SELECTED FCM FINANCIAL DATA AS OF 

May 31, 2012

FROM REPORTS FILED BY 

July 03, 2012

1 of 4

1

2

3

4

5

6

7

8

9

10

11

12

13

14

15

16

17

18

19

20

21

22

23

24

25

26

27

28

29

30

31

32

33

34

35

36

37

38

39

40

41

42

43

44

45

46

47

48

49

50

51

52

53

54

55

56

57

58

59

60

61

62

A B C D E F G H I J K L M N O

Reg As DSRO A/O Adjusted Net Capital Excess Customers' Customers' Excess/Deficient Funds in Separate Customer Excess/Deficient Total Amount

Date Net Capital Requirement Net Capital Assets Seg Required Funds in Seg Section 30.7 Amount Pt. 30 Funds in Separate of Retail Forex

in Seg 4d(a)(2) Accounts Required Section 30.7 Obligation

Accounts

(a) (b) (c) (d) (e) (f) (g) (h) (i) (j) (k)

1 ABN AMRO CLEARING CHICAGO LLC FCM BD CBOT 5/31/2012 314,615,296 156,750,927 157,864,369 2,446,349,131 2,324,546,876 121,802,255 496,362,205 457,992,185 38,370,020 0

2 ADM INVESTOR SERVICES INC FCM CBOT 5/31/2012 270,105,683 142,205,338 127,900,345 2,940,588,453 2,706,550,799 234,037,654 237,390,832 180,616,887 56,773,945 107,982

3 ADVANCED MARKETS LLC FCMRFD NFA 5/31/2012 20,410,329 20,000,000 410,329 0 0 0 0 0 0 701,084

4 ADVANTAGE FUTURES LLC FCM CME 5/31/2012 20,832,710 13,314,392 7,518,318 478,381,800 466,273,980 12,107,820 49,322,877 46,189,620 3,133,257 0

5 ALPARI (US) LLC FCMRFD NFA 5/31/2012 27,932,207 20,265,110 7,667,097 2,862,000 586,863 2,275,137 0 0 0 15,302,208

6 AMERIPRISE FINANCIAL SERVICES INC FCM BD NFA 5/31/2012 131,107,388 1,000,000 130,107,388 0 0 0 0 0 0 0

7 AMP GLOBAL CLEARING LLC FCM NFA 5/31/2012 2,488,451 1,500,000 988,451 35,614,714 34,199,896 1,414,818 265,513 4,553 260,960 0

8 BARCLAYS CAPITAL INC FCM BD NYME 5/31/2012 5,353,348,418 979,430,790 4,373,917,628 6,247,344,008 6,051,087,474 196,256,534 3,694,123,595 3,517,660,857 176,462,738 0

9 BGC FINANCIAL LP FCM BD NFA 5/31/2012 53,013,705 1,067,625 51,946,080 0 0 0 0 0 0 0

10 BNP PARIBAS PRIME BROKERAGE INC FCM BD NYME 5/31/2012 2,248,010,343 305,313,980 1,942,696,363 1,643,678,458 1,501,612,720 142,065,738 701,265,223 574,158,971 127,106,252 0

11 BNP PARIBAS SECURITIES CORP FCM BD CBOT 5/31/2012 1,902,949,805 105,105,247 1,797,844,558 514,441,404 426,459,091 87,982,313 0 0 0 0

12 BNY MELLON CLEARING LLC FCM CME 5/31/2012 262,399,243 4,731,689 257,667,554 291,369,336 143,328,519 148,040,817 1,733,988 441,507 1,292,481 0

13 BOCI COMMODITIES & FUTURES USA LLC FCM NFA 5/31/2012 4,991,483 1,000,000 3,991,483 0 0 0 0 0 0 0

14 CANTOR FITZGERALD & CO FCM BD CBOT 5/31/2012 208,526,675 5,973,142 202,553,533 11,132,132 6,188,745 4,943,387 0 0 0 0

15 CAPITAL MARKET SERVICES LLC FCM NFA 5/31/2012 2,663,213 1,000,000 1,663,213 0 0 0 0 0 0 0

16 CIBC WORLD MARKETS CORP FCM BD CME 5/31/2012 491,184,495 1,500,000 489,684,495 0 0 0 0 0 0 0

17 CITADEL SECURITIES LLC FCM BD CME 5/31/2012 393,451,858 1,000,000 392,451,858 0 0 0 0 0 0 0

18 CITIGROUP GLOBAL MARKETS INC FCM BD CBOT 5/31/2012 7,214,312,252 731,942,664 6,482,369,588 9,109,174,009 8,859,925,981 249,248,028 1,892,273,207 1,503,702,589 388,570,618 0

19 COMMONWEALTH FOREIGN EXCHANGE INC FCM NFA 5/31/2012 1,590,595 1,000,000 590,595 0 0 0 0 0 0 0

20 COUNTRY HEDGING INC FCM NFA 5/31/2012 16,608,582 13,065,856 3,542,726 197,557,540 180,130,336 17,427,204 859,904 715,901 144,003 0

21 CREDIT SUISSE SECURITIES (USA) LLC FCM BD CBOT 5/31/2012 6,265,605,098 1,188,581,938 5,077,023,160 6,594,184,921 5,967,071,054 627,113,867 2,528,588,875 1,951,715,562 576,873,313 0

22 CROSSLAND LLC FCM CBOT 5/31/2012 7,825,382 2,854,422 4,970,960 86,927,800 83,511,728 3,416,072 19,951,845 18,631,558 1,320,287 0

23 CUNNINGHAM COMMODITIES LLC FCM CBOT 5/31/2012 3,086,464 1,518,335 1,568,129 67,772,732 66,460,681 1,312,051 1,214,418 1,131,069 83,349 0

24 CX CAPITAL MARKETS LLC FCM BD NFA 5/31/2012 3,368,065 1,000,000 2,368,065 30,629,749 28,691,962 1,937,787 0 0 0 0

25 DAIWA CAPITAL MARKETS AMERICA INC FCM BD CME 5/31/2012 298,952,460 3,596,652 295,355,808 10,359,356 5,709,213 4,650,143 1,026,479 0 1,026,479 0

26 DEUTSCHE BANK SECURITIES INC FCM BD CBOT 5/31/2012 8,633,246,021 535,280,975 8,097,965,046 13,694,078,905 13,239,692,891 454,386,014 1,245,800,808 1,034,286,587 211,514,221 0

27 DORMAN TRADING LLC FCM CME 5/31/2012 8,751,485 1,799,753 6,951,732 130,815,508 129,092,339 1,723,169 3,356,123 1,952,593 1,403,530 0

28 EAGLE MARKET MAKERS INC FCM CBOT 5/31/2012 5,832,105 1,000,000 4,832,105 772,177 369,074 403,103 0 0 0 0

29 EASY FOREX US LTD FCM NFA 5/31/2012 1,565,173 1,000,000 565,173 0 0 0 0 0 0 0

30 ENSKILDA FUTURES LTD FCM CME 5/31/2012 32,799,351 16,865,719 15,933,632 258,629,816 252,269,941 6,359,875 0 0 0 0

31 FCSTONE LLC FCM CME 5/31/2012 101,973,786 65,896,042 36,077,744 1,568,621,876 1,515,014,985 53,606,891 84,240,088 72,476,165 11,763,923 0

32 FOREX CAPITAL MARKETS LLC FCMRFD NFA 5/31/2012 42,731,671 26,889,581 15,842,090 0 0 0 0 0 0 147,791,624

33 FOREX CLUB LLC FCMRFD NFA 5/31/2012 23,076,201 22,000,000 1,076,201 0 0 0 0 0 0 3,349,961

34 FRIEDBERG MERCANTILE GROUP INC FCM NFA 5/31/2012 2,793,574 1,000,000 1,793,574 11,205,186 8,615,948 2,589,238 958,765 806,945 151,820 0

35 FRONTIER FUTURES INC FCM NFA 5/31/2012 1,901,227 1,000,000 901,227 31,107,577 30,216,925 890,652 0 0 0 0

36 FX SOLUTIONS LLC FCMRFD NFA 5/31/2012 26,327,006 20,373,188 5,953,818 0 0 0 0 0 0 17,463,768

37 FXDIRECTDEALER LLC FCMRFD NFA 5/31/2012 24,931,286 21,507,332 3,423,954 0 0 0 0 0 0 40,146,634

38 GAIN CAPITAL GROUP LLC FCMRFD NFA 5/31/2012 41,154,509 24,506,521 16,647,988 0 0 0 0 0 0 100,130,419

39 GH FINANCIALS LLC FCM CME 5/31/2012 8,613,888 1,000,000 7,613,888 770,582 650,098 120,484 0 0 0 0

40 GLOBAL FUTURES & FOREX LTD FCMRFD NFA 5/31/2012 63,862,026 23,761,419 40,100,607 437,847 97,892 339,955 0 0 0 85,228,372

41 GOLDMAN SACHS & CO FCM BD CBOT 5/31/2012 13,538,688,284 1,800,068,612 11,738,619,672 18,926,689,219 18,406,125,577 520,563,642 8,649,043,110 8,154,270,799 494,772,311 0

42 GOLDMAN SACHS EXECUTION & CLEARING LP FCM BD CME 5/31/2012 2,089,948,010 130,122,456 1,959,825,554 1,412,446,671 779,240,612 633,206,059 84,710,989 38,283,169 46,427,820 0

43 GUGGENHEIM SECURITIES LLC FCM BD NFA 5/31/2012 68,825,405 4,870,997 63,954,408 0 0 0 0 0 0 0

44 HSBC SECURITIES USA INC FCM BD CME 5/31/2012 1,124,381,306 90,650,414 1,033,730,892 839,671,691 771,640,423 68,031,268 122,373,109 88,786,844 33,586,265 0

45 IBFX, INC RFED NFA 5/31/2012 26,250,081 23,010,478 3,239,603 0 0 0 0 0 0 70,209,562

46 ICAP CORPORATES LLC FCM BD NFA 5/31/2012 50,188,275 1,060,004 49,128,271 0 0 0 0 0 0 0

47 IKON GLOBAL MARKETS INC FCM NFA 5/31/2012 10,284,678 1,000,000 9,284,678 5,763,878 4,802,851 961,027 0 0 0 0

48 INSTINET LLC FCM BD NFA 5/31/2012 117,051,836 1,039,091 116,012,745 0 0 0 0 0 0 0

49 INSTITUTIONAL LIQUIDITY LLC FCMRFD NFA 5/31/2012 21,918,038 20,221,554 1,696,484 0 0 0 0 0 0 14,431,077

50 INTEGRATED BROKERAGE SERVICES LLC FCM NFA 5/31/2012 1,324,702 1,000,000 324,702 1,058 0 1,058 0 0 0 0

51 INTERACTIVE BROKERS LLC FCM BD NFA 5/31/2012 1,442,062,645 186,299,641 1,255,763,004 1,648,000,538 1,445,115,723 202,884,815 470,675,501 364,172,158 106,503,343 37,523,627

52 IRONBEAM INC FCM NFA 5/31/2012 2,974,298 1,000,000 1,974,298 43,967,980 42,273,614 1,694,366 117,024 21,331 95,693 0

53 ITG DERIVATIVES LLC FCM BD NFA 5/31/2012 3,864,079 1,000,000 2,864,079 0 0 0 0 0 0 0

54 JEFFERIES & COMPANY INC FCM BD NFA 5/31/2012 770,625,222 46,178,585 724,446,637 0 0 0 0 0 0 0

55 JEFFERIES BACHE LLC FCM CBOT 5/31/2012 225,615,000 151,928,800 73,686,200 2,340,664,000 2,219,418,000 121,246,000 464,638,000 384,506,000 80,132,000 0

56 JP MORGAN CLEARING CORP FCM BD NFA 5/31/2012 7,401,278,547 2,073,959,174 5,327,319,373 773,457,454 524,036,054 249,421,400 527,939,919 322,455,425 205,484,494 0

Futures Commission Merchant / Retail Foreign Exchange 

Dealer
SELECTED FCM FINANCIAL DATA AS OF 

May 31, 2012

FROM REPORTS FILED BY 

July 03, 2012

2 of 4

1

2

3

4

5

6

A B C D E F G H I J K L M N O

Reg As DSRO A/O Adjusted Net Capital Excess Customers' Customers' Excess/Deficient Funds in Separate Customer Excess/Deficient Total Amount

Date Net Capital Requirement Net Capital Assets Seg Required Funds in Seg Section 30.7 Amount Pt. 30 Funds in Separate of Retail Forex

in Seg 4d(a)(2) Accounts Required Section 30.7 Obligation

Accounts

(a) (b) (c) (d) (e) (f) (g) (h) (i) (j) (k)

Futures Commission Merchant / Retail Foreign Exchange 

Dealer

63

64

65

66

67

68

69

70

71

72

73

74

75

76

77

78

79

80

81

82

83

84

85

86

87

88

89

90

91

92

93

94

95

96

97

98

99

100

101

102

103

104

105

106

107

108

109

110

111

112

113

114

115

116

117

118

57 JP MORGAN SECURITIES LLC FCM BD CEI 5/31/2012 11,240,604,463 1,453,526,761 9,787,077,702 18,650,994,359 16,907,133,515 1,743,860,844 4,215,454,096 3,795,112,045 420,342,052 0

58 KNIGHT EXECUTION AND CLEARING SERVICES LLC FCM BD CME 5/31/2012 119,072,012 20,000,000 99,072,012 0 0 0 0 0 0 0

59 LEK SECURITIES CORPORATION FCM BD NFA 5/31/2012 9,857,173 1,500,000 8,357,173 5,070,935 4,009,929 1,061,006 0 0 0 0

60 LINN GROUP THE FCM NFA 5/31/2012 2,815,586 1,593,538 1,222,048 71,333,708 68,288,479 3,045,229 316,376 99,764 216,612 0

61 LIQUID FUTURES LLC FCM NFA 5/31/2012 1,438,106 1,027,000 411,106 0 0 0 0 0 0 0

62 LPL FINANCIAL LLC FCM BD NFA 5/31/2012 132,196,165 5,915,040 126,281,125 0 0 0 0 0 0 0

63 MACQUARIE FUTURES USA LLC FCM CBOT 5/31/2012 135,602,202 54,962,657 80,639,545 760,804,231 647,029,535 113,774,696 105,849,019 76,028,924 29,820,095 0

64 MAREX NORTH AMERICA LLC FCM CME 5/31/2012 13,486,376 8,335,494 5,150,882 134,069,450 125,353,308 8,716,142 7,199,784 6,610,609 589,175 0

65 MAREX USA LIMITED FCM NFA 5/31/2012 2,778,627 1,000,000 1,778,627 0 0 0 0 0 0 0

66 MB TRADING FUTURES INC FCMRFD NFA 5/31/2012 23,358,991 21,146,596 2,212,395 0 0 0 0 0 0 32,931,920

67 MBF CLEARING CORP FCM NFA 5/31/2012 1,486,662 1,000,000 486,662 0 0 0 0 0 0 0

68 MCVEAN TRADING & INVESTMENTS LLC FCM NFA 5/31/2012 14,366,566 3,133,384 11,233,182 905,268,041 883,732,305 21,535,736 391,789 0 391,789 0

69 MERRILL LYNCH PIERCE FENNER & SMITH FCM BD CBOT 5/31/2012 10,834,447,265 700,766,253 10,133,681,012 8,532,060,133 8,057,763,925 474,296,208 2,544,406,429 2,280,445,946 263,960,483 0

70 MERRILL LYNCH PROFESSIONAL CLEARING CORP FCM BD NFA 5/31/2012 1,628,442,907 200,838,597 1,427,604,310 1,518,530,785 879,242,908 639,287,877 147,907,476 46,169,524 101,737,952 0

71 MID CO COMMODITIES INC FCM NFA 5/31/2012 9,993,161 4,379,604 5,613,557 48,143,355 38,192,086 9,951,269 538,692 133,421 405,271 0

72 MITSUBISHI UFJ SECURITIES USA INC FCM BD NFA 5/31/2012 235,113,488 1,452,403 233,661,085 0 0 0 0 0 0 0

73 MITSUI BUSSAN COMMODITIES USA INC FCM NFA 5/31/2012 3,108,730 1,000,000 2,108,730 0 0 0 0 0 0 0

74 MIZUHO SECURITIES USA INC FCM BD CME 5/31/2012 368,738,103 116,884,366 251,853,737 947,191,676 833,401,786 113,789,890 617,538,108 523,363,308 94,174,800 0

75 MORGAN KEEGAN & COMPANY INC FCM BD NFA 5/31/2012 245,065,185 8,026,596 237,038,589 0 0 0 0 0 0 0

76 MORGAN STANLEY & CO LLC FCM BD CME 5/31/2012 8,293,714,588 1,279,317,112 7,014,397,476 6,683,412,612 6,575,089,933 108,322,679 1,752,830,861 1,646,670,583 106,160,278 0

77 MORGAN STANLEY SMITH BARNEY LLC FCM BD NFA 5/31/2012 2,021,927,538 83,340,170 1,938,587,368 660,121,503 604,568,311 55,553,192 885,802,554 854,646,695 31,155,859 0

78 NATIXIS SECURITIES AMERICAS LLC FCM BD NFA 5/31/2012 359,892,089 1,500,000 358,392,089 0 0 0 0 0 0 0

79 NEUBERGER BERMAN LLC FCM BD NFA 5/31/2012 54,507,051 1,500,000 53,007,051 0 0 0 0 0 0 0

80 NEWEDGE USA LLC FCM BD NYME 5/31/2012 1,891,477,765 1,229,298,554 662,179,211 17,069,335,884 16,464,136,011 605,199,873 6,637,398,845 6,023,417,147 613,981,698 0

81 NOMURA SECURITIES INTERNATIONAL INC FCM BD CBOT 5/31/2012 1,977,776,543 34,509,114 1,943,267,429 97,730,143 61,111,764 36,618,379 1,687,841 201,277 1,486,564 0

82 OANDA CORPORATION FCMRFD NFA 5/31/2012 153,489,312 29,336,667 124,152,645 0 0 0 0 0 0 196,733,340

83 OPEN E CRY LLC FCM NFA 5/31/2012 1,974,199 1,029,720 944,479 101,110,118 97,531,246 3,578,872 3,182,660 2,511,176 671,484 0

84 OPPENHEIMER & CO INC FCM BD NFA 5/31/2012 140,171,682 24,638,648 115,533,034 33,308,938 19,502,377 13,806,561 0 0 0 0

85 OPTIONSXPRESS INC FCM BD NFA 5/31/2012 75,255,228 5,762,268 69,492,960 95,354,951 82,156,598 13,198,353 6,460,059 3,746,322 2,713,737 0

86 PENSON FINANCIAL SERVICES INC FCM BD CBOT 5/31/2012 100,672,571 26,007,019 74,665,552 428,284,547 410,813,189 17,471,358 18,106,835 9,063,779 9,043,056 23,179,482

87 PEREGRINE FINANCIAL GROUP INC FCM NFA 5/31/2012 31,256,900 21,136,983 10,119,917 376,523,865 371,453,743 5,070,122 33,156,559 31,370,119 1,786,440 32,739,674

88 PHILLIP FUTURES INC FCM CME 5/31/2012 8,998,214 5,270,275 3,727,939 86,971,578 77,992,585 8,978,993 99,995 0 99,995 0

89 PIONEER FUTURES INC FCM NFA 5/31/2012 1,756,712 1,000,000 756,712 0 0 0 0 0 0 0

90 RAND FINANCIAL SERVICES INC FCM CME 5/31/2012 75,241,526 14,195,085 61,046,441 145,061,000 105,050,600 40,010,400 56,741,700 35,166,400 21,575,300 0

91 RAYMOND JAMES & ASSOCIATES INC FCM BD NFA 5/31/2012 332,713,852 32,028,011 300,685,841 0 0 0 0 0 0 0

92 RBC CAPITAL MARKETS LLC FCM BD CME 5/31/2012 1,320,072,770 87,354,510 1,232,718,260 691,569,232 644,384,766 47,184,466 107,888,840 79,424,238 28,464,602 0

93 RBS SECURITIES INC FCM BD CBOT 5/31/2012 3,678,271,066 238,844,084 3,439,426,982 2,013,462,467 1,878,205,131 135,257,336 186,328,412 70,592,546 115,735,866 0

94 RJ OBRIEN ASSOCIATES LLC FCM CME 5/31/2012 194,786,928 125,595,798 69,191,130 3,666,804,561 3,571,763,227 95,041,334 230,573,222 192,960,814 37,612,408 1,984,070

95 ROSENTHAL COLLINS GROUP LLC FCM CME 5/31/2012 81,672,323 60,709,573 20,962,750 1,686,340,667 1,664,953,359 21,387,308 78,741,619 68,662,694 10,078,925 0

96 SANFORD C BERNSTEIN & CO LLC FCM BD NFA 5/31/2012 146,254,051 16,360,726 129,893,325 0 0 0 0 0 0 0

97 SANTANDER INVESTMENT SECURITIES INC FCM BD NYME 5/31/2012 104,908,111 10,502,533 94,405,578 469,729,679 467,341,168 2,388,511 0 0 0 0

98 STATE STREET GLOBAL MARKETS LLC FCM BD CME 5/31/2012 455,190,531 6,632,422 448,558,109 263,156,223 71,398,146 191,758,077 52,255,253 12,893,310 39,361,943 0

99 STEPHENS INC FCM BD NFA 5/31/2012 91,887,838 13,866,152 78,021,686 0 0 0 0 0 0 0

100 STRAITS FINANCIAL LLC FCM CME 5/31/2012 6,531,241 1,524,351 5,006,890 47,876,475 44,101,473 3,775,002 7,198,937 5,517,425 1,681,512 0

101 TD AMERITRADE INC FCM BD NFA 5/31/2012 208,307,217 5,209,450 203,097,767 85,561,770 65,510,993 20,050,777 0 0 0 0

102 TENCO INC FCM CBOT 5/31/2012 55,728,244 7,519,122 48,209,122 238,309,407 218,856,536 19,452,871 394,352 66,563 327,789 0

103 TIMBER HILL LLC FCM BD CME 5/31/2012 769,824,460 39,509,761 730,314,699 487,008,176 484,482,498 2,525,678 0 0 0 0

104 TRADELINK LLC FCM BD CBOT 5/31/2012 17,323,506 1,000,000 16,323,506 0 0 0 0 0 0 0

105 TRADESTATION SECURITIES INC FCM BD NFA 5/31/2012 49,599,044 3,007,399 46,591,645 424,769,235 414,550,017 10,219,218 13,447,788 12,378,798 1,068,990 0

106 TRADITION SECURITIES AND FUTURES INC FCM NFA 5/31/2012 1,514,809 1,000,000 514,809 0 0 0 0 0 0 0

107 UBS FINANCIAL SERVICES INC FCM BD NFA 5/31/2012 1,186,853,533 110,464,459 1,076,389,074 156,102,897 128,097,479 28,005,418 25,707,508 2,899,974 22,807,534 0

108 UBS SECURITIES LLC FCM BD CBOT 5/31/2012 12,320,178,288 948,974,395 11,371,203,893 9,673,104,326 9,035,410,824 637,693,502 4,363,194,343 3,963,265,593 399,928,750 0

109 VELOCITY FUTURES LLC FCM NFA 5/31/2012 1,699,275 1,000,000 699,275 61,694,982 60,825,682 869,300 13,917,048 13,003,392 913,656 0

110 VISION FINANCIAL MARKETS LLC FCM BD CME 5/31/2012 18,614,189 12,118,082 6,496,107 494,121,671 474,355,102 19,766,569 8,806,478 6,374,298 2,432,180 0

111 WELLS FARGO ADVISORS FINANCIAL NETWORK LLC FCM BD NFA 5/31/2012 42,799,259 1,000,000 41,799,259 0 0 0 0 0 0 0

112 WELLS FARGO ADVISORS LLC FCM BD NFA 5/31/2012 1,192,753,166 1,500,000 1,191,253,166 0 0 0 0 0 0 0
SELECTED FCM FINANCIAL DATA AS OF 

May 31, 2012

FROM REPORTS FILED BY 

July 03, 2012

3 of 4

1

2

3

4

5

6

A B C D E F G H I J K L M N O

Reg As DSRO A/O Adjusted Net Capital Excess Customers' Customers' Excess/Deficient Funds in Separate Customer Excess/Deficient Total Amount

Date Net Capital Requirement Net Capital Assets Seg Required Funds in Seg Section 30.7 Amount Pt. 30 Funds in Separate of Retail Forex

in Seg 4d(a)(2) Accounts Required Section 30.7 Obligation

Accounts

(a) (b) (c) (d) (e) (f) (g) (h) (i) (j) (k)

Futures Commission Merchant / Retail Foreign Exchange 

Dealer

119

120

121

122

123

124

125

126

127

128

129

130

131

132

133

134

135

136

137

138

139

113 WELLS FARGO SECURITIES LLC FCM BD CME 5/31/2012 1,980,046,651 18,137,315 1,961,909,336 0 0 0 0 0 0 0

114 WHITE COMMERCIAL CORPORATION FCM NFA 5/31/2012 2,365,734 1,000,000 1,365,734 0 0 0 0 0 0 0

115 XPRESSTRADE LLC RFED NFA 5/31/2012 22,986,326 20,000,000 2,986,326 0 0 0 0 0 0 1,034,923

116 YORK BUSINESS ASSOCIATES LLC FCM NFA 5/31/2012 2,125,580 1,000,000 1,125,580 72,805,291 70,616,345 2,188,946 2,407,422 1,614,068 793,354 0

Totals 150,278,568,377 140,829,415,744 9,449,152,633 43,404,163,297 38,479,390,027 4,924,773,271 820,989,727

April Web Page Update 116

Additions 1

KNIGHT EXECUTION AND CLEARING SERVICES LLC

Deletions 1

STERLING COMMODITIES CORP

Name Change

TRADESTATION FOREX INC to IBFX, INC

May Web Page Update 116
SELECTED FCM FINANCIAL DATA AS OF 

May 31, 2012

FROM REPORTS FILED BY 

July 03, 2012

4 of 4

1

2

3

4

5

6

A B C D E F G H I J K L M N O

Reg As DSRO A/O Adjusted Net Capital Excess Customers' Customers' Excess/Deficient Funds in Separate Customer Excess/Deficient Total Amount

Date Net Capital Requirement Net Capital Assets Seg Required Funds in Seg Section 30.7 Amount Pt. 30 Funds in Separate of Retail Forex

in Seg 4d(a)(2) Accounts Required Section 30.7 Obligation

Accounts

(a) (b) (c) (d) (e) (f) (g) (h) (i) (j) (k)

Futures Commission Merchant / Retail Foreign Exchange 

Dealer

140

141

142

143

144

145

146

147

148

149

150

151

152

153

154

155

156

157

158

159

160

161

162

163

164

165

166

167

168

169

170

(f): 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 

(k): This represents the total amount of funds at an FCM, RFED, or FCMRFD that would be obtained by combining all money, securities and property deposited by a retail forex customer into a retail forex account or accounts, 

(g): Excess/Deficient funds in segregation is customer assets in segregation, less the customer segregation requirement.

(h): This represents the total amount of money, securities, and property held in secured accounts for futures and options customers who trade on commodity exchanges located outside the United States in compliance with 

(i): 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. 

(j): Excess/Deficient funds in separate Section 30.7 accounts is funds in separate Section 30.7 accounts, less the customer amount Part 30 requirement.

•  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 in excess of $10,000,000.

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

(e): This represents the total amount of money, securities, and property held in segregated accounts for futures and options customers in compliance with Section 4d of the Commodity Exchange Act.

•  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

(b): DSRO: Designated Self-Regulatory Organization. 

(c): A firm's net capital requirement is the greater of: 

(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;

 FCMRFD: The FCM is also registered with the Commodity Futures Trading Commission as a Retail Foreign Exchange Dealer.