SELECTED FCM FINANCIAL DATA AS OF 

July 31, 2009

FROM REPORTS FILED BY 

August 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 07/31/2009 9,150,558 500,000 8,650,558 2 ACM USA LLC N NFA 07/31/2009 780,486 500,000 280,486 3 ADM INVESTOR SERVICES INC N CBOT 07/31/2009 163,715,027 78,606,337 85,108,690 

4 ADVANCED MARKETS LLC N NFA 07/31/2009 20,695,075 20,000,000 695,075 5 ADVANTAGE FUTURES LLC N CME 07/31/2009 15,263,515 5,730,678 9,532,837 

6 AIG CLEARING CORPORATION N NYME 07/31/2009 225,385,974 1,079,100 224,306,874 7 ALARON TRADING CORPORATION N NFA 07/31/2009 1,431,448 500,000 931,448 8 ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC* Y NFA 06/30/2009 20,380,910 6,459,884 13,921,026 9 ALPARI (US) LLC N NFA 07/31/2009 21,245,007 20,000,000 1,245,007 

10 AMERIPRISE ADVISOR SERVICES INC Y NFA 07/31/2009 77,724,296 6,178,874 71,545,422 11 BANC OF AMERICA SECURITIES LLC Y CME 07/31/2009 2,554,401,591 97,240,581 2,457,161,010 

12 BARCLAYS CAPITAL INC Y NYME 07/31/2009 6,059,885,217 506,660,722 5,553,224,495 13 BGC FINANCIAL LP Y NFA 07/31/2009 47,774,033 500,000 47,274,033 14 BNP PARIBAS COMMODITY FUTURES INC N NYME 07/31/2009 272,186,335 222,664,492 49,521,843 15 BNP PARIBAS SECURITIES CORP Y CBOT 07/31/2009 1,388,952,446 81,884,487 1,307,067,959 

16 CADENT FINANCIAL SERVICES LLC N CME 07/31/2009 2,384,593 2,374,351 10,242 

17 CANTOR FITZGERALD & CO Y CBOT 07/31/2009 197,920,230 3,402,679 194,517,551 18 CAPITAL MARKET SERVICES LLC N NFA 07/31/2009 25,682,836 20,000,000 5,682,836 

19 CIBC WORLD MARKETS CORP Y CME 07/31/2009 1,270,370,697 1,500,000 1,268,870,697 

20 CITIGROUP GLOBAL MARKETS INC Y CBOT 07/31/2009 9,190,137,529 732,109,188 8,458,028,341 21 COMMONWEALTH FOREIGN EXCHANGE INC N NFA 07/31/2009 970,102 500,000 470,102 22 COUNTRY HEDGING INC N NFA 07/31/2009 14,564,702 7,720,097 6,844,605 

23 CREDIT SUISSE SECURITIES (USA) LLC Y CBOT 07/31/2009 9,688,953,070 606,794,421 9,082,158,649 24 CROSSLAND LLC N CBOT 07/31/2009 5,787,623 4,453,878 1,333,745 

25 CUNNINGHAM COMMODITIES LLC N CBOT 07/31/2009 3,408,769 500,000 2,908,769 26 CX CAPITAL MARKETS LLC N NFA 07/31/2009 786,449 500,000 286,449 27 DAIWA SECURITIES AMERICA INC Y CME 07/31/2009 260,192,145 1,056,951 259,135,194 28 DEUTSCHE BANK SECURITIES INC Y CBOT 07/31/2009 7,417,945,774 456,365,534 6,961,580,240 29 DORMAN TRADING LLC N CME 07/31/2009 8,151,998 804,911 7,347,087 30 EAGLE MARKET MAKERS INC N CBOT 07/31/2009 6,379,226 500,000 5,879,226 

31 EASY FOREX US LTD N NFA 07/31/2009 20,712,028 20,000,000 712,028 32 ELECTRONIC BROKERAGE SYSTEMS LLC Y NFA 07/31/2009 9,565,058 542,598 9,022,460 33 ENSKILDA FUTURES LTD N CME 07/31/2009 23,744,716 11,512,933 12,231,783 

34 FARR FINANCIAL INC N NFA 07/31/2009 933,016 582,277 350,739 35 FCSTONE LLC N CME 07/31/2009 74,822,456 36,371,187 38,451,269 36 FOREX CAPITAL MARKETS LLC N NFA 07/31/2009 65,161,426 20,000,000 45,161,426 

37 FOREX CLUB FINANCIAL COMPANY INC N NFA 07/31/2009 24,640,392 20,000,000 4,640,392 38 FORTIS CLEARING AMERICAS LLC Y CBOT 07/31/2009 200,776,925 50,215,133 150,561,792 

39 FRIEDBERG MERCANTILE GROUP INC N NFA 07/31/2009 3,371,710 500,000 2,871,710 40 FRONTIER FUTURES INC N NFA 07/31/2009 1,183,270 646,924 536,346 41 FUTURES TECH LLC N NFA 07/31/2009 875,052 500,000 375,052 
SELECTED FCM FINANCIAL DATA AS OF 

July 31, 2009

FROM REPORTS FILED BY 

August 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 FX SOLUTIONS LLC N NFA 07/31/2009 47,266,539 20,000,000 27,266,539 43 GAIN CAPITAL GROUP LLC N NFA 07/31/2009 87,048,766 20,000,000 67,048,766 44 GENESIS FUTURES LLC N NFA 07/31/2009 762,958 500,000 262,958 45 GFS FOREX & FUTURES INC N NFA 07/31/2009 3,719,623 500,000 3,219,623 46 GILDER GAGNON HOWE & CO LLC Y NFA 07/31/2009 16,159,429 500,000 15,659,429 47 GLOBAL FUTURES & FOREX LTD N NFA 07/31/2009 85,132,157 20,000,000 65,132,157 

48 GOLDMAN SACHS & CO Y CBOT 07/31/2009 13,728,990,587 1,864,711,393 11,864,279,194 

49 GOLDMAN SACHS EXECUTION & CLEARING LP Y CME 07/31/2009 1,877,564,819 92,714,872 1,784,849,947 50 HOTSPOT FXR LLC N NFA 07/31/2009 6,224,997 500,000 5,724,997 51 HSBC SECURITIES USA INC Y CME 07/31/2009 1,410,634,952 76,245,328 1,334,389,624 

52 I TRADE FX LLC N NFA 07/31/2009 1,156,672 500,000 656,672 53 ICAP FUTURES LLC N NFA 07/31/2009 14,614,291 500,000 14,114,291 54 IG MARKETS INC N NFA 07/31/2009 30,938,067 20,000,000 10,938,067 55 IKON GLOBAL MARKETS INC N NFA 07/31/2009 20,391,084 20,000,000 391,084 

56 INSTINET LLC Y NFA 07/31/2009 112,626,631 1,500,000 111,126,631 57 INTEGRATED BROKERAGE SERVICES LLC N NFA 07/31/2009 1,385,438 500,000 885,438 58 INTERACTIVE BROKERS LLC Y NFA 07/31/2009 734,800,532 68,757,865 666,042,667 59 INTERBANK FX LLC N NFA 07/31/2009 35,183,101 20,000,000 15,183,101 60 ITG DERIVATIVES LLC Y NFA 07/31/2009 2,970,158 500,000 2,470,158 61 JP MORGAN CLEARING CORP Y CME 07/31/2009 5,307,290,278 1,483,978,002 3,823,312,276 62 JP MORGAN FUTURES INC N NYME 07/31/2009 2,186,583,338 1,158,959,673 1,027,623,665 

63 JP MORGAN SECURITIES INC Y NFA 07/31/2009 7,706,741,123 558,684,484 7,148,056,639 64 LADENBURG THALMANN & CO INC Y NFA 07/31/2009 4,025,344 500,000 3,525,344 65 LEK SECURITIES CORPORATION Y NFA 07/31/2009 12,958,476 1,515,362 11,443,114 

66 LIMESTONE TRADING LLC N NFA 07/31/2009 14,049,789 500,000 13,549,789 67 LINN GROUP THE N NFA 07/31/2009 2,165,607 630,702 1,534,905 68 LPL FINANCIAL CORPORATION Y NFA 07/31/2009 111,840,204 5,707,288 106,132,916 69 MACQUARIE FUTURES USA INC N CBOT 07/31/2009 75,176,527 37,547,436 37,629,091 

70 MAREX USA LIMITED N NFA 07/31/2009 746,851 500,000 246,851 

71 MB TRADING FUTURES INC N NFA 07/31/2009 21,703,719 20,000,000 1,703,719 72 MBF CLEARING CORP N NYME 07/31/2009 8,156,719 1,555,579 6,601,140 

73 MCVEAN TRADING & INVESTMENTS LLC N NFA 07/31/2009 7,924,370 1,998,523 5,925,847 74 MERRILL LYNCH PIERCE FENNER & SMITH Y CBOT 07/31/2009 5,085,068,038 618,747,908 4,466,320,130 75 MERRILL LYNCH PROFESSIONAL CLEARING CORP Y NFA 07/31/2009 1,144,037,691 84,483,927 1,059,553,764 

76 MF GLOBAL INC Y CME 07/31/2009 617,952,547 351,070,339 266,882,208 77 MG FINANCIAL LLC N NFA 07/31/2009 5,025,929 500,000 4,525,929 78 MID CO COMMODITIES INC N NFA 07/31/2009 11,404,290 2,274,038 9,130,252 79 MITSUBISHI UFJ SECURITIES USA INC Y NFA 07/31/2009 70,147,053 1,177,661 68,969,392 

80 MITSUI BUSSAN COMMODITIES USA INC N NYME 07/31/2009 7,307,819 2,377,990 4,929,829 81 MIZUHO SECURITIES USA INC Y CME 07/31/2009 320,780,134 49,477,809 271,302,325 

82 MORGAN KEEGAN & COMPANY INC Y NFA 07/31/2009 375,925,539 9,005,807 366,919,732 83 MORGAN STANLEY & CO INCORPORATED Y CME 07/31/2009 9,960,598,769 919,001,329 9,041,597,440 
SELECTED FCM FINANCIAL DATA AS OF 

July 31, 2009

FROM REPORTS FILED BY 

August 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 SMITH BARNEY LLC Y NFA 07/31/2009 165,422,344 500,000 164,922,344 85 NATIXIS SECURITIES NORTH AMERICA INC Y NFA 07/31/2009 220,048,279 500,000 219,548,279 

86 NEUBERGER BERMAN LLC Y NFA 07/31/2009 55,328,306 1,500,000 53,828,306 

87 NEWEDGE USA LLC Y NYME 07/31/2009 2,424,571,690 1,297,396,911 1,127,174,779 

88 NOMURA SECURITIES INTERNATIONAL INC Y CBOT 07/31/2009 727,478,473 5,593,441 721,885,032 89 OANDA CORPORATION N NFA 07/31/2009 162,004,186 20,000,000 142,004,186 90 OPEN E CRY LLC N NFA 07/31/2009 2,980,470 853,522 2,126,948 

91 OPPENHEIMER & CO INC Y NFA 07/31/2009 165,333,265 20,939,800 144,393,465 

92 OPTIONSXPRESS INC Y NFA 07/31/2009 82,502,206 9,513,273 72,988,933 93 PENSON GHCO N CBOT 07/31/2009 21,279,749 14,124,041 7,155,708 94 PEREGRINE FINANCIAL GROUP INC N NFA 07/31/2009 32,496,349 20,000,000 12,496,349 

95 PIONEER FUTURES INC N NYME 07/31/2009 1,246,834 500,000 746,834 96 PRUDENTIAL BACHE COMMODITIES LLC N CBOT 07/31/2009 236,027,000 178,321,040 57,705,960 97 PUMA FINANCIAL LLC N NFA 07/31/2009 1,174,210 750,000 424,210 

98 RAND FINANCIAL SERVICES INC N CME 07/31/2009 57,213,294 7,527,430 49,685,864 

99 RAYMOND JAMES & ASSOCIATES INC Y NFA 07/31/2009 304,820,076 25,442,851 279,377,225 

100 RBC CAPITAL MARKETS CORPORATION Y CME 07/31/2009 1,098,264,149 111,978,675 986,285,474 

101 RBS SECURITIES INC Y CBOT 07/31/2009 2,082,426,000 173,846,000 1,908,580,000 

102 RJ OBRIEN ASSOCIATES LLC N CME 07/31/2009 108,548,310 61,853,318 46,694,992 103 ROBBINS FUTURES INC N NFA 07/31/2009 573,830 500,000 73,830 104 ROSENTHAL COLLINS GROUP LLC N CME 07/31/2009 56,169,174 34,645,912 21,523,262 105 ROSENTHAL GLOBAL SECURITIES LLC Y NFA 07/31/2009 46,536,001 988,526 45,547,475 106 SANFORD C BERNSTEIN & CO LLC Y NFA 07/31/2009 145,884,392 9,421,451 136,462,941 107 SANTANDER INVESTMENT SECURITIES INC Y NFA 07/31/2009 79,492,485 821,239 78,671,246 108 SHAY GRAIN CLEARING COMPANY N KCBT 07/31/2009 2,570,117 704,343 1,865,774 109 SMW TRADING COMPANY INC N CME 07/31/2009 32,491,391 500,000 31,991,391 

110 STEPHENS INC Y NFA 07/31/2009 59,289,832 11,364,782 47,925,050 111 STERLING COMMODITIES CORP N NYME 07/31/2009 8,208,936 634,123 7,574,813 112 TCA FUTURES LLC N NFA 07/31/2009 849,962 500,000 349,962 113 TD AMERITRADE INC Y NFA 07/31/2009 160,610,462 500,000 160,110,462 114 TENCO INC N CBOT 07/31/2009 45,995,057 7,117,550 38,877,507 

115 TERRA NOVA FINANCIAL LLC Y NFA 07/31/2009 11,837,510 1,500,000 10,337,510 116 TIMBER HILL LLC Y CME 07/31/2009 1,191,266,821 20,061,539 1,171,205,282 

117 TOWER RESEARCH CAPITAL EUROPE LLC N NFA 07/31/2009 2,546,049 500,000 2,046,049 118 TRADELINK LLC Y CBOT 07/31/2009 24,723,951 500,000 24,223,951 119 TRADESTATION SECURITIES INC Y NFA 07/31/2009 93,642,589 1,647,072 91,995,517 

120 TRADITION SECURITIES AND FUTURES INC N NFA 07/31/2009 801,825 500,000 301,825 

121 TRANSMARKET GROUP LLC Y CBOT 07/31/2009 14,711,435 500,000 14,211,435 122 TRILAND USA INC N NYME 07/31/2009 41,890,773 10,830,395 31,060,378 

123 UBS FINANCIAL SERVICES INC Y NFA 07/31/2009 911,229,296 89,681,792 821,547,504 124 UBS SECURITIES LLC Y CBOT 07/31/2009 12,886,163,035 993,767,282 11,892,395,753 125 VELOCITY FUTURES LLC N NFA 07/31/2009 1,005,681 500,000 505,681 
SELECTED FCM FINANCIAL DATA AS OF 

July 31, 2009

FROM REPORTS FILED BY 

August 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 07/31/2009 23,705,519 7,792,300 15,913,219 127 WELLS FARGO ADVISORS FINANCIAL NETWORK LLC Y NFA 07/31/2009 17,598,304 2,854,295 14,744,009 128 WELLS FARGO ADVISORS LLC Y NFA 07/31/2009 695,490,095 1,500,000 693,990,095 129 WELLS FARGO SECURITIES LLC Y CME 07/31/2009 2,144,580,876 1,000,000 2,143,580,876 130 WHITE COMMERCIAL CORPORATION N NFA 07/31/2009 2,249,695 500,000 1,749,695 131 WSD FINANCIAL USA INC N NFA 07/31/2009 1,251,620 500,000 751,620 132 YORK BUSINESS ASSOCIATES LLC N NFA 07/31/2009 1,489,601 500,000 989,601 

Totals 
SELECTED FCM FINANCIAL DATA AS OF 

July 31, 2009

FROM REPORTS FILED BY 

August 31, 2009

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

Futures Commission Merchant Date Net Capital Requirement Net Capital 

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

June Web Page Update 133Additions 0NoneDeletionsODL SECURITIES INC 1Name ChangeFROM WACHOVIA CAPITAL MARKETS LLC TO WELLS FARGO SECURTIES LLCJuly 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 

July 31, 2009

FROM REPORTS FILED BY 

August 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.