SELECTED FCM FINANCIAL DATA AS OF 

January 31, 2009

FROM REPORTS FILED BY 

February 28, 2009

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

Futures Commission Merchant Date Net Capital Requirement Net Capital S

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

1 3D FOREX LLC N NFA 01/31/2009 20,033,851 500,000 19,533,851 2 ACM USA LLC N NFA 01/31/2009 1,695,592 500,000 1,195,592 3 ADM INVESTOR SERVICES INC N CBOT 01/31/2009 160,438,312 74,296,117 86,142,195 4 ADVANCED MARKETS LLC N NFA 01/31/2009 19,873,581 15,000,000 4,873,581 

5 ADVANTAGE FUTURES LLC N CME 01/30/2009 19,751,808 5,596,760 14,155,048 

6 AIG CLEARING CORPORATION N NYME 01/31/2009 128,352,260 12,683,357 115,668,903 

7 ALARON TRADING CORPORATION N NFA 01/31/2009 2,831,646 500,000 2,331,646 8 ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC * Y NFA 12/31/2008 27,457,078 6,847,647 20,609,431 

9 ALPARI (US) LLC N NFA 01/31/2009 19,690,941 15,000,000 4,690,941 

10 AMERIPRISE ADVISOR SERVICES INC Y NFA 01/31/2009 85,426,561 5,499,948 79,926,613 11 BANC OF AMERICA SECURITIES LLC Y CME 01/30/2009 3,671,056,594 130,363,071 3,540,693,523 

12 BARCLAYS CAPITAL INC Y NYME 01/30/2009 7,503,086,708 500,000,000 7,003,086,708 13 BGC FINANCIAL LP Y NFA 01/31/2009 57,145,672 250,000 56,895,672 14 BGC SECURITIES Y NFA 01/31/2009 9,301,951 500,000 8,801,951 

15 BNP PARIBAS COMMODITY FUTURES INC N NYME 01/30/2009 311,928,016 245,439,573 66,488,443 

16 BNP PARIBAS SECURITIES CORP Y CBOT 01/31/2009 1,364,762,343 97,113,272 1,267,649,071 

17 CADENT FINANCIAL SERVICES LLC N CME 01/31/2009 9,209,883 4,628,272 4,581,611 

18 CANTOR FITZGERALD & CO Y CBOT 01/31/2009 325,344,530 17,197,900 308,146,630 19 CAPITAL MARKET SERVICES LLC N NFA 01/31/2009 29,255,080 15,000,000 14,255,080 20 CIBC WORLD MARKETS CORP Y CME 01/30/2009 1,118,248,168 6,733,737 1,111,514,431 

21 CITIGROUP GLOBAL MARKETS INC Y CBOT 01/31/2009 7,149,522,573 847,234,997 6,302,287,576 22 CLIFF LARSON COMPANY THE N NFA 01/31/2009 2,444,903 837,063 1,607,840 

23 COMMONWEALTH FOREIGN EXCHANGE INC N NFA 01/31/2009 1,049,136 500,000 549,136 24 COUNTRY HEDGING INC N NFA 01/31/2009 15,093,393 8,097,690 6,995,703 25 CREDIT SUISSE SECURITIES (USA) LLC Y CBOT 01/31/2009 10,921,087,654 549,864,349 10,371,223,305 26 CROSSLAND LLC N CBOT 01/31/2009 3,146,328 587,406 2,558,922 

27 CUNNINGHAM COMMODITIES LLC N CBOT 01/31/2009 3,063,469 500,000 2,563,469 28 CX CAPITAL MARKETS LLC N NFA 01/31/2009 803,967 500,000 303,967 29 DAIWA SECURITIES AMERICA INC Y CME 01/31/2009 226,815,407 3,144,487 223,670,920 30 DEUTSCHE BANK SECURITIES INC Y CBOT 01/30/2009 5,901,107,907 397,557,425 5,503,550,482 

31 DORMAN TRADING LLC N CME 01/31/2009 7,227,165 500,000 6,727,165 

32 EAGLE MARKET MAKERS INC N CBOT 01/31/2009 4,923,362 500,000 4,423,362 

33 EASY FOREX US LTD N NFA 01/31/2009 15,440,303 15,000,000 440,303 

34 ELECTRONIC BROKERAGE SYSTEMS LLC Y NFA 01/31/2009 9,769,833 196,773 9,573,060 

35 ENSKILDA FUTURES LTD N CME 01/31/2009 22,595,009 15,068,638 7,526,371 

36 FARR FINANCIAL INC N NFA 01/31/2009 969,662 500,000 469,662 37 FC STONE LLC N CME 01/31/2009 52,182,923 41,973,735 10,209,188 

38 FOREX CAPITAL MARKETS LLC N NFA 01/31/2009 98,456,604 15,000,000 83,456,604 

39 FOREX CLUB FINANCIAL COMPANY INC N NFA 01/31/2009 22,409,695 15,000,000 7,409,695 40 FORTIS CLEARING AMERICAS LLC Y CBOT 01/31/2009 194,407,282 53,122,076 141,285,206 41 FRIEDBERG MERCANTILE GROUP INC N NFA 01/31/2009 3,370,857 500,000 2,870,857 

42 FRONTIER FUTURES INC N NFA 01/31/2009 1,255,321 733,807 521,514 43 FUTURES TECH LLC N NFA 01/31/2009 828,979 500,000 328,979 44 FX SOLUTIONS LLC N NFA 01/31/2009 43,785,065 15,000,000 28,785,065 45 GAIN CAPITAL GROUP LLC N NFA 01/31/2009 107,390,780 15,000,000 92,390,780 46 GELBER GROUP LLC N CBOT 01/31/2009 124,036,290 500,000 123,536,290 
SELECTED FCM FINANCIAL DATA AS OF 

January 31, 2009

FROM REPORTS FILED BY 

February 28, 2009

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

Futures Commission Merchant Date Net Capital Requirement Net Capital S

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

47 GFS FOREX & FUTURES INC N NFA 01/31/2009 15,957,382 15,000,000 957,382 48 GILDER GAGNON HOWE & CO LLC Y NFA 01/31/2009 12,654,362 500,000 12,154,362 49 GLOBAL FUTURES & FOREX LTD N NFA 01/31/2009 76,055,556 15,000,000 61,055,556 

50 GOLDMAN SACHS & CO Y CBOT 01/30/2009 14,020,829,023 1,931,569,806 12,089,259,217 51 GOLDMAN SACHS EXECUTION & CLEARING LP Y CME 01/30/2009 1,748,729,336 62,677,421 1,686,051,915 52 HOTSPOT FXR LLC N NFA 01/31/2009 15,404,375 15,000,000 404,375 53 HSBC SECURITIES USA INC Y CME 01/30/2009 1,214,488,130 79,878,300 1,134,609,830 

54 I TRADE FX LLC N NFA 01/31/2009 16,081,083 15,000,000 1,081,083 55 ICAP FUTURES LLC N NFA 01/31/2009 6,636,329 500,000 6,136,329 56 IG MARKETS INC N NFA 01/31/2009 24,132,296 15,000,000 9,132,296 

57 IKON GLOBAL MARKETS INC N NFA 01/31/2009 16,548,536 15,000,000 1,548,536 58 INSTINET LLC Y NFA 01/31/2009 100,070,532 1,872,461 98,198,071 59 INTEGRATED BROKERAGE SERVICES LLC N NFA 01/31/2009 1,849,966 500,000 1,349,966 60 INTERACTIVE BROKERS LLC Y NFA 01/31/2009 618,460,008 38,523,301 579,936,707 61 INTERBANK FX LLC N NFA 01/31/2009 39,945,958 15,000,000 24,945,958 62 ITG DERIVATIVES LLC Y NFA 01/31/2009 1,151,338 500,000 651,338 

63 JP MORGAN CLEARING CORP Y CME 01/31/2009 4,684,486,705 1,273,132,742 3,411,353,963 

64 JP MORGAN FUTURES INC N NYME 01/31/2009 2,209,232,722 1,443,967,640 765,265,082 

65 JP MORGAN SECURITIES INC Y NFA 01/31/2009 7,613,920,913 592,304,144 7,021,616,769 

66 LADENBURG THALMANN & CO INC Y NFA 01/31/2009 4,155,321 500,000 3,655,321 67 LBS LIMITED PARTNERSHIP N NFA 01/31/2009 785,983 500,000 285,983 68 LEK SECURITIES CORPORATION Y NFA 01/31/2009 12,445,645 1,500,000 10,945,645 

69 LIMESTONE TRADING LLC N NFA 01/31/2009 7,695,324 500,000 7,195,324 70 LINN GROUP THE N NFA 01/31/2009 2,986,846 500,000 2,486,846 

71 LPL FINANCIAL CORPORATION Y NFA 01/31/2009 101,506,436 11,726,117 89,780,319 72 MACQUARIE FUTURES USA INC N CBOT 01/31/2009 52,711,788 26,090,350 26,621,438 73 MAREX CARLTON LIMITED N NFA 01/31/2009 771,088 500,000 271,088 74 MB TRADING FUTURES INC N NFA 01/31/2009 15,227,957 15,000,000 227,957 75 MBF CLEARING CORP N NYME 01/31/2009 26,856,991 2,027,363 24,829,628 

76 MCVEAN TRADING & INVESTMENTS LLC N NFA 01/31/2009 11,744,460 1,171,098 10,573,362 

77 MERRILL LYNCH PIERCE FENNER & SMITH Y CBOT 01/31/2009 5,321,864,072 626,198,416 4,695,665,656 78 MERRILL LYNCH PROFESSIONAL CLEARING CORP Y NFA 01/31/2009 2,168,499,702 66,864,883 2,101,634,819 79 MF GLOBAL INC Y CME 01/31/2009 657,659,591 360,555,795 297,103,796 

80 MG FINANCIAL LLC N NFA 01/31/2009 5,406,476 500,000 4,906,476 81 MID CO COMMODITIES INC N NFA 01/31/2009 13,977,381 2,677,482 11,299,899 

82 MITSUI BUSSAN COMMODITIES USA INC N NYME 01/31/2009 7,472,547 1,813,339 5,659,208 

83 MIZUHO SECURITIES USA INC Y CME 01/30/2009 335,400,295 72,519,262 262,881,033 84 MORGAN KEEGAN & COMPANY INC Y NFA 01/31/2009 332,454,059 8,531,806 323,922,253 

85 MORGAN STANLEY & CO INCORPORATED Y CME 01/31/2009 10,019,707,601 839,020,771 9,180,686,830 

86 NATIXIS SECURITIES NORTH AMERICA INC Y NFA 01/30/2009 209,598,134 500,000 209,098,134 

87 NEUBERGER BERMAN LLC Y NFA 01/31/2009 113,476,881 1,500,000 111,976,881 

88 NEWEDGE USA LLC Y NYME 01/31/2009 2,387,235,113 1,665,488,155 721,746,958 89 NOMURA SECURITIES INTERNATIONAL INC Y CBOT 01/30/2009 727,071,685 1,662,350 725,409,335 90 OANDA CORPORATION N NFA 01/31/2009 169,501,514 15,000,000 154,501,514 91 ODL SECURITIES INC N NFA 01/31/2009 19,572,976 15,000,000 4,572,976 

92 OPEN E CRY LLC N NFA 01/31/2009 2,566,388 725,363 1,841,025 

93 OPPENHEIMER & CO INC Y NFA 01/30/2009 176,462,080 16,284,405 160,177,675 
SELECTED FCM FINANCIAL DATA AS OF 

January 31, 2009

FROM REPORTS FILED BY 

February 28, 2009

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

Futures Commission Merchant Date Net Capital Requirement Net Capital S

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

94 OPTIONSXPRESS INC Y NFA 01/31/2009 79,162,208 6,624,156 72,538,052 

95 PENSON GHCO N CBOT 01/31/2009 19,637,902 11,707,686 7,930,216 96 PEREGRINE FINANCIAL GROUP INC N NFA 01/31/2009 26,005,257 15,000,000 11,005,257 

97 PIONEER FUTURES INC N NYME 01/31/2009 1,400,188 500,000 900,188 98 PRUDENTIAL BACHE COMMODITIES LLC N CBOT 01/31/2009 254,424,000 209,767,920 44,656,080 99 PUMA FINANCIAL LLC N NFA 01/30/2009 1,572,312 500,000 1,072,312 

100 RAND FINANCIAL SERVICES INC N CME 01/31/2009 68,887,506 7,936,355 60,951,151 

101 RAYMOND JAMES & ASSOCIATES INC Y NFA 01/30/2009 302,013,869 24,291,254 277,722,615 102 RBC CAPITAL MARKETS CORPORATION Y CME 01/30/2009 807,943,466 127,825,536 680,117,930 103 RBS GREENWICH CAPITAL INC Y CBOT 01/31/2009 2,307,055,000 207,411,000 2,099,644,000 104 RJ OBRIEN & ASSOCIATES LLC N CME 01/31/2009 111,509,133 55,766,702 55,742,431 105 ROBBINS FUTURES INC N NFA 01/31/2009 573,369 500,000 73,369 106 ROSENTHAL COLLINS GROUP LLC N CME 01/31/2009 86,237,076 28,476,768 57,760,308 107 ROSENTHAL GLOBAL SECURITIES LLC Y NFA 01/31/2009 62,457,210 1,118,410 61,338,800 108 SANFORD C BERNSTEIN & CO LLC Y NFA 01/31/2009 178,498,481 8,774,047 169,724,434 109 SANTANDER INVESTMENT SECURITIES INC Y NFA 01/30/2009 68,322,783 500,000 67,822,783 110 SHAY GRAIN CLEARING COMPANY N KCBT 01/31/2009 2,575,112 760,095 1,815,017 

111 SMW TRADING COMPANY INC N CME 01/31/2009 18,473,788 500,000 17,973,788 

112 STEPHENS INC Y NFA 01/30/2009 73,962,196 9,291,064 64,671,132 113 STERLING COMMODITIES CORP N NYME 01/31/2009 8,864,720 500,000 8,364,720 

114 TCA FUTURES LLC N NFA 01/31/2009 887,973 500,000 387,973 115 TD AMERITRADE INC Y NFA 01/31/2009 82,164,924 500,000 81,664,924 116 TENCO INC N CBOT 01/31/2009 43,226,992 7,441,288 35,785,704 

117 TERRA NOVA FINANCIAL LLC Y NFA 01/31/2009 11,846,447 1,500,000 10,346,447 118 TIMBER HILL LLC Y CME 01/31/2009 1,415,400,445 10,170,906 1,405,229,539 119 TOWER RESEARCH CAPITAL EUROPE LLC N NFA 01/31/2009 2,149,679 500,000 1,649,679 120 TRADELINK LLC Y CBOT 01/31/2009 28,722,867 500,000 28,222,867 121 TRADESTATION SECURITIES INC Y NFA 01/31/2009 93,640,592 1,031,494 92,609,098 

122 TRADITION SECURITIES AND FUTURES INC N NFA 01/31/2009 827,817 500,000 327,817 

123 TRANSMARKET GROUP LLC Y CBOT 01/31/2009 17,382,622 500,000 16,882,622 124 TRILAND USA INC N NYME 01/31/2009 47,800,892 12,160,030 35,640,862 

125 UBS FINANCIAL SERVICES INC Y NFA 01/31/2009 956,893,164 89,811,031 867,082,133 

126 UBS SECURITIES LLC Y CBOT 01/30/2009 14,213,255,815 1,038,806,872 13,174,448,943 

127 VELOCITY FUTURES LLC N NFA 01/31/2009 1,078,989 500,000 578,989 128 VISION FINANCIAL MARKETS LLC Y CME 01/31/2009 22,694,381 5,142,797 17,551,584 

129 WACHOVIA CAPITAL MARKETS LLC Y CME 01/31/2009 1,830,863,930 1,000,000 1,829,863,930 

130 WACHOVIA SECURITIES FINANCIAL NETWORK LLC Y NFA 01/31/2009 34,216,577 2,529,625 31,686,952 131 WACHOVIA SECURITIES LLC Y NFA 01/31/2009 603,917,814 20,809,011 583,108,803 132 WHITE COMMERCIAL CORPORATION N NFA 01/31/2009 2,131,515 500,000 1,631,515 133 WSD FINANCIAL USA INC N NFA 01/31/2009 1,281,341 500,000 781,341 134 YORK BUSINESS ASSOCIATES LLC N NFA 01/31/2009 1,125,449 500,000 625,449 

TOTAL 
SELECTED FCM FINANCIAL DATA AS OF 

January 31, 2009

FROM REPORTS FILED BY 

February 28, 2009

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

Futures Commission Merchant Date Net Capital Requirement Net Capital S

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

December Web Page Update 134Additions 2BGC FINANCIAL LPCX CAPITAL MARKETS LLCDeletions 2DUNAVANT COMMODITY CORPGATEWAY CAPITAL L.L.C.Name ChangeFrom VELOCITY FUTURES LP TO VELOCITY FUTURES LLCJanuary Web Page Update 134*Allianz Global Investors Distributions LLC files financial statements quarterly.(a): B/D? : A 'Y' means the FCM is also registered with the (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);

(4) for securities brokers and dealers, the amount of net capital required by Rule 15c3-1(a) of the Securities and Exchange Commission.(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. 
SELECTED FCM FINANCIAL DATA AS OF 

January 31, 2009

FROM REPORTS FILED BY 

February 28, 2009

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

Futures Commission Merchant Date Net Capital Requirement Net Capital S

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

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; phill@cftc.gov or fzimmerle@cftc.gov