SELECTED FCM FINANCIAL DATA AS OF 

April 30, 2011

FROM REPORTS FILED BY 

May 31, 2011

Reg As DSRO A/O Adjusted Net Capital Excess Customers' 

Date Net Capital Requirement Net Capital Seg Required 

4d(a)(2) 

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

1 ABN AMRO CLEARING CHICAGO LLC FCM BD CBOT 04/30/2011 203,701,981 109,428,298 94,273,683 1,767,987,694 2 ADM INVESTOR SERVICES INC FCM CBOT 04/30/2011 293,170,585 165,740,426 127,430,159 2,797,845,347 3 ADVANCED MARKETS LLC RFED NFA 04/30/2011 20,137,376 20,000,000 137,376 0 4 ADVANTAGE FUTURES LLC FCM CME 04/29/2011 21,629,112 13,108,648 8,520,464 430,207,984 5 ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC * FCM BD NFA 03/31/2011 106,652,708 6,172,937 100,479,771 0 6 ALPARI (US) LLC RFED NFA 04/30/2011 25,246,389 20,000,000 5,246,389 0 7 AMERIPRISE FINANCIAL SERVICES INC FCM BD NFA 04/30/2011 118,972,465 1,000,000 117,972,465 0 8 AMP GLOBAL CLEARING LLC FCM NFA 04/30/2011 1,358,779 1,000,000 358,779 28,594,453 9 BARCLAYS CAPITAL INC FCM BD NYME 04/30/2011 5,816,202,067 781,453,356 5,034,748,711 5,659,525,534 

10 BGC FINANCIAL LP FCM BD NFA 04/30/2011 52,226,131 1,000,000 51,226,131 0 11 BNP PARIBAS COMMODITY FUTURES INC FCM NYME 04/30/2011 340,515,702 233,554,467 106,961,235 1,609,147,270 12 BNP PARIBAS SECURITIES CORP FCM BD CBOT 04/30/2011 1,492,605,920 126,769,005 1,365,836,915 547,061,488 

13 BNY MELLON CLEARING LLC FCM CME 04/30/2011 128,087,881 4,352,490 123,735,391 31,161,559 14 CANTOR FITZGERALD & CO FCM BD CBOT 04/30/2011 180,390,901 5,538,040 174,852,861 1,223,675 15 CAPITAL MARKET SERVICES LLC RFED NFA 04/30/2011 3,020,467 1,000,000 2,020,467 0 16 CIBC WORLD MARKETS CORP FCM BD CME 04/30/2011 463,325,611 1,500,000 461,825,611 0 17 CITADEL SECURITIES LLC FCM BD CME 04/30/2011 325,532,866 1,000,000 324,532,866 0 18 CITIGROUP GLOBAL MARKETS INC FCM BD CBOT 04/30/2011 8,049,944,000 716,078,896 7,333,865,104 10,894,715,423 19 COMMONWEALTH FOREIGN EXCHANGE INC FCM NFA 04/30/2011 1,555,156 1,000,000 555,156 0 20 COMPASS PROFESSIONAL SERVICES LLC FCM BD NFA 04/30/2011 3,716,435 1,000,000 2,716,435 0 21 COUNTRY HEDGING INC FCM NFA 04/30/2011 30,862,340 21,766,898 9,095,442 142,691,536 22 CREDIT SUISSE SECURITIES (USA) LLC FCM BD CBOT 04/30/2011 6,628,798,410 1,126,135,327 5,502,663,083 5,526,935,196 23 CROSSLAND LLC FCM CBOT 04/30/2011 9,636,148 5,848,267 3,787,881 116,808,770 24 CUNNINGHAM COMMODITIES LLC FCM CBOT 04/30/2011 3,339,657 1,000,000 2,339,657 53,917,287 25 CX CAPITAL MARKETS LLC FCM NFA 04/30/2011 2,796,094 1,000,000 1,796,094 26,591,840 26 DAIWA CAPITAL MARKETS AMERICA INC FCM BD CME 04/30/2011 308,931,450 2,269,503 306,661,947 4,527,266 27 DEUTSCHE BANK SECURITIES INC FCM BD CBOT 04/30/2011 6,292,706,657 724,837,507 5,567,869,150 17,284,351,566 28 DORMAN TRADING LLC FCM CME 04/30/2011 7,792,925 1,063,663 6,729,262 101,031,944 29 EAGLE MARKET MAKERS INC FCM CBOT 04/29/2011 6,818,744 1,000,000 5,818,744 2,201,733 30 EASY FOREX US LTD FCM NFA 04/30/2011 1,868,233 1,000,000 868,233 0 31 ELECTRONIC BROKERAGE SYSTEMS LLC FCM BD NFA 04/30/2011 4,527,474 1,000,000 3,527,474 0 32 ENSKILDA FUTURES LTD FCM CME 04/30/2011 30,620,823 20,215,073 10,405,750 388,754,287 33 FCSTONE LLC FCM CME 04/30/2011 108,111,363 73,645,462 34,465,901 1,164,476,821 34 FOREX CAPITAL MARKETS LLC RFED NFA 04/30/2011 52,771,988 26,014,351 26,757,637 0 35 FOREX CLUB LLC RFED NFA 04/29/2011 20,264,327 20,000,000 264,327 0 36 FRIEDBERG MERCANTILE GROUP INC FCM NFA 04/30/2011 3,429,935 1,000,000 2,429,935 11,350,990 37 FRONTIER FUTURES INC FCM NFA 04/30/2011 1,931,631 1,289,351 642,280 34,390,668 38 FUTURES TECH LLC FCM NFA 04/30/2011 1,594,332 1,000,000 594,332 0 39 FX SOLUTIONS LLC RFED NFA 04/30/2011 35,708,627 20,379,733 15,328,894 0 40 FXDIRECTDEALER LLC RFED NFA 04/30/2011 26,802,254 21,445,905 5,356,349 0 

Futures Commission Merchant / Retail Foreign 

Exchange Dealer
SELECTED FCM FINANCIAL DATA AS OF 

April 30, 2011

FROM REPORTS FILED BY 

May 31, 2011

Reg As DSRO A/O Adjusted Net Capital Excess Customers' 

Date Net Capital Requirement Net Capital Seg Required 

4d(a)(2) 

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

Futures Commission Merchant / Retail Foreign 

Exchange Dealer

41 GAIN CAPITAL GROUP LLC RFED NFA 04/30/2011 70,214,680 24,923,609 45,291,071 0 42 GLOBAL FUTURES & FOREX LTD RFED NFA 04/30/2011 87,105,001 23,987,029 63,117,972 803,063 43 GOLDMAN SACHS & CO FCM BD CBOT 04/30/2011 11,069,779,018 1,997,722,365 9,072,056,653 21,789,721,459 44 GOLDMAN SACHS EXECUTION & CLEARING LP FCM BD CME 04/30/2011 1,674,784,224 137,898,452 1,536,885,772 1,255,248,187 45 HSBC SECURITIES USA INC FCM BD CME 04/30/2011 1,111,772,706 111,334,727 1,000,437,979 1,097,526,472 46 ICAP CORPORATES LLC FCM BD NFA 04/30/2011 38,879,297 1,000,000 37,879,297 0 47 ICAP FUTURES LLC FCM NFA 04/30/2011 8,076,822 1,000,000 7,076,822 0 48 IG MARKETS INC FCM NFA 04/30/2011 28,803,815 20,000,000 8,803,815 156,289 49 IKON GLOBAL MARKETS INC FCM NFA 04/30/2011 18,439,217 1,000,000 17,439,217 16,928,151 50 INSTINET LLC FCM BD NFA 04/29/2011 111,106,373 1,404,102 109,702,271 0 51 INSTITUTIONAL LIQUIDITY LLC FCM NFA 04/30/2011 21,055,811 20,000,000 1,055,811 0 52 INTEGRATED BROKERAGE SERVICES LLC FCM NFA 04/30/2011 1,663,082 1,000,000 663,082 0 53 INTERACTIVE BROKERS LLC FCM BD NFA 04/30/2011 1,256,997,576 230,167,437 1,026,830,139 794,439,335 54 INTERBANK FX LLC RFED NFA 04/30/2011 24,440,303 21,122,562 3,317,741 0 55 IRONBEAM INC FCM NFA 04/30/2011 2,892,040 1,615,839 1,276,201 62,508,657 56 ITG DERIVATIVES LLC FCM BD NFA 04/30/2011 2,830,576 1,000,000 1,830,576 0 57 JEFFERIES & COMPANY INC FCM BD NFA 04/29/2011 506,421,753 88,876,390 417,545,363 0 58 JP MORGAN CLEARING CORP FCM BD CME 04/30/2011 5,791,704,668 1,971,294,314 3,820,410,354 551,249,796 59 JP MORGAN FUTURES INC FCM NYME 04/30/2011 2,530,823,381 1,536,291,873 994,531,508 17,628,775,299 60 JP MORGAN SECURITIES LLC FCM BD NFA 04/29/2011 7,690,877,773 602,554,090 7,088,323,683 0 61 LEK SECURITIES CORPORATION FCM BD NFA 04/30/2011 8,723,208 1,500,000 7,223,208 213,812 62 LIMESTONE TRADING LLC FCM NFA 04/30/2011 5,584,733 1,000,000 4,584,733 0 63 LINN GROUP THE FCM NFA 04/30/2011 2,511,099 1,000,000 1,511,099 42,285,565 64 LPL FINANCIAL LLC FCM BD NFA 04/30/2011 197,027,541 6,615,684 190,411,857 0 65 MACQUARIE FUTURES USA INC FCM CBOT 04/30/2011 118,952,719 60,623,702 58,329,017 813,691,662 66 MAREX NORTH AMERICA LLC FCM CME 04/29/2011 10,624,616 4,051,227 6,573,389 59,730,683 67 MAREX USA LIMITED FCM NFA 04/30/2011 2,803,966 1,000,000 1,803,966 0 68 MB TRADING FUTURES INC RFED NFA 04/30/2011 24,257,056 21,335,422 2,921,634 0 69 MBF CLEARING CORP FCM NYME 04/30/2011 9,108,367 1,930,166 7,178,201 93,507,639 70 MCVEAN TRADING & INVESTMENTS LLC FCM NFA 04/30/2011 10,927,380 2,730,328 8,197,052 845,290,957 71 MERRILL LYNCH PIERCE FENNER & SMITH FCM BD CBOT 04/30/2011 9,565,608,732 948,332,463 8,617,276,269 10,477,536,086 72 MERRILL LYNCH PROFESSIONAL CLEARING CORP FCM BD NFA 04/30/2011 2,133,737,487 203,841,769 1,929,895,718 1,019,829,562 73 MF GLOBAL INC FCM BD CME 04/29/2011 584,579,062 466,418,552 118,160,510 8,993,383,265 74 MID CO COMMODITIES INC FCM NFA 04/30/2011 15,175,856 8,533,951 6,641,905 25,551,108 75 MITSUBISHI UFJ SECURITIES USA INC FCM BD NFA 04/30/2011 97,146,838 1,894,120 95,252,718 0 76 MITSUI BUSSAN COMMODITIES USA INC FCM NFA 04/30/2011 3,060,939 1,000,000 2,060,939 0 77 MIZUHO SECURITIES USA INC FCM BD CME 04/29/2011 371,752,103 80,938,447 290,813,656 911,935,551 78 MORGAN KEEGAN & COMPANY INC FCM BD NFA 04/30/2011 477,758,161 9,540,375 468,217,786 0 79 MORGAN STANLEY & CO INCORPORATED FCM BD CME 04/30/2011 6,727,864,529 1,160,609,299 5,567,255,230 5,109,168,833 80 MORGAN STANLEY SMITH BARNEY LLC FCM BD NFA 04/30/2011 1,130,298,911 40,377,335 1,089,921,576 642,050,233 81 NATIXIS SECURITIES NORTH AMERICA INC FCM BD NFA 04/30/2011 209,021,853 1,000,000 208,021,853 0 82 NEUBERGER BERMAN LLC FCM BD NFA 04/30/2011 77,228,695 1,500,000 75,728,695 0 83 NEWEDGE USA LLC FCM BD NYME 04/30/2011 2,157,538,272 1,547,291,756 610,246,516 24,754,719,591 84 NOMURA SECURITIES INTERNATIONAL INC FCM BD CBOT 04/29/2011 2,198,038,827 37,839,706 2,160,199,121 97,369,469 85 OANDA CORPORATION RFED NFA 04/30/2011 165,698,856 28,374,369 137,324,487 0 
SELECTED FCM FINANCIAL DATA AS OF 

April 30, 2011

FROM REPORTS FILED BY 

May 31, 2011

Reg As DSRO A/O Adjusted Net Capital Excess Customers' 

Date Net Capital Requirement Net Capital Seg Required 

4d(a)(2) 

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

Futures Commission Merchant / Retail Foreign 

Exchange Dealer

86 OPEN E CRY LLC FCM NFA 04/30/2011 3,446,625 1,333,707 2,112,918 90,434,711 87 OPPENHEIMER & CO INC FCM BD NFA 04/30/2011 171,286,965 26,235,700 145,051,265 27,305,469 88 OPTIONSXPRESS INC FCM BD NFA 04/30/2011 90,367,614 20,000,000 70,367,614 166,344,473 89 PENSON FUTURES FCM CBOT 04/30/2011 35,848,422 28,804,264 7,044,158 864,074,811 90 PEREGRINE FINANCIAL GROUP INC FCM NFA 04/30/2011 36,307,036 21,260,433 15,046,603 511,339,095 91 PHILLIP FUTURES INC FCM CME 04/30/2011 7,416,406 1,000,000 6,416,406 0 92 PIONEER FUTURES INC FCM NFA 04/30/2011 3,075,085 1,000,000 2,075,085 0 93 PRUDENTIAL BACHE COMMODITIES LLC FCM CBOT 04/30/2011 236,943,000 198,645,840 38,297,160 3,400,585,000 94 RAND FINANCIAL SERVICES INC FCM CME 04/30/2011 71,345,539 19,746,815 51,598,724 327,307,200 95 RAYMOND JAMES & ASSOCIATES INC FCM BD NFA 04/30/2011 377,272,611 31,258,026 346,014,585 0 96 RBC CAPITAL MARKETS LLC FCM BD CME 04/29/2011 1,132,284,539 114,527,558 1,017,756,981 412,130,350 97 RBS SECURITIES INC FCM BD CBOT 04/30/2011 1,931,511,000 278,925,000 1,652,586,000 1,938,327,000 98 RJ OBRIEN ASSOCIATES LLC FCM CME 04/30/2011 174,107,901 124,752,077 49,355,824 2,815,862,733 99 ROSENTHAL COLLINS GROUP LLC FCM CME 04/30/2011 77,397,249 55,188,744 22,208,505 1,832,840,806 

100 ROSENTHAL GLOBAL SECURITIES LLC FCM BD NFA 04/30/2011 41,729,588 1,000,000 40,729,588 0 

101 SANFORD C BERNSTEIN & CO LLC FCM BD NFA 04/30/2011 182,894,948 14,759,737 168,135,211 0 102 SANTANDER INVESTMENT SECURITIES INC FCM BD NYME 04/30/2011 207,071,061 10,686,024 196,385,037 557,036,339 103 STATE STREET GLOBAL MARKETS LLC FCM BD CME 04/30/2011 399,456,157 5,881,356 393,574,801 146,908,881 104 STEPHENS FCM BD NFA 04/30/2011 75,275,722 12,734,264 62,541,458 0 105 STERLING COMMODITIES CORP FCM NYME 04/30/2011 8,693,548 1,000,000 7,693,548 31,366,238 106 STRAITS FINANCIAL LLC FCM CME 04/30/2011 6,979,644 1,000,000 5,979,644 1,443,739 107 TCA FUTURES LLC FCM NFA 04/30/2011 1,599,493 1,000,000 599,493 0 108 TD AMERITRADE INC FCM BD NFA 04/30/2011 335,346,988 1,000,000 334,346,988 0 109 TENCO INC FCM CBOT 04/30/2011 53,874,609 13,919,744 39,954,865 305,910,159 110 TIMBER HILL LLC FCM BD CME 04/30/2011 1,026,060,931 52,670,836 973,390,095 674,775,320 111 TOWER RESEARCH CAPITAL EUROPE LLC FCM NFA 04/30/2011 3,576,457 1,000,000 2,576,457 0 

112 TRADELINK LLC FCM BD CBOT 04/30/2011 25,428,540 1,000,000 24,428,540 0 113 TRADESTATION FOREX INC. RFED NFA 04/30/2011 21,767,519 21,076,815 690,704 0 114 TRADESTATION SECURITIES INC FCM BD NFA 04/30/2011 60,052,065 3,622,822 56,429,243 427,738,495 115 TRADITION SECURITIES AND FUTURES INC FCM NFA 04/29/2011 1,541,528 1,000,000 541,528 0 116 TRILAND USA INC FCM NYME 04/30/2011 39,057,628 14,004,858 25,052,770 214,973,309 117 UBS FINANCIAL SERVICES INC FCM BD NFA 04/30/2011 1,268,218,966 101,895,855 1,166,323,111 208,128,247 118 UBS SECURITIES LLC FCM BD CBOT 04/30/2011 11,615,633,380 973,669,295 10,641,964,085 10,256,938,242 119 VELOCITY FUTURES LLC FCM NFA 04/30/2011 1,834,754 1,000,000 834,754 71,700,880 120 VISION FINANCIAL MARKETS LLC FCM BD CME 04/29/2011 20,577,752 10,998,469 9,579,283 440,782,219 121 WALL STREET DERIVATIVES INC FCM NFA 04/30/2011 1,517,905 1,000,000 517,905 0 122 WELLS FARGO ADVISORS FINANCIAL NETWORK LLC FCM BD NFA 04/30/2011 46,873,627 4,968,366 41,905,261 0 123 WELLS FARGO ADVISORS LLC FCM BD NFA 04/30/2011 720,238,093 1,500,000 718,738,093 0 124 WELLS FARGO SECURITIES LLC FCM BD CME 04/30/2011 824,853,056 25,637,523 799,215,533 0 125 WHITE COMMERCIAL CORPORATION FCM NFA 04/30/2011 2,442,517 1,000,000 1,442,517 0 126 YORK BUSINESS ASSOCIATES LLC FCM NFA 04/30/2011 2,455,682 1,000,000 1,455,682 72,923,324 

Totals 171,506,298,095 
SELECTED FCM FINANCIAL DATA AS OF 

April 30, 2011

FROM REPORTS FILED BY 

May 31, 2011

Reg As DSRO A/O Adjusted Net Capital Excess Customers' 

Date Net Capital Requirement Net Capital Seg Required 

4d(a)(2) 

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

Futures Commission Merchant / Retail Foreign 

Exchange Dealer

March Web Page Update 127Additions 0NoneDeletions 1FARR FINANCIAL INCName ChangeNoneApril Web Page Update 126(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 eaccounts 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. (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 into a rfor the 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: DCIO@cft(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 • the amount of capital required by a registered futures association (currently NFA is the only such association); or• 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 obligation 

(d): Excess net capital is adjusted net capital, less the firm's net capital requirement.*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.