 1,655,907 500,000 1,155,907 

Total 
SELECTED FCM FINANCIAL DATA AS OF 

September 30, 2009

FROM REPORTS FILED BY 

October 31, 2009

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

Futures Commission Merchant Date Net Capital Requirement Net Capital 

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

August Web Page Update 132Additions 0NoneDeletions 0NoneName ChangeNoneSeptember Web Page Update 132*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); or(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.
SELECTED FCM FINANCIAL DATA AS OF 

September 30, 2009

FROM REPORTS FILED BY 

October 31, 2009

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

Futures Commission Merchant Date Net Capital Requirement Net Capital 

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

(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, phill@cftc.gov, fzimmerle@cftc.gov.