SELECTED FCM FINANCIAL DATA AS OF 

JANUARY 31, 2010

FROM REPORTS FILED BY 

FEBRUARY 28, 2010

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

Futures Commission Merchant Date Net Capital Requirement Net Capital 

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

1 ACM USA LLC N NFA 01/31/2010 778,709 500,000 278,709 2 ADM INVESTOR SERVICES INC N CBOT 01/31/2010 172,497,687 87,660,909 84,836,778 

3 ADVANCED MARKETS LLC N NFA 01/31/2010 20,408,037 20,000,000 408,037 4 ADVANTAGE FUTURES LLC N CME 01/29/2010 22,465,736 9,186,430 13,279,306 

5 AIG CLEARING CORPORATION N NYME 01/31/2010 226,007,114 500,000 225,507,114 6 ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC* Y NFA 12/31/2009 28,024,917 8,706,179 19,318,738 

7 ALPARI (US) LLC N NFA 01/31/2010 21,426,200 20,000,000 1,426,200 8 AMERIPRISE FINANCIAL SERVICES INC Y NFA 01/31/2010 56,687,953 500,000 56,187,953 9 BANC OF AMERICA SECURITIES LLC Y CME 01/29/2010 2,383,944,260 142,933,197 2,241,011,063 

10 BARCLAYS CAPITAL INC Y NYME 01/29/2010 6,061,218,264 608,331,071 5,452,887,193 11 BGC FINANCIAL LP Y NFA 01/31/2010 29,363,433 500,000 28,863,433 12 BNP PARIBAS COMMODITY FUTURES INC N NYME 01/31/2010 390,652,687 162,503,838 228,148,849 13 BNP PARIBAS SECURITIES CORP Y CBOT 01/31/2010 1,684,833,230 11,245,172 1,673,588,058 

14 CADENT FINANCIAL SERVICES LLC N NFA 01/31/2010 909,327 350,000 559,327 15 CANTOR FITZGERALD & CO Y CBOT 01/31/2010 135,261,656 1,735,718 133,525,938 16 CAPITAL MARKET SERVICES LLC N NFA 01/31/2010 25,841,837 21,126,974 4,714,863 

17 CIBC WORLD MARKETS CORP Y CME 01/29/2010 1,403,319,836 1,500,000 1,401,819,836 

18 CITADEL SECURITIES LLC Y CME 01/31/2010 321,667,167 19,102,686 302,564,481 

19 CITIGROUP GLOBAL MARKETS INC Y CBOT 01/29/2010 8,068,472,758 683,228,225 7,385,244,533 20 COMMONWEALTH FOREIGN EXCHANGE INC N NFA 01/31/2010 1,126,099 500,000 626,099 21 COMPASS PROFESSIONAL SERVICES LLC Y NFA 01/31/2010 3,219,724 500,000 2,719,724 22 COUNTRY HEDGING INC N NFA 01/31/2010 15,472,747 7,324,969 8,147,778 23 CREDIT SUISSE SECURITIES (USA) LLC Y CBOT 01/29/2010 8,609,040,256 766,644,822 7,842,395,434 24 CROSSLAND LLC N CBOT 01/31/2010 8,454,267 5,794,094 2,660,173 

25 CUNNINGHAM COMMODITIES LLC N CBOT 01/31/2010 3,814,213 1,187,078 2,627,135 

26 CX CAPITAL MARKETS LLC N NFA 01/31/2010 1,020,630 500,000 520,630 

27 DAIWA SECURITIES AMERICA INC Y CME 01/31/2010 280,975,579 1,000,000 279,975,579 28 DEUTSCHE BANK SECURITIES INC Y CBOT 01/29/2010 7,727,995,254 447,379,820 7,280,615,434 

29 DORMAN TRADING LLC N CME 01/31/2010 7,607,492 810,060 6,797,432 30 EAGLE MARKET MAKERS INC N CBOT 01/31/2010 5,284,918 500,000 4,784,918 

31 EASY FOREX US LTD N NFA 01/31/2010 20,462,615 20,000,000 462,615 32 ELECTRONIC BROKERAGE SYSTEMS LLC Y NFA 01/31/2010 9,192,706 500,000 8,692,706 33 ENSKILDA FUTURES LTD N CME 01/31/2010 26,281,682 15,579,255 10,702,427 

34 FARR FINANCIAL INC N NFA 01/31/2010 1,279,421 774,024 505,397 35 FCSTONE LLC N CME 01/31/2010 65,597,028 35,224,723 30,372,305 

36 FOREX CAPITAL MARKETS LLC N NFA 01/31/2010 56,714,777 24,623,317 32,091,460 

37 FOREX CLUB FINANCIAL COMPANY INC N NFA 01/31/2010 19,607,859 20,000,000 -392,141 38 FORTIS CLEARING AMERICAS LLC Y CBOT 01/31/2010 212,296,783 46,727,835 165,568,948 

39 FRIEDBERG MERCANTILE GROUP INC N NFA 01/31/2010 3,374,715 500,000 2,874,715 40 FRONTIER FUTURES INC N NFA 01/31/2010 1,366,089 773,609 592,480 41 FUTURES TECH LLC N NFA 01/31/2010 838,745 500,000 338,745 
SELECTED FCM FINANCIAL DATA AS OF 

JANUARY 31, 2010

FROM REPORTS FILED BY 

FEBRUARY 28, 2010

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 01/31/2010 34,602,038 20,556,898 14,045,140 43 FXDIRECTDEALER LLC N NFA 01/31/2010 40,641,052 25,372,414 15,268,638 44 GAIN CAPITAL GROUP LLC N NFA 01/31/2010 69,952,754 26,063,436 43,889,318 45 GENESIS FUTURES LLC N NFA 01/31/2010 761,467 500,000 261,467 46 GFS FOREX & FUTURES INC N NFA 01/31/2010 1,473,543 500,000 973,543 47 GILDER GAGNON HOWE & CO LLC Y NFA 01/31/2010 12,903,401 500,000 12,403,401 48 GLOBAL FUTURES & FOREX LTD N NFA 01/31/2010 68,079,338 25,592,962 42,486,376 

49 GOLDMAN SACHS & CO Y CBOT 01/31/2010 11,436,869,932 1,870,307,556 9,566,562,376 

50 GOLDMAN SACHS EXECUTION & CLEARING LP Y CME 01/31/2010 1,996,221,249 137,756,661 1,858,464,588 51 HG CLEARING SERVICES LLC N NFA 01/31/2010 598,962 500,000 98,962 52 HSBC SECURITIES USA INC Y CME 01/29/2010 1,090,862,521 70,384,318 1,020,478,203 

53 I TRADE FX LLC N NFA 01/31/2010 636,534 500,000 136,534 54 ICAP FUTURES LLC N NFA 01/31/2010 12,423,201 500,000 11,923,201 55 IG MARKETS INC N NFA 01/31/2010 30,674,932 20,000,000 10,674,932 56 IKON GLOBAL MARKETS INC N NFA 01/31/2010 21,573,904 20,526,681 1,047,223 

57 INSTINET LLC Y NFA 01/31/2010 118,093,490 1,500,000 116,593,490 58 INTEGRATED BROKERAGE SERVICES LLC N NFA 01/31/2010 1,520,099 500,000 1,020,099 59 INTERACTIVE BROKERS LLC Y NFA 01/31/2010 855,382,673 92,346,602 763,036,071 60 INTERBANK FX LLC N NFA 01/31/2010 32,293,496 21,429,498 10,863,998 61 ITG DERIVATIVES LLC Y NFA 01/31/2010 2,521,665 500,000 2,021,665 62 JP MORGAN CLEARING CORP Y CME 01/31/2010 5,129,706,608 1,482,185,420 3,647,521,188 63 JP MORGAN FUTURES INC N NYME 01/31/2010 2,227,278,228 1,057,553,884 1,169,724,344 

64 JP MORGAN SECURITIES INC Y NFA 01/31/2010 6,592,395,646 537,319,388 6,055,076,258 65 LADENBURG THALMANN & CO INC Y NFA 01/29/2010 2,456,553 500,000 1,956,553 66 LEK SECURITIES CORPORATION Y NFA 01/31/2010 12,528,980 1,500,000 11,028,980 

67 LIMESTONE TRADING LLC N NFA 01/31/2010 2,144,569 500,000 1,644,569 68 LINN GROUP THE N NFA 01/31/2010 2,623,065 676,348 1,946,717 

69 LPL FINANCIAL CORPORATION Y NFA 01/31/2010 91,876,829 5,906,673 85,970,156 70 MACQUARIE FUTURES USA INC N CBOT 01/29/2010 87,703,709 36,293,773 51,409,936 

71 MAREX USA LIMITED N NFA 01/31/2010 718,547 500,000 218,547 

72 MB TRADING FUTURES INC N NFA 01/31/2010 22,314,186 20,000,000 2,314,186 73 MBF CLEARING CORP N NYME 01/31/2010 10,998,118 1,359,468 9,638,650 

74 MCVEAN TRADING & INVESTMENTS LLC N NFA 01/31/2010 9,102,774 2,039,796 7,062,978 75 MERRILL LYNCH PIERCE FENNER & SMITH Y CBOT 01/31/2010 5,470,350,577 570,971,802 4,899,378,775 

76 MERRILL LYNCH PROFESSIONAL CLEARING CORP Y NFA 01/31/2010 1,714,897,176 190,400,919 1,524,496,257 77 MF GLOBAL INC Y CME 01/29/2010 562,369,840 369,789,973 192,579,867 78 MG FINANCIAL LLC N NFA 01/31/2010 5,001,037 500,000 4,501,037 79 MID CO COMMODITIES INC N NFA 01/31/2010 11,285,963 2,387,674 8,898,289 80 MITSUBISHI UFJ SECURITIES USA INC Y NFA 01/31/2010 79,499,572 1,207,057 78,292,515 

81 MITSUI BUSSAN COMMODITIES USA INC N NYME 01/31/2010 8,182,523 2,105,894 6,076,629 82 MIZUHO SECURITIES USA INC Y CME 01/29/2010 344,014,462 32,973,134 311,041,328 

83 MORGAN KEEGAN & COMPANY INC Y NFA 01/31/2010 408,528,369 9,401,534 399,126,835 
SELECTED FCM FINANCIAL DATA AS OF 

JANUARY 31, 2010

FROM REPORTS FILED BY 

FEBRUARY 28, 2010

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 01/29/2010 7,553,220,325 1,074,175,827 6,479,044,498 85 MORGAN STANLEY SMITH BARNEY LLC Y NFA 01/31/2010 511,944,495 500,000 511,444,495 86 NATIXIS SECURITIES NORTH AMERICA INC Y NFA 01/29/2010 158,814,232 500,000 158,314,232 

87 NEUBERGER BERMAN LLC Y NFA 01/29/2010 56,262,429 1,500,000 54,762,429 

88 NEWEDGE USA LLC Y NYME 01/31/2010 2,392,117,315 1,225,388,284 1,166,729,031 

89 NOMURA SECURITIES INTERNATIONAL INC Y CBOT 01/29/2010 1,336,459,681 15,635,783 1,320,823,898 90 OANDA CORPORATION N NFA 01/31/2010 165,696,395 28,991,890 136,704,505 91 OPEN E CRY LLC N NFA 01/31/2010 3,422,871 845,661 2,577,210 

92 OPPENHEIMER & CO INC Y NFA 01/29/2010 167,071,739 22,249,763 144,821,976 

93 OPTIONSXPRESS INC Y NFA 01/31/2010 102,781,573 23,214,917 79,566,656 94 PENSON GHCO N CBOT 01/31/2010 23,423,363 15,713,127 7,710,236 95 PEREGRINE FINANCIAL GROUP INC N NFA 01/31/2010 32,741,377 20,000,000 12,741,377 

96 PIONEER FUTURES INC N NYME 01/31/2010 1,087,305 500,000 587,305 97 PRUDENTIAL BACHE COMMODITIES LLC N CBOT 01/31/2010 212,335,000 161,691,000 50,644,000 98 RAND FINANCIAL SERVICES INC N CME 01/31/2010 67,991,074 10,968,956 57,022,118 99 RAYMOND JAMES & ASSOCIATES INC Y NFA 01/31/2010 412,885,999 26,532,717 386,353,282 

100 RBC CAPITAL MARKETS CORPORATION Y CME 01/29/2010 1,146,393,938 87,229,623 1,059,164,315 

101 RBS SECURITIES INC Y CBOT 01/29/2010 1,330,035,000 166,374,000 1,163,661,000 

102 RJ OBRIEN ASSOCIATES LLC N CME 01/31/2010 116,368,661 62,056,999 54,311,662 103 ROBBINS FUTURES INC N NFA 01/31/2010 577,774 500,000 77,774 104 ROSENTHAL COLLINS GROUP LLC N CME 01/31/2010 56,938,914 35,462,598 21,476,316 105 ROSENTHAL GLOBAL SECURITIES LLC Y NFA 01/31/2010 37,216,023 580,477 36,635,546 106 SANFORD C BERNSTEIN & CO LLC Y NFA 01/29/2010 159,934,918 11,765,969 148,168,949 107 SANTANDER INVESTMENT SECURITIES INC Y NFA 01/29/2010 91,272,801 722,027 90,550,774 108 SHAY GRAIN CLEARING COMPANY N KCBT 01/31/2010 2,577,914 767,308 1,810,606 109 SMW TRADING COMPANY INC N CME 01/31/2010 24,124,879 500,000 23,624,879 

110 STATE STREET GLOBAL MARKETS LLC Y CME 01/31/2010 278,962,557 500,000 278,462,557 

111 STEPHENS Y NFA 01/31/2010 62,646,618 10,284,786 52,361,832 

112 STERLING COMMODITIES CORP N NYME 01/31/2010 7,864,152 1,307,153 6,556,999 

113 TCA FUTURES LLC N NFA 01/31/2010 851,812 500,000 351,812 

114 TD AMERITRADE INC Y NFA 01/31/2010 371,835,639 500,000 371,335,639 115 TENCO INC N CBOT 01/31/2010 47,987,172 5,917,883 42,069,289 

116 TERRA NOVA FINANCIAL LLC Y NFA 01/29/2010 9,932,257 1,500,000 8,432,257 117 TIMBER HILL LLC Y CME 01/31/2010 1,038,000,478 44,022,728 993,977,750 

118 TOWER RESEARCH CAPITAL EUROPE LLC N NFA 01/31/2010 4,126,576 500,000 3,626,576 119 TRADELINK LLC Y CBOT 01/31/2010 26,336,750 500,000 25,836,750 120 TRADESTATION SECURITIES INC Y NFA 01/29/2010 84,380,743 1,820,356 82,560,387 121 TRADITION SECURITIES AND FUTURES INC N NFA 01/29/2010 763,651 500,000 263,651 

122 TRANSMARKET GROUP LLC Y CBOT 01/31/2010 14,545,832 500,000 14,045,832 123 TRILAND USA INC N NYME 01/31/2010 34,566,189 11,169,464 23,396,725 

124 UBS FINANCIAL SERVICES INC Y NFA 01/31/2010 1,275,738,912 86,902,900 1,188,836,012 

125 UBS SECURITIES LLC Y CBOT 01/29/2010 13,772,043,753 857,169,213 12,914,874,540 
SELECTED FCM FINANCIAL DATA AS OF 

JANUARY 31, 2010

FROM REPORTS FILED BY 

FEBRUARY 28, 2010

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

Futures Commission Merchant Date Net Capital Requirement Net Capital 

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

126 VELOCITY FUTURES LLC N NFA 01/31/2010 1,473,681 500,000 973,681 127 VISION FINANCIAL MARKETS LLC Y CME 01/31/2010 20,043,743 7,123,635 12,920,108 128 WELLS FARGO ADVISORS FINANCIAL NETWORK LLC Y NFA 01/29/2010 25,501,180 3,560,944 21,940,236 129 WELLS FARGO ADVISORS LLC Y NFA 01/29/2010 270,391,423 1,500,000 268,891,423 130 WELLS FARGO SECURITIES LLC Y CME 01/31/2010 1,317,511,310 2,189,974 1,315,321,336 131 WHITE COMMERCIAL CORPORATION N NFA 01/31/2010 2,281,188 500,000 1,781,188 132 WSD FINANCIAL USA INC N NFA 01/31/2010 1,227,288 500,000 727,288 133 YORK BUSINESS ASSOCIATES LLC N NFA 01/31/2010 1,616,439 500,000 1,116,439 

Totals 
SELECTED FCM FINANCIAL DATA AS OF 

JANUARY 31, 2010

FROM REPORTS FILED BY 

FEBRUARY 28, 2010

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

Futures Commission Merchant Date Net Capital Requirement Net Capital 

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

December 2009 Web Page Update 133Additions - None 0Deletions - None 0Name Change Stephens Inc to StephensJanuary 2010 Web Page Update 133*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.
SELECTED FCM FINANCIAL DATA AS OF 

JANUARY 31, 2010

FROM REPORTS FILED BY 

FEBRUARY 28, 2010

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

Futures Commission Merchant Date Net Capital Requirement Net Capital 

(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.