SELECTED FCM FINANCIAL DATA AS OF 

August 31, 2010

FROM REPORTS FILED BY 

September 30, 2010

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

Futures Commission Merchant Date Net Capital Requirement Net Capital Se

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

1 ABN AMRO CLEARING CHICAGO LLC Y CBOT 08/31/2010 226,014,838 66,576,535 159,438,303 

2 ADM INVESTOR SERVICES INC N CBOT 08/31/2010 188,364,836 114,910,770 73,454,066 

3 ADVANCED MARKETS LLC N NFA 08/31/2010 20,770,340 20,000,000 770,340 4 ADVANTAGE FUTURES LLC N CME 08/31/2010 22,550,280 8,849,097 13,701,183 

5 ADVANTAGE SECURITIES LLC Y NFA 08/31/2010 4,196,416 1,000,000 3,196,416 6 ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC* Y NFA 06/30/2010 53,644,953 9,189,114 44,455,839 7 ALPARI (US) LLC N NFA 08/31/2010 20,487,317 20,000,000 487,317 8 AMERIPRISE FINANCIAL SERVICES INC Y NFA 08/31/2010 147,789,610 1,000,000 146,789,610 9 AMP GLOBAL CLEARING LLC N NFA 08/31/2010 1,311,655 1,000,000 311,655 

10 BARCLAYS CAPITAL INC Y NYME 08/31/2010 6,192,039,500 689,343,390 5,502,696,110 

11 BGC FINANCIAL LP Y NFA 08/31/2010 31,424,318 1,000,000 30,424,318 12 BNP PARIBAS COMMODITY FUTURES INC N NYME 08/31/2010 348,220,517 183,232,499 164,988,018 13 BNP PARIBAS SECURITIES CORP Y CBOT 08/31/2010 1,718,651,508 72,263,759 1,646,387,749 14 BNY MELLON CLEARING LLC N CME 08/31/2010 28,759,396 4,150,790 24,608,606 

15 CANTOR FITZGERALD & CO Y CBOT 08/31/2010 144,209,669 2,411,718 141,797,951 

16 CAPITAL MARKET SERVICES LLC N NFA 08/31/2010 27,036,027 20,255,052 6,780,975 

17 CIBC WORLD MARKETS CORP Y CME 08/31/2010 670,526,986 2,159,640 668,367,346 

18 CITADEL SECURITIES LLC Y CME 08/31/2010 384,025,513 6,093,730 377,931,783 

19 CITIGROUP GLOBAL MARKETS INC Y CBOT 08/31/2010 9,433,048,663 597,385,627 8,835,663,036 

20 COMMONWEALTH FOREIGN EXCHANGE INC N NFA 08/31/2010 1,527,083 1,000,000 527,083 21 COMPASS PROFESSIONAL SERVICES LLC Y NFA 08/31/2010 3,248,185 1,000,000 2,248,185 

22 COUNTRY HEDGING INC N NFA 08/31/2010 19,146,975 14,825,395 4,321,580 

23 CREDIT SUISSE SECURITIES (USA) LLC Y CBOT 08/31/2010 11,093,331,028 836,531,862 10,256,799,166 

24 CROSSLAND LLC N CBOT 08/31/2010 7,932,993 3,862,362 4,070,631 

25 CUNNINGHAM COMMODITIES LLC N CBOT 08/31/2010 3,356,696 1,000,000 2,356,696 

26 CX CAPITAL MARKETS LLC N NFA 08/31/2010 2,425,649 1,000,000 1,425,649 

27 DAIWA CAPITAL MARKETS AMERICA INC Y CME 08/31/2010 192,802,765 1,052,627 191,750,138 

28 DEUTSCHE BANK SECURITIES INC Y CBOT 08/31/2010 6,971,988,639 529,182,343 6,442,806,296 

29 DORMAN TRADING LLC N CME 08/31/2010 6,664,321 1,000,000 5,664,321 

30 EAGLE MARKET MAKERS INC N CBOT 08/31/2010 5,770,838 1,000,000 4,770,838 

31 EASY FOREX US LTD N NFA 08/31/2010 2,985,657 1,000,000 1,985,657 

32 ELECTRONIC BROKERAGE SYSTEMS LLC Y NFA 08/31/2010 8,272,427 1,000,000 7,272,427 

33 ENSKILDA FUTURES LTD N CME 08/31/2010 26,538,014 17,313,710 9,224,304 

34 FARR FINANCIAL INC N NFA 08/31/2010 1,736,121 1,000,000 736,121 35 FCSTONE LLC N CME 08/31/2010 68,453,963 47,632,486 20,821,477 

36 FOREX CAPITAL MARKETS LLC N NFA 08/31/2010 70,608,910 23,669,568 46,939,342 

37 FOREX CLUB FINANCIAL COMPANY INC N NFA 08/31/2010 21,778,192 20,000,000 1,778,192 38 FRIEDBERG MERCANTILE GROUP INC N NFA 08/31/2010 3,383,880 1,000,000 2,383,880 

39 FRONTIER FUTURES INC N NFA 08/31/2010 1,758,207 1,111,802 646,405 

40 FUTURES TECH LLC N NFA 08/31/2010 1,605,514 1,000,000 605,514 41 FX SOLUTIONS LLC N NFA 08/31/2010 36,411,636 20,316,403 16,095,233 
SELECTED FCM FINANCIAL DATA AS OF 

August 31, 2010

FROM REPORTS FILED BY 

September 30, 2010

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

Futures Commission Merchant Date Net Capital Requirement Net Capital Se

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

42 FXDIRECTDEALER LLC N NFA 08/31/2010 36,691,871 21,821,579 14,870,292 43 GAIN CAPITAL GROUP LLC N NFA 08/31/2010 74,378,256 25,971,612 48,406,644 44 GENESIS FUTURES LLC N NFA 08/31/2010 1,519,109 1,000,000 519,109 45 GILDER GAGNON HOWE & CO LLC Y NFA 08/31/2010 15,768,201 1,000,000 14,768,201 46 GLOBAL FUTURES & FOREX LTD N NFA 08/31/2010 79,666,373 26,357,388 53,308,985 

47 GOLDMAN SACHS & CO Y CBOT 08/31/2010 10,812,220,908 1,887,227,215 8,924,993,693 

48 GOLDMAN SACHS EXECUTION & CLEARING LP Y CME 08/31/2010 1,887,835,814 104,956,784 1,782,879,030 49 HSBC SECURITIES USA INC Y CME 08/31/2010 1,073,318,736 103,749,892 969,568,844 50 ICAP FUTURES LLC N NFA 08/31/2010 8,407,341 1,000,000 7,407,341 51 IG MARKETS INC N NFA 08/31/2010 30,322,079 20,000,000 10,322,079 52 IKON GLOBAL MARKETS INC N NFA 08/31/2010 21,831,871 20,243,477 1,588,394 53 INSTINET LLC Y NFA 08/31/2010 122,379,772 1,000,000 121,379,772 54 INTEGRATED BROKERAGE SERVICES LLC N NFA 08/31/2010 1,845,018 1,000,000 845,018 55 INTERACTIVE BROKERS LLC Y NFA 08/31/2010 1,060,578,108 114,821,069 945,757,039 

56 INTERBANK FX LLC N NFA 08/31/2010 28,923,806 21,461,949 7,461,857 57 ITG DERIVATIVES LLC Y NFA 08/31/2010 4,390,609 1,000,000 3,390,609 

58 JP MORGAN CLEARING CORP Y CME 08/31/2010 5,194,975,201 1,597,405,767 3,597,569,434 

59 JP MORGAN FUTURES INC N NYME 08/31/2010 2,436,830,770 1,259,095,797 1,177,734,973 60 JP MORGAN SECURITIES INC Y NFA 08/31/2010 6,878,433,385 549,852,691 6,328,580,694 61 LEK SECURITIES CORPORATION Y NFA 08/31/2010 10,372,267 1,500,000 8,872,267 

62 LIMESTONE TRADING LLC N NFA 08/31/2010 10,038,420 1,000,000 9,038,420 

63 LINN GROUP THE N NFA 08/31/2010 1,994,961 1,000,000 994,961 

64 LPL FINANCIAL CORPORATION Y NFA 08/31/2010 123,343,698 5,286,660 118,057,038 

65 MACQUARIE FUTURES USA INC N CBOT 08/31/2010 82,736,405 46,093,725 36,642,680 

66 MAREX USA LIMITED N NFA 08/31/2010 3,155,775 1,000,000 2,155,775 

67 MB TRADING FUTURES INC N NFA 08/31/2010 24,510,457 20,000,000 4,510,457 68 MBF CLEARING CORP N NYME 08/31/2010 11,357,783 1,191,186 10,166,597 

69 MCVEAN TRADING & INVESTMENTS LLC N NFA 08/31/2010 11,266,463 3,707,291 7,559,172 

70 MERRILL LYNCH PIERCE FENNER & SMITH Y CBOT 08/31/2010 5,480,563,052 681,558,150 4,799,004,902 

71 MERRILL LYNCH PROFESSIONAL CLEARING CORP Y NFA 08/31/2010 2,289,128,807 163,092,904 2,126,035,903 

72 MF GLOBAL INC Y CME 08/31/2010 564,098,014 411,498,120 152,599,894 

73 MG FINANCIAL LLC N NFA 08/31/2010 4,497,764 1,000,000 3,497,764 

74 MID CO COMMODITIES INC N NFA 08/31/2010 9,361,927 4,481,894 4,880,033 

75 MITSUBISHI UFJ SECURITIES USA INC Y NFA 08/31/2010 69,891,506 1,749,548 68,141,958 

76 MITSUI BUSSAN COMMODITIES USA INC N NYME 08/31/2010 9,070,207 5,083,155 3,987,052 

77 MIZUHO SECURITIES USA INC Y CME 08/31/2010 439,450,720 57,853,742 381,596,978 

78 MORGAN KEEGAN & COMPANY INC Y NFA 08/31/2010 414,583,858 9,566,239 405,017,619 

79 MORGAN STANLEY & CO INCORPORATED Y CME 08/31/2010 7,804,359,491 1,074,753,415 6,729,606,076 

80 MORGAN STANLEY SMITH BARNEY LLC Y NFA 08/31/2010 1,306,194,569 38,036,988 1,268,157,581 

81 NATIXIS SECURITIES NORTH AMERICA INC Y NFA 08/31/2010 223,737,352 1,000,000 222,737,352 

82 NEUBERGER BERMAN LLC Y NFA 08/31/2010 67,484,891 1,500,000 65,984,891 

83 NEWEDGE USA LLC Y NYME 08/31/2010 2,434,976,084 1,261,608,975 1,173,367,109 
SELECTED FCM FINANCIAL DATA AS OF 

August 31, 2010

FROM REPORTS FILED BY 

September 30, 2010

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

Futures Commission Merchant Date Net Capital Requirement Net Capital Se

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

84 NOMURA SECURITIES INTERNATIONAL INC Y CBOT 08/31/2010 1,032,349,525 8,000,985 1,024,348,540 

85 OANDA CORPORATION N NFA 08/31/2010 166,482,821 29,634,993 136,847,828 86 OPEN E CRY LLC N NFA 08/31/2010 3,406,123 1,011,111 2,395,012 

87 OPPENHEIMER & CO INC Y NFA 08/31/2010 153,326,199 24,606,091 128,720,108 

88 OPTIONSXPRESS INC Y NFA 08/31/2010 117,386,453 13,254,260 104,132,193 

89 PENSON GHCO N CBOT 08/31/2010 25,517,166 19,312,689 6,204,477 90 PEREGRINE FINANCIAL GROUP INC N NFA 08/31/2010 34,712,180 20,000,000 14,712,180 

91 PIONEER FUTURES INC N NFA 08/31/2010 2,226,886 1,000,000 1,226,886 92 PRUDENTIAL BACHE COMMODITIES LLC N CBOT 08/31/2010 211,917,000 176,688,320 35,228,680 

93 RAND FINANCIAL SERVICES INC N CME 08/31/2010 70,325,486 17,088,853 53,236,633 

94 RAYMOND JAMES & ASSOCIATES INC Y NFA 08/31/2010 379,016,743 27,195,983 351,820,760 

95 RBC CAPITAL MARKETS CORPORATION Y CME 08/31/2010 930,351,544 83,539,306 846,812,238 

96 RBS SECURITIES INC Y CBOT 08/31/2010 1,858,762,000 177,825,000 1,680,937,000 

97 RJ OBRIEN ASSOCIATES LLC N CME 08/31/2010 114,431,302 74,236,997 40,194,305 98 ROSENTHAL COLLINS GROUP LLC N CME 08/31/2010 60,564,822 37,899,047 22,665,775 99 ROSENTHAL GLOBAL SECURITIES LLC Y NFA 08/31/2010 46,976,629 1,000,000 45,976,629 

100 SANFORD C BERNSTEIN & CO LLC Y NFA 08/31/2010 157,079,226 13,993,275 143,085,951 101 SANTANDER INVESTMENT SECURITIES INC Y NFA 08/31/2010 106,266,543 1,000,000 105,266,543 102 SMW TRADING COMPANY INC N CME 08/31/2010 22,992,128 1,000,000 21,992,128 

103 STATE STREET GLOBAL MARKETS LLC Y CME 08/31/2010 370,402,732 1,000,000 369,402,732 

104 STEPHENS Y NFA 08/31/2010 81,025,561 13,228,671 67,796,890 105 STERLING COMMODITIES CORP N NYME 08/31/2010 7,952,503 1,594,622 6,357,881 

106 TCA FUTURES LLC N NFA 08/31/2010 1,599,764 1,000,000 599,764 107 TD AMERITRADE INC Y NFA 08/31/2010 166,041,144 1,000,000 165,041,144 108 TENCO INC N CBOT 08/31/2010 53,084,227 7,413,196 45,671,031 

109 TERRA NOVA FINANCIAL LLC Y NFA 08/31/2010 9,766,767 1,500,000 8,266,767 110 TIMBER HILL LLC Y CME 08/31/2010 969,218,582 39,525,936 929,692,646 111 TOWER RESEARCH CAPITAL EUROPE LLC N NFA 08/31/2010 4,121,005 1,000,000 3,121,005 112 TRADELINK LLC Y CBOT 08/31/2010 27,065,922 1,000,000 26,065,922 113 TRADESTATION SECURITIES INC Y NFA 08/31/2010 75,313,178 3,402,607 71,910,571 

114 TRADITION SECURITIES AND FUTURES INC N NFA 08/31/2010 1,565,211 1,000,000 565,211 

115 TRILAND USA INC N NYME 08/31/2010 22,511,765 18,759,720 3,752,045 

116 UBS FINANCIAL SERVICES INC Y NFA 08/31/2010 1,197,484,103 96,314,163 1,101,169,940 

117 UBS SECURITIES LLC Y CBOT 08/31/2010 11,259,139,243 973,090,046 10,286,049,197 118 VELOCITY FUTURES LLC N NFA 08/31/2010 1,733,882 1,000,000 733,882 119 VISION FINANCIAL MARKETS LLC Y CME 08/31/2010 23,314,543 7,771,770 15,542,773 120 WELLS FARGO ADVISORS FINANCIAL NETWORK LLC Y NFA 08/31/2010 24,401,913 3,563,974 20,837,939 121 WELLS FARGO ADVISORS LLC Y NFA 08/31/2010 457,911,580 1,500,000 456,411,580 122 WELLS FARGO SECURITIES LLC Y CME 08/31/2010 1,249,525,782 10,359,771 1,239,166,011 

123 WHITE COMMERCIAL CORPORATION N NFA 08/31/2010 2,692,778 1,000,000 1,692,778 

124 WSD FINANCIAL USA INC N NFA 08/31/2010 1,196,996 1,000,000 196,996 125 YORK BUSINESS ASSOCIATES LLC N NFA 08/31/2010 2,656,161 1,000,000 1,656,161 
SELECTED FCM FINANCIAL DATA AS OF 

August 31, 2010

FROM REPORTS FILED BY 

September 30, 2010

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

Futures Commission Merchant Date Net Capital Requirement Net Capital Se

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

Totals 1
SELECTED FCM FINANCIAL DATA AS OF 

August 31, 2010

FROM REPORTS FILED BY 

September 30, 2010

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

Futures Commission Merchant Date Net Capital Requirement Net Capital Se

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

July Web Page Update 126Additions 0Deletions 1SHAY GRAIN CLEARING COMPANYName ChangeNONEAugust Web Page Update 125*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(4) for securities brokers and dealers, the amount of net capital required by Rule 15c3-1(a) of the Securities and Exchange Commission.
SELECTED FCM FINANCIAL DATA AS OF 

August 31, 2010

FROM REPORTS FILED BY 

September 30, 2010

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

Futures Commission Merchant Date Net Capital Requirement Net Capital Se

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

(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.