SELECTED FCM FINANCIAL DATA AS OF 

January 31, 2011

FROM REPORTS FILED BY 

March 04, 2011

Reg As DSRO A/O Adjusted Net Capital Excess Custome

Date Net Capital Requirement Net Capital Seg Requi

4d(a)(2) 

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

1 ABN AMRO CLEARING CHICAGO LLC FCM BD CBOT 01/31/2011 198,679,592 94,858,879 103,820,713 1,573,432 ADM INVESTOR SERVICES INC FCM CBOT 01/31/2011 295,666,132 169,386,519 126,279,613 2,499,37

3 ADVANCED MARKETS LLC RFED NFA 01/31/2011 20,107,817 20,000,000 107,817 4 ADVANTAGE FUTURES LLC FCM CME 01/31/2011 21,559,218 12,306,677 9,252,541 393,735 ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC * FCM BD NFA 12/31/2010 74,553,831 11,501,943 63,051,888 

6 ALPARI (US) LLC RFED NFA 01/31/2011 21,394,225 20,000,000 1,394,225 7 AMERIPRISE FINANCIAL SERVICES INC FCM BD NFA 01/31/2011 108,803,603 1,000,000 107,803,603 8 AMP GLOBAL CLEARING LLC FCM NFA 01/31/2011 1,408,528 1,000,000 408,528 23,079 BARCLAYS CAPITAL INC FCM BD NYME 01/31/2011 6,277,078,372 693,863,436 5,583,214,936 5,083,22

10 BGC FINANCIAL LP FCM BD NFA 01/31/2011 64,572,945 1,000,000 63,572,945 11 BNP PARIBAS COMMODITY FUTURES INC FCM NYME 01/31/2011 348,389,887 226,130,935 122,258,952 1,382,10

12 BNP PARIBAS SECURITIES CORP FCM BD CBOT 01/31/2011 1,508,004,333 72,233,531 1,435,770,802 442,2813 BNY MELLON CLEARING LLC FCM CME 01/31/2011 77,633,124 4,612,118 73,021,006 1,1314 CANTOR FITZGERALD & CO FCM BD CBOT 01/31/2011 200,228,563 15,533,799 184,694,764 2,8215 CAPITAL MARKET SERVICES LLC RFED NFA 01/31/2011 2,182,314 1,000,000 1,182,314 16 CIBC WORLD MARKETS CORP FCM BD CME 01/31/2011 460,229,428 1,500,000 458,729,428 17 CITADEL SECURITIES LLC FCM BD CME 01/31/2011 448,340,536 1,000,000 447,340,536 18 CITIGROUP GLOBAL MARKETS INC FCM BD CBOT 01/31/2011 9,097,357,484 687,378,982 8,409,978,502 9,938,0419 COMMONWEALTH FOREIGN EXCHANGE INC FCM NFA 01/31/2011 1,682,851 1,000,000 682,851 20 COMPASS PROFESSIONAL SERVICES LLC FCM BD NFA 01/31/2011 3,608,601 1,000,000 2,608,601 

21 COUNTRY HEDGING INC FCM NFA 01/31/2011 27,317,814 20,371,383 6,946,431 170,4722 CREDIT SUISSE SECURITIES (USA) LLC FCM BD CBOT 01/31/2011 8,268,282,504 942,830,053 7,325,452,451 4,854,72

23 CROSSLAND LLC FCM CBOT 01/31/2011 10,720,022 8,206,912 2,513,110 87,224 CUNNINGHAM COMMODITIES LLC FCM CBOT 01/31/2011 3,202,927 1,000,000 2,202,927 42,9625 CX CAPITAL MARKETS LLC FCM NFA 01/31/2011 2,310,461 1,000,000 1,310,461 24,9326 DAIWA CAPITAL MARKETS AMERICA INC FCM BD CME 01/31/2011 309,157,810 1,212,683 307,945,127 5,8627 DEUTSCHE BANK SECURITIES INC FCM BD CBOT 01/31/2011 6,106,793,393 591,214,025 5,515,579,368 14,511,6328 DORMAN TRADING LLC FCM CME 01/31/2011 7,365,062 1,000,000 6,365,062 98,5029 EAGLE MARKET MAKERS INC FCM CBOT 01/31/2011 5,796,666 1,000,000 4,796,666 5,86

30 EASY FOREX US LTD FCM NFA 01/31/2011 1,977,591 1,000,000 977,591 

31 ELECTRONIC BROKERAGE SYSTEMS LLC FCM BD NFA 01/31/2011 7,279,872 1,200,288 6,079,584 

32 ENSKILDA FUTURES LTD FCM CME 01/31/2011 29,579,070 19,298,979 10,280,091 285,7333 FARR FINANCIAL INC FCM NFA 01/31/2011 2,002,334 1,000,000 1,002,334 34 FCSTONE LLC FCM CME 01/31/2011 102,650,009 80,707,648 21,942,361 1,307,6735 FOREX CAPITAL MARKETS LLC RFED NFA 01/31/2011 82,814,927 26,507,031 56,307,896 36 FOREX CLUB LLC RFED NFA 01/31/2011 20,461,290 20,000,000 461,290 37 FRIEDBERG MERCANTILE GROUP INC FCM NFA 01/31/2011 3,438,670 1,000,000 2,438,670 8,0838 FRONTIER FUTURES INC FCM NFA 01/31/2011 1,851,291 1,352,132 499,159 27,9539 FUTURES TECH LLC FCM NFA 01/31/2011 1,583,790 1,000,000 583,790 40 FX SOLUTIONS LLC RFED NFA 01/31/2011 35,957,794 20,593,531 15,364,263 41 FXDIRECTDEALER LLC RFED NFA 01/31/2011 22,164,798 21,507,061 657,737 42 GAIN CAPITAL GROUP LLC RFED NFA 01/31/2011 49,689,886 26,618,327 23,071,559 43 GLOBAL FUTURES & FOREX LTD RFED NFA 01/31/2011 76,364,277 23,937,079 52,427,198 37

Futures Commission Merchant / Retail Foreign Exchange 

Dealer
SELECTED FCM FINANCIAL DATA AS OF 

January 31, 2011

FROM REPORTS FILED BY 

March 04, 2011

Reg As DSRO A/O Adjusted Net Capital Excess Custome

Date Net Capital Requirement Net Capital Seg Requi

4d(a)(2) 

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

Futures Commission Merchant / Retail Foreign Exchange 

Dealer

44 GOLDMAN SACHS & CO FCM BD CBOT 01/31/2011 12,516,165,487 1,907,081,822 10,609,083,665 20,307,7145 GOLDMAN SACHS EXECUTION & CLEARING LP FCM BD CME 01/31/2011 1,981,355,570 145,634,564 1,835,721,006 1,192,9946 HSBC SECURITIES USA INC FCM BD CME 01/31/2011 1,075,712,759 86,713,661 988,999,098 911,7247 ICAP FUTURES LLC FCM NFA 01/31/2011 7,527,185 1,000,000 6,527,185 48 IG MARKETS INC FCM NFA 01/31/2011 28,921,224 20,000,000 8,921,224 1549 IKON GLOBAL MARKETS INC FCM NFA 01/31/2011 15,596,414 1,000,000 14,596,414 19,9050 INSTINET LLC FCM BD NFA 01/31/2011 114,520,300 2,841,136 111,679,164 51 INSTITUTIONAL LIQUIDITY LLC FCM NFA 01/31/2011 20,980,046 20,000,000 980,046 52 INTEGRATED BROKERAGE SERVICES LLC FCM NFA 01/31/2011 1,693,672 1,000,000 693,672 53 INTERACTIVE BROKERS LLC FCM BD NFA 01/31/2011 1,130,890,975 173,529,271 957,361,704 648,9954 INTERBANK FX LLC RFED NFA 01/31/2011 24,921,104 21,228,716 3,692,388 55 IRONBEAM INC FCM NFA 01/31/2011 1,978,159 1,000,000 978,159 42,10

56 ITG DERIVATIVES LLC FCM BD NFA 01/31/2011 5,197,490 1,000,000 4,197,490 

57 JP MORGAN CLEARING CORP FCM BD CME 01/31/2011 5,755,822,529 1,837,704,635 3,918,117,894 574,4858 JP MORGAN FUTURES INC FCM NYME 01/31/2011 2,360,243,062 1,314,143,260 1,046,099,802 15,673,6859 JP MORGAN SECURITIES LLC FCM BD NFA 01/31/2011 7,152,892,615 586,461,407 6,566,431,208 60 LEK SECURITIES CORPORATION FCM BD NFA 01/31/2011 10,162,368 1,500,000 8,662,368 2561 LIMESTONE TRADING LLC FCM NFA 01/31/2011 5,167,311 1,000,000 4,167,311 62 LINN GROUP THE FCM NFA 01/31/2011 2,543,756 1,261,202 1,282,554 34,7863 LPL FINANCIAL LLC FCM BD NFA 01/31/2011 185,337,846 5,481,675 179,856,171 64 MACQUARIE FUTURES USA INC FCM CBOT 01/31/2011 126,148,000 62,043,883 64,104,117 867,2365 MAREX NORTH AMERICA LLC FCM CME 01/31/2011 11,881,610 3,544,795 8,336,815 53,5766 MAREX USA LIMITED FCM NFA 01/31/2011 2,700,922 1,000,000 1,700,922 67 MB TRADING FUTURES INC RFED NFA 01/31/2011 23,778,298 21,267,858 2,510,440 68 MBF CLEARING CORP FCM NYME 01/31/2011 9,341,620 1,193,311 8,148,309 81,4469 MCVEAN TRADING & INVESTMENTS LLC FCM NFA 01/31/2011 11,021,788 4,543,863 6,477,925 772,20

70 MERRILL LYNCH PIERCE FENNER & SMITH FCM BD CBOT 01/31/2011 9,496,940,958 733,938,266 8,763,002,692 9,179,8271 MERRILL LYNCH PROFESSIONAL CLEARING CORP FCM BD NFA 01/31/2011 2,398,002,087 187,180,843 2,210,821,244 859,77

72 MF GLOBAL INC FCM BD CME 01/31/2011 511,297,056 407,467,600 103,829,456 7,945,6973 MID CO COMMODITIES INC FCM NFA 01/31/2011 14,803,542 9,721,870 5,081,672 49,4374 MITSUBISHI UFJ SECURITIES USA INC FCM BD NFA 01/31/2011 117,877,760 1,279,639 116,598,121 75 MITSUI BUSSAN COMMODITIES USA INC FCM NFA 01/31/2011 2,544,319 1,000,000 1,544,319 

76 MIZUHO SECURITIES USA INC FCM BD CME 01/31/2011 432,490,511 72,907,874 359,582,637 799,5577 MORGAN KEEGAN & COMPANY INC FCM BD NFA 01/31/2011 470,798,441 9,698,159 461,100,282 

78 MORGAN STANLEY & CO INCORPORATED FCM BD CME 01/31/2011 7,096,544,405 1,120,393,449 5,976,150,956 4,798,7279 MORGAN STANLEY SMITH BARNEY LLC FCM BD NFA 01/31/2011 1,119,400,516 40,349,102 1,079,051,414 604,8980 NATIXIS SECURITIES NORTH AMERICA INC FCM BD NFA 01/31/2011 221,575,424 1,000,000 220,575,424 81 NEUBERGER BERMAN LLC FCM BD NFA 01/31/2011 36,108,378 1,500,000 34,608,378 82 NEWEDGE USA LLC FCM BD NYME 01/31/2011 2,193,369,250 1,491,936,900 701,432,350 22,235,3683 NOMURA SECURITIES INTERNATIONAL INC FCM BD CBOT 01/31/2011 2,245,318,484 24,068,462 2,221,250,022 79,1584 OANDA CORPORATION RFED NFA 01/31/2011 169,095,436 27,806,288 141,289,148 85 OPEN E CRY LLC FCM NFA 01/31/2011 2,643,620 1,000,000 1,643,620 83,7886 OPPENHEIMER & CO INC FCM BD NFA 01/31/2011 168,592,263 23,839,344 144,752,919 25,44
SELECTED FCM FINANCIAL DATA AS OF 

January 31, 2011

FROM REPORTS FILED BY 

March 04, 2011

Reg As DSRO A/O Adjusted Net Capital Excess Custome

Date Net Capital Requirement Net Capital Seg Requi

4d(a)(2) 

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

Futures Commission Merchant / Retail Foreign Exchange 

Dealer

87 OPTIONSXPRESS INC FCM BD NFA 01/31/2011 84,189,139 10,279,726 73,909,413 93,69

88 PENSON FUTURES FCM CBOT 01/31/2011 36,459,755 29,362,725 7,097,030 772,1589 PEREGRINE FINANCIAL GROUP INC FCM NFA 01/31/2011 36,382,583 21,386,789 14,995,794 482,4890 PIONEER FUTURES INC FCM NFA 01/31/2011 2,309,050 1,000,000 1,309,050 91 PRUDENTIAL BACHE COMMODITIES LLC FCM CBOT 01/31/2011 235,901,000 201,740,480 34,160,520 2,981,9092 RAND FINANCIAL SERVICES INC FCM CME 01/31/2011 71,667,976 15,212,759 56,455,217 228,4693 RAYMOND JAMES & ASSOCIATES INC FCM BD NFA 01/31/2011 381,906,330 27,932,979 353,973,351 

94 RBC CAPITAL MARKETS LLC FCM BD CME 01/31/2011 1,393,589,803 102,945,089 1,290,644,714 359,4995 RBS SECURITIES INC FCM BD CBOT 01/31/2011 1,488,395,000 221,748,000 1,266,647,000 1,763,1696 RJ OBRIEN ASSOCIATES LLC FCM CME 01/31/2011 145,782,925 112,014,859 33,768,066 2,251,90

97 ROSENTHAL COLLINS GROUP LLC FCM CME 01/31/2011 75,722,171 57,322,588 18,399,583 1,522,9798 ROSENTHAL GLOBAL SECURITIES LLC FCM BD NFA 01/31/2011 44,570,866 1,000,000 43,570,866 99 SANFORD C BERNSTEIN & CO LLC FCM BD NFA 01/31/2011 171,368,483 14,496,597 156,871,886 

100 SANTANDER INVESTMENT SECURITIES INC FCM BD NYME 01/31/2011 184,557,516 10,352,308 174,205,208 437,66

101 STATE STREET GLOBAL MARKETS LLC FCM BD CME 01/31/2011 399,209,741 2,960,119 396,249,622 11,13102 STEPHENS FCM BD NFA 01/31/2011 79,421,488 11,126,249 68,295,239 103 STERLING COMMODITIES CORP FCM NYME 01/31/2011 8,314,585 1,000,000 7,314,585 32,9104 TCA FUTURES LLC FCM NFA 01/31/2011 1,581,266 1,000,000 581,266 105 TD AMERITRADE INC FCM BD NFA 01/31/2011 256,727,616 1,000,000 255,727,616 106 TENCO INC FCM CBOT 01/31/2011 55,667,027 15,432,133 40,234,894 317,90107 TIMBER HILL LLC FCM BD CME 01/31/2011 1,084,848,386 44,518,111 1,040,330,275 518,54108 TOWER RESEARCH CAPITAL EUROPE LLC FCM NFA 01/31/2011 7,872,843 1,000,000 6,872,843 109 TRADELINK LLC FCM BD CBOT 01/31/2011 30,470,936 1,000,000 29,470,936 110 TRADESTATION FOREX INC RFED NFA 01/31/2011 22,724,775 20,000,000 2,724,775 111 TRADESTATION SECURITIES INC FCM BD NFA 01/31/2011 68,329,894 3,082,083 65,247,811 398,68112 TRADITION SECURITIES AND FUTURES INC FCM NFA 01/31/2011 1,541,184 1,000,000 541,184 113 TRILAND USA INC FCM NYME 01/31/2011 22,656,549 15,909,474 6,747,075 198,15114 UBS FINANCIAL SERVICES INC FCM BD NFA 01/31/2011 1,339,189,523 91,262,548 1,247,926,975 309,58115 UBS SECURITIES LLC FCM BD CBOT 01/31/2011 11,350,611,421 935,778,622 10,414,832,799 10,318,69116 VELOCITY FUTURES LLC FCM NFA 01/31/2011 1,545,594 1,000,000 545,594 66,29117 VISION FINANCIAL MARKETS LLC FCM BD CME 01/31/2011 20,296,462 7,481,624 12,814,838 359,22118 WALL STREET DERIVATIVES INC FCM NFA 01/31/2011 1,483,285 1,000,000 483,285 

119 WELLS FARGO ADVISORS FINANCIAL NETWORK LLC FCM BD NFA 01/31/2011 50,259,426 4,934,773 45,324,653 120 WELLS FARGO ADVISORS LLC FCM BD NFA 01/31/2011 1,299,313,035 1,500,000 1,297,813,035 121 WELLS FARGO SECURITIES LLC FCM BD CME 01/31/2011 921,786,447 6,759,445 915,027,002 122 WHITE COMMERCIAL CORPORATION FCM NFA 01/31/2011 2,412,814 1,000,000 1,412,814 123 YORK BUSINESS ASSOCIATES LLC FCM NFA 01/31/2011 2,194,684 1,000,000 1,194,684 67,18

Totals 154,106,38
SELECTED FCM FINANCIAL DATA AS OF 

January 31, 2011

FROM REPORTS FILED BY 

March 04, 2011

Reg As DSRO A/O Adjusted Net Capital Excess Custome

Date Net Capital Requirement Net Capital Seg Requi

4d(a)(2) 

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

Futures Commission Merchant / Retail Foreign Exchange 

Dealer

December Web Page Update 122Additions 1TRADESTATION FOREX INCDeletions 0Name ChangeFOREX CLUB FINANCIAL COMPANY INCto FOREX CLUB LLCLPL FINANCIAL CORPORATIONto LPL FINANCIAL LLCJanuary Web Page Update 123(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 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

• 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 obliga

(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 transactaccounts that contain a net liquidating equity.

• the amount of capital required by a registered futures association (currently NFA is the only such association); or

*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.(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