SELECTED FCM FINANCIAL DATA AS OF 

March 31, 2011

FROM REPORTS FILED BY 

May 06, 2011

Reg As DSRO A/O Adjusted Net Capital Excess Customer

Date Net Capital Requirement Net Capital Seg Requir

4d(a)(2) 

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

1 ABN AMRO CLEARING CHICAGO LLC FCM BD CBOT 03/31/2011 200,418,426 102,873,727 97,544,699 1,786,382 ADM INVESTOR SERVICES INC FCM CBOT 03/31/2011 291,886,079 162,710,262 129,175,817 2,486,93

3 ADVANCED MARKETS LLC RFED NFA 03/31/2011 20,089,303 20,000,000 89,303 4 ADVANTAGE FUTURES LLC FCM CME 03/31/2011 21,784,462 13,081,358 8,703,104 461,895 ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC * FCM BD NFA 03/31/2011 106,652,708 6,172,937 100,479,771 

6 ALPARI (US) LLC RFED NFA 03/31/2011 20,652,028 20,000,000 652,028 7 AMERIPRISE FINANCIAL SERVICES INC FCM BD NFA 03/31/2011 108,614,794 1,000,000 107,614,794 8 AMP GLOBAL CLEARING LLC FCM NFA 03/31/2011 1,428,237 1,000,000 428,237 26,839 BARCLAYS CAPITAL INC FCM BD NYME 03/31/2011 6,090,810,729 736,451,718 5,354,359,011 5,512,11

10 BGC FINANCIAL LP FCM BD NFA 03/31/2011 60,876,006 1,000,000 59,876,006 11 BNP PARIBAS COMMODITY FUTURES INC FCM NYME 03/31/2011 373,325,490 232,163,876 141,161,614 1,531,7612 BNP PARIBAS SECURITIES CORP FCM BD CBOT 03/31/2011 1,556,440,271 103,397,884 1,453,042,387 612,17

13 BNY MELLON CLEARING LLC FCM CME 03/31/2011 128,279,112 3,457,118 124,821,994 1,5514 CANTOR FITZGERALD & CO FCM BD CBOT 03/31/2011 172,666,387 6,581,710 166,084,677 1,4515 CAPITAL MARKET SERVICES LLC RFED NFA 03/31/2011 2,604,568 1,000,000 1,604,568 16 CIBC WORLD MARKETS CORP FCM BD CME 03/31/2011 470,824,446 1,500,000 469,324,446 17 CITADEL SECURITIES LLC FCM BD CME 03/31/2011 343,453,113 1,000,000 342,453,113 18 CITIGROUP GLOBAL MARKETS INC FCM BD CBOT 03/31/2011 7,875,144,300 659,266,658 7,215,877,642 10,066,2219 COMMONWEALTH FOREIGN EXCHANGE INC FCM NFA 03/31/2011 1,508,702 1,000,000 508,702 20 COMPASS PROFESSIONAL SERVICES LLC FCM BD NFA 03/31/2011 3,787,130 1,000,000 2,787,130 21 COUNTRY HEDGING INC FCM NFA 03/31/2011 26,336,507 21,305,534 5,030,973 116,2322 CREDIT SUISSE SECURITIES (USA) LLC FCM BD CBOT 03/31/2011 7,795,713,905 1,055,060,653 6,740,653,252 5,614,26

23 CROSSLAND LLC FCM CBOT 03/31/2011 10,982,212 4,639,866 6,342,346 75,2224 CUNNINGHAM COMMODITIES LLC FCM CBOT 03/31/2011 3,580,741 1,000,000 2,580,741 40,3425 CX CAPITAL MARKETS LLC FCM NFA 03/31/2011 2,308,838 1,000,000 1,308,838 26,0826 DAIWA CAPITAL MARKETS AMERICA INC FCM BD CME 03/31/2011 305,231,051 1,454,999 303,776,052 4,3027 DEUTSCHE BANK SECURITIES INC FCM BD CBOT 03/31/2011 6,753,993,203 631,276,054 6,122,717,149 16,365,0628 DORMAN TRADING LLC FCM CME 03/31/2011 7,632,179 1,000,000 6,632,179 95,3129 EAGLE MARKET MAKERS INC FCM CBOT 03/31/2011 7,022,081 1,000,000 6,022,081 4,9930 EASY FOREX US LTD FCM NFA 03/31/2011 1,930,380 1,000,000 930,380 31 ELECTRONIC BROKERAGE SYSTEMS LLC FCM BD NFA 03/31/2011 4,942,384 1,000,000 3,942,384 32 ENSKILDA FUTURES LTD FCM CME 03/31/2011 27,969,165 21,318,934 6,650,231 364,0133 FARR FINANCIAL INC FCM NFA 03/31/2011 1,570,844 1,000,000 570,844 34 FCSTONE LLC FCM CME 03/31/2011 109,558,865 71,924,964 37,633,901 1,227,9635 FOREX CAPITAL MARKETS LLC RFED NFA 03/31/2011 80,939,785 26,294,357 54,645,428 36 FOREX CLUB LLC RFED NFA 03/31/2011 20,455,549 20,000,000 455,549 37 FRIEDBERG MERCANTILE GROUP INC FCM NFA 03/31/2011 3,431,419 1,000,000 2,431,419 9,5838 FRONTIER FUTURES INC FCM NFA 03/31/2011 1,839,422 1,317,371 522,051 28,2339 FUTURES TECH LLC FCM NFA 03/31/2011 1,607,896 1,000,000 607,896 40 FX SOLUTIONS LLC RFED NFA 03/31/2011 34,877,023 20,444,496 14,432,527 41 FXDIRECTDEALER LLC RFED NFA 03/31/2011 22,576,150 21,398,527 1,177,623 42 GAIN CAPITAL GROUP LLC RFED NFA 03/31/2011 39,587,898 26,676,008 12,911,890 43 GLOBAL FUTURES & FOREX LTD RFED NFA 03/31/2011 82,765,538 23,990,187 58,775,351 62

Futures Commission Merchant / Retail Foreign Exchange 

Dealer
SELECTED FCM FINANCIAL DATA AS OF 

March 31, 2011

FROM REPORTS FILED BY 

May 06, 2011

Reg As DSRO A/O Adjusted Net Capital Excess Customer

Date Net Capital Requirement Net Capital Seg Requir

4d(a)(2) 

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

Futures Commission Merchant / Retail Foreign Exchange 

Dealer

44 GOLDMAN SACHS & CO FCM BD CBOT 03/31/2011 10,505,347,097 1,952,024,726 8,553,322,371 21,764,9445 GOLDMAN SACHS EXECUTION & CLEARING LP FCM BD CME 03/31/2011 1,784,323,336 125,388,883 1,658,934,453 1,262,0546 HSBC SECURITIES USA INC FCM BD CME 03/31/2011 1,075,406,774 93,747,232 981,659,542 974,5647 ICAP CORPORATES LLC FCM BD NFA 03/31/2011 43,666,169 3,615,959 40,050,210 48 ICAP FUTURES LLC FCM NFA 03/31/2011 8,300,851 1,000,000 7,300,851 49 IG MARKETS INC FCM NFA 03/31/2011 28,935,338 20,000,000 8,935,338 2350 IKON GLOBAL MARKETS INC FCM NFA 03/31/2011 17,178,679 1,000,000 16,178,679 22,0851 INSTINET LLC FCM BD NFA 03/31/2011 115,078,522 1,770,195 113,308,327 52 INSTITUTIONAL LIQUIDITY LLC FCM NFA 03/31/2011 21,000,847 20,000,000 1,000,847 53 INTEGRATED BROKERAGE SERVICES LLC FCM NFA 03/31/2011 1,643,462 1,000,000 643,462 54 INTERACTIVE BROKERS LLC FCM BD NFA 03/31/2011 1,225,839,821 202,217,460 1,023,622,361 728,9255 INTERBANK FX LLC RFED NFA 03/31/2011 24,237,622 21,254,063 2,983,559 56 IRONBEAM INC FCM NFA 03/31/2011 2,070,089 1,097,248 972,841 51,3757 ITG DERIVATIVES LLC FCM BD NFA 03/31/2011 3,226,619 1,000,000 2,226,619 58 JEFFERIES & COMPANY INC FCM BD NFA 03/31/2011 486,328,907 84,413,601 401,915,306 59 JP MORGAN CLEARING CORP FCM BD CME 03/31/2011 6,092,471,903 1,911,754,709 4,180,717,194 502,8860 JP MORGAN FUTURES INC FCM NYME 03/31/2011 2,532,593,354 1,449,298,139 1,083,295,215 16,821,2461 JP MORGAN SECURITIES LLC FCM BD NFA 03/31/2011 7,850,479,654 576,411,749 7,274,067,905 62 LEK SECURITIES CORPORATION FCM BD NFA 03/31/2011 10,419,910 1,500,000 8,919,910 2463 LIMESTONE TRADING LLC FCM NFA 03/31/2011 3,795,604 1,000,000 2,795,604 64 LINN GROUP THE FCM NFA 03/31/2011 2,536,913 1,000,000 1,536,913 35,6765 LPL FINANCIAL LLC FCM BD NFA 03/31/2011 130,284,087 5,756,387 124,527,700 66 MACQUARIE FUTURES USA INC FCM CBOT 03/31/2011 131,501,934 57,623,508 73,878,426 735,3867 MAREX NORTH AMERICA LLC FCM CME 03/31/2011 11,036,848 4,072,242 6,964,606 48,2668 MAREX USA LIMITED FCM NFA 03/31/2011 2,620,841 1,000,000 1,620,841 69 MB TRADING FUTURES INC RFED NFA 03/31/2011 24,860,991 21,221,391 3,639,600 70 MBF CLEARING CORP FCM NYME 03/31/2011 9,240,976 1,480,050 7,760,926 103,7071 MCVEAN TRADING & INVESTMENTS LLC FCM NFA 03/31/2011 11,096,110 3,965,327 7,130,783 831,0672 MERRILL LYNCH PIERCE FENNER & SMITH FCM BD CBOT 03/31/2011 10,161,569,475 833,406,047 9,328,163,428 9,581,3173 MERRILL LYNCH PROFESSIONAL CLEARING CORP FCM BD NFA 03/31/2011 2,256,306,248 192,924,138 2,063,382,110 941,10

74 MF GLOBAL INC FCM BD CME 03/31/2011 562,509,559 437,172,057 125,337,502 8,077,7775 MID CO COMMODITIES INC FCM NFA 03/31/2011 14,797,411 8,388,341 6,409,070 21,7676 MITSUBISHI UFJ SECURITIES USA INC FCM BD NFA 03/31/2011 96,468,256 1,303,512 95,164,744 77 MITSUI BUSSAN COMMODITIES USA INC FCM NFA 03/31/2011 3,034,647 1,000,000 2,034,647 78 MIZUHO SECURITIES USA INC FCM BD CME 03/31/2011 407,136,165 74,871,666 332,264,499 840,6679 MORGAN KEEGAN & COMPANY INC FCM BD NFA 03/31/2011 443,230,087 9,412,019 433,818,068 80 MORGAN STANLEY & CO INCORPORATED FCM BD CME 03/31/2011 7,305,943,892 1,193,275,140 6,112,668,752 4,695,0181 MORGAN STANLEY SMITH BARNEY LLC FCM BD NFA 03/31/2011 1,334,030,555 39,936,293 1,294,094,262 623,6082 NATIXIS SECURITIES NORTH AMERICA INC FCM BD NFA 03/31/2011 218,354,179 1,000,000 217,354,179 83 NEUBERGER BERMAN LLC FCM BD NFA 03/31/2011 71,838,212 1,500,000 70,338,212 84 NEWEDGE USA LLC FCM BD NYME 03/31/2011 2,185,804,237 1,524,995,436 660,808,801 23,498,6185 NOMURA SECURITIES INTERNATIONAL INC FCM BD CBOT 03/31/2011 2,344,986,510 27,589,575 2,317,396,935 78,2886 OANDA CORPORATION RFED NFA 03/31/2011 158,959,834 28,381,939 130,577,895 
SELECTED FCM FINANCIAL DATA AS OF 

March 31, 2011

FROM REPORTS FILED BY 

May 06, 2011

Reg As DSRO A/O Adjusted Net Capital Excess Customer

Date Net Capital Requirement Net Capital Seg Requir

4d(a)(2) 

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

Futures Commission Merchant / Retail Foreign Exchange 

Dealer

87 OPEN E CRY LLC FCM NFA 03/31/2011 3,489,621 1,111,212 2,378,409 85,6988 OPPENHEIMER & CO INC FCM BD NFA 03/31/2011 172,278,614 26,131,715 146,146,899 26,7889 OPTIONSXPRESS INC FCM BD NFA 03/31/2011 88,392,705 20,000,000 68,392,705 143,4290 PENSON FUTURES FCM CBOT 03/31/2011 38,406,333 30,962,339 7,443,994 788,9091 PEREGRINE FINANCIAL GROUP INC FCM NFA 03/31/2011 35,945,153 21,417,884 14,527,269 528,2692 PHILLIP FUTURES INC FCM NFA 03/31/2011 6,979,239 1,000,000 5,979,239 93 PIONEER FUTURES INC FCM NFA 03/31/2011 2,823,991 1,000,000 1,823,991 94 PRUDENTIAL BACHE COMMODITIES LLC FCM CBOT 03/31/2011 246,693,000 202,984,560 43,708,440 3,168,8795 RAND FINANCIAL SERVICES INC FCM CME 03/31/2011 71,073,560 17,083,192 53,990,368 303,9296 RAYMOND JAMES & ASSOCIATES INC FCM BD NFA 03/31/2011 369,578,430 30,123,625 339,454,805 97 RBC CAPITAL MARKETS LLC FCM BD CME 03/31/2011 1,146,376,525 101,728,211 1,044,648,314 398,2998 RBS SECURITIES INC FCM BD CBOT 03/31/2011 1,962,624,000 257,631,000 1,704,993,000 1,991,8099 RJ OBRIEN ASSOCIATES LLC FCM CME 03/31/2011 137,242,069 118,320,441 18,921,628 2,473,65

100 ROSENTHAL COLLINS GROUP LLC FCM CME 03/31/2011 70,205,344 54,700,334 15,505,010 1,608,37101 ROSENTHAL GLOBAL SECURITIES LLC FCM BD NFA 03/31/2011 29,817,541 1,000,000 28,817,541 102 SANFORD C BERNSTEIN & CO LLC FCM BD NFA 03/31/2011 174,384,403 13,638,715 160,745,688 103 SANTANDER INVESTMENT SECURITIES INC FCM BD NYME 03/31/2011 195,457,081 7,971,703 187,485,378 507,91104 STATE STREET GLOBAL MARKETS LLC FCM BD CME 03/31/2011 400,114,303 5,344,373 394,769,930 46,99105 STEPHENS FCM BD NFA 03/31/2011 78,938,689 13,363,211 65,575,478 106 STERLING COMMODITIES CORP FCM NYME 03/31/2011 8,513,438 1,000,000 7,513,438 32,65107 STRAITS FINANCIAL LLC FCM CME 03/31/2011 7,231,228 1,000,000 6,231,228 108 TCA FUTURES LLC FCM NFA 03/31/2011 1,619,347 1,000,000 619,347 109 TD AMERITRADE INC FCM BD NFA 03/31/2011 301,337,055 1,000,000 300,337,055 110 TENCO INC FCM CBOT 03/31/2011 57,612,691 12,778,021 44,834,670 354,41111 TIMBER HILL LLC FCM BD CME 03/31/2011 1,030,344,979 49,357,077 980,987,902 549,86112 TOWER RESEARCH CAPITAL EUROPE LLC FCM NFA 03/31/2011 3,412,878 1,000,000 2,412,878 113 TRADELINK LLC FCM BD CBOT 03/31/2011 21,428,846 1,000,000 20,428,846 114 TRADESTATION FOREX INC. RFED NFA 03/31/2011 22,219,402 20,000,000 2,219,402 115 TRADESTATION SECURITIES INC FCM BD NFA 03/31/2011 60,186,849 3,241,402 56,945,447 406,53116 TRADITION SECURITIES AND FUTURES INC FCM NFA 03/31/2011 1,541,602 1,000,000 541,602 117 TRILAND USA INC FCM NYME 03/31/2011 30,707,932 15,229,855 15,478,077 201,17118 UBS FINANCIAL SERVICES INC FCM BD NFA 03/31/2011 1,295,635,862 102,491,711 1,193,144,151 212,49119 UBS SECURITIES LLC FCM BD CBOT 03/31/2011 11,592,109,893 940,311,520 10,651,798,373 9,967,62120 VELOCITY FUTURES LLC FCM NFA 03/31/2011 1,701,763 1,000,000 701,763 67,81121 VISION FINANCIAL MARKETS LLC FCM BD CME 03/31/2011 19,464,000 10,861,315 8,602,685 415,14122 WALL STREET DERIVATIVES INC FCM NFA 03/31/2011 1,500,568 1,000,000 500,568 

123 WELLS FARGO ADVISORS FINANCIAL NETWORK LLC FCM BD NFA 03/31/2011 41,844,748 2,688,793 39,155,955 124 WELLS FARGO ADVISORS LLC FCM BD NFA 03/31/2011 680,324,429 1,500,000 678,824,429 125 WELLS FARGO SECURITIES LLC FCM BD CME 03/31/2011 796,573,318 16,976,878 779,596,440 126 WHITE COMMERCIAL CORPORATION FCM NFA 03/31/2011 2,425,278 1,000,000 1,425,278 127 YORK BUSINESS ASSOCIATES LLC FCM NFA 03/31/2011 2,960,661 1,000,000 1,960,661 71,69
SELECTED FCM FINANCIAL DATA AS OF 

March 31, 2011

FROM REPORTS FILED BY 

May 06, 2011

Reg As DSRO A/O Adjusted Net Capital Excess Customer

Date Net Capital Requirement Net Capital Seg Requir

4d(a)(2) 

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

Futures Commission Merchant / Retail Foreign Exchange 

Dealer

Totals 163,052,68
SELECTED FCM FINANCIAL DATA AS OF 

March 31, 2011

FROM REPORTS FILED BY 

May 06, 2011

Reg As DSRO A/O Adjusted Net Capital Excess Customer

Date Net Capital Requirement Net Capital Seg Requir

4d(a)(2) 

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

Futures Commission Merchant / Retail Foreign Exchange 

Dealer

February Web Page Update 125Additions 2ICAP CORPORATES LLCSTRAITS FINANCIAL LLCDeletions 0NoneName ChangeNoneMarch Web Page Update 127(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 transacaccounts 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. (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 intthe 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(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 

• 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• 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 oblig

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