SELECTED FCM FINANCIAL DATA AS OF 

October 31, 2010

FROM REPORTS FILED BY 

November 30, 2010

Reg As DSRO A/O Adjusted Net Capital Excess Customers

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 10/31/2010 227,996,311 82,064,479 145,931,832 1,490,60

2 ADM INVESTOR SERVICES INC FCM CBOT 10/31/2010 296,781,516 151,423,388 145,358,128 2,501,63

3 ADVANCED MARKETS LLC RFED NFA 10/31/2010 20,558,887 20,000,000 558,887 

4 ADVANTAGE FUTURES LLC FCM CME 10/29/2010 21,105,825 10,630,523 10,475,302 282,64

5 ADVANTAGE SECURITIES LLC FCM BD NFA 10/31/2010 4,037,140 1,000,000 3,037,140 

6 ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC* FCM NFA 09/30/2010 62,728,255 10,405,027 52,323,228 

7 ALPARI (US) LLC RFED NFA 10/31/2010 20,528,986 20,000,000 528,986 

8 AMERIPRISE FINANCIAL SERVICES INC FCM BD NFA 10/31/2010 157,764,177 1,000,000 156,764,177 

9 AMP GLOBAL CLEARING LLC FCM NFA 10/31/2010 1,373,191 1,000,000 373,191 21,42

10 BARCLAYS CAPITAL INC FCM BD NYME 10/31/2010 6,009,682,979 668,685,062 5,340,997,917 4,654,6011 BGC FINANCIAL LP FCM BD NFA 10/31/2010 41,905,030 1,000,000 40,905,030 12 BNP PARIBAS COMMODITY FUTURES INC FCM NYME 10/31/2010 346,196,164 165,164,454 181,031,710 1,449,47

13 BNP PARIBAS SECURITIES CORP FCM BD CBOT 10/31/2010 1,845,270,169 73,460,975 1,771,809,194 449,7914 BNY MELLON CLEARING LLC FCM CME 10/31/2010 78,623,905 4,724,684 73,899,221 9715 CANTOR FITZGERALD & CO FCM BD CBOT 10/31/2010 204,141,291 1,589,955 202,551,336 6,61

16 CAPITAL MARKET SERVICES LLC RFED NFA 10/31/2010 22,661,289 20,000,000 2,661,289 

17 CIBC WORLD MARKETS CORP FCM BD CME 10/31/2010 672,505,051 4,678,200 667,826,851 

18 CITADEL SECURITIES LLC FCM BD CME 10/31/2010 343,882,933 1,000,000 342,882,933 

19 CITIGROUP GLOBAL MARKETS INC FCM BD CBOT 10/31/2010 9,112,631,863 746,749,469 8,365,882,394 10,317,3120 COMMONWEALTH FOREIGN EXCHANGE INC FCM NFA 10/31/2010 1,714,103 1,000,000 714,103 

21 COMPASS PROFESSIONAL SERVICES LLC FCM BD NFA 10/31/2010 3,322,611 1,000,000 2,322,611 

22 COUNTRY HEDGING INC FCM NFA 10/31/2010 28,357,910 19,308,985 9,048,925 212,2223 CREDIT SUISSE SECURITIES (USA) LLC FCM BD CBOT 10/31/2010 10,181,054,395 964,491,994 9,216,562,401 5,169,38

24 CROSSLAND LLC FCM CBOT 10/31/2010 7,765,752 5,938,028 1,827,724 82,72

25 CUNNINGHAM COMMODITIES LLC FCM CBOT 10/31/2010 3,469,228 1,000,000 2,469,228 38,98

26 CX CAPITAL MARKETS LLC FCM NFA 10/31/2010 2,339,761 1,000,000 1,339,761 25,16

27 DAIWA CAPITAL MARKETS AMERICA INC FCM BD CME 10/31/2010 218,791,431 1,722,582 217,068,849 9,1128 DEUTSCHE BANK SECURITIES INC FCM BD CBOT 10/31/2010 5,902,645,451 593,279,071 5,309,366,380 12,364,5229 DORMAN TRADING LLC FCM CME 10/31/2010 6,485,899 1,000,000 5,485,899 90,67

30 EAGLE MARKET MAKERS INC FCM CBOT 10/29/2010 6,211,659 1,000,000 5,211,659 5,48

31 EASY FOREX US LTD FCM NFA 10/31/2010 2,824,643 1,000,000 1,824,643 

32 ELECTRONIC BROKERAGE SYSTEMS LLC FCM BD NFA 10/31/2010 7,765,427 1,000,000 6,765,427 33 ENSKILDA FUTURES LTD FCM CME 10/31/2010 29,866,158 18,708,258 11,157,900 264,7634 FARR FINANCIAL INC FCM NFA 10/31/2010 1,894,992 1,000,000 894,992 42,79

35 FCSTONE LLC FCM CME 10/31/2010 91,297,920 67,852,963 23,444,957 1,350,0036 FOREX CAPITAL MARKETS LLC RFED NFA 10/31/2010 38,040,727 26,082,622 11,958,105 

37 FOREX CLUB FINANCIAL COMPANY INC RFED NFA 10/31/2010 20,981,111 20,000,000 981,111 

38 FRIEDBERG MERCANTILE GROUP INC FCM NFA 10/31/2010 3,383,828 1,000,000 2,383,828 7,47

39 FRONTIER FUTURES INC FCM NFA 10/31/2010 1,817,436 1,394,021 423,415 33,37

40 FUTURES TECH LLC FCM NFA 10/31/2010 1,574,976 1,000,000 574,976 

41 FX SOLUTIONS LLC RFED NFA 10/31/2010 35,522,655 20,659,493 14,863,162 

42 FXDIRECTDEALER LLC RFED NFA 10/31/2010 26,999,467 21,589,857 5,409,610 

43 GAIN CAPITAL GROUP LLC RFED NFA 10/31/2010 75,889,600 26,542,098 49,347,502 

Futures Commission Merchant / Retail Foreign Exchange 

Dealer
SELECTED FCM FINANCIAL DATA AS OF 

October 31, 2010

FROM REPORTS FILED BY 

November 30, 2010

Reg As DSRO A/O Adjusted Net Capital Excess Customers

Date Net Capital Requirement Net Capital Seg Requir

4d(a)(2) 

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

Futures Commission Merchant / Retail Foreign Exchange 

Dealer

44 GENESIS FUTURES LLC FCM NFA 10/31/2010 1,518,609 1,000,000 518,609 

45 GLOBAL FUTURES & FOREX LTD RFED NFA 10/31/2010 79,094,164 26,033,164 53,061,000 30

46 GOLDMAN SACHS & CO FCM BD CBOT 10/31/2010 10,934,639,756 1,986,799,767 8,947,839,989 20,075,00

47 GOLDMAN SACHS EXECUTION & CLEARING LP FCM BD CME 10/31/2010 1,958,080,818 121,717,704 1,836,363,114 1,284,3848 HSBC SECURITIES USA INC FCM BD CME 10/31/2010 1,091,231,476 109,194,521 982,036,955 896,9149 ICAP FUTURES LLC FCM NFA 10/31/2010 9,094,428 1,000,000 8,094,428 

50 IG MARKETS INC FCM NFA 10/31/2010 29,592,620 20,000,000 9,592,620 751 IKON GLOBAL MARKETS INC FCM NFA 10/29/2010 21,238,730 1,000,000 20,238,730 15,1752 INSTINET LLC FCM BD NFA 10/31/2010 91,883,313 1,000,000 90,883,313 53 INSTITUTIONAL LIQUIDITY LLC FCM NFA 10/31/2010 21,105,528 20,000,000 1,105,528 54 INTEGRATED BROKERAGE SERVICES LLC FCM NFA 10/31/2010 1,814,143 1,000,000 814,143 

55 INTERACTIVE BROKERS LLC FCM BD NFA 10/31/2010 1,100,381,655 147,466,488 952,915,167 589,9956 INTERBANK FX LLC RFED NFA 10/31/2010 26,717,981 21,285,321 5,432,660 

57 IRONBEAM INC FCM NFA 10/31/2010 1,486,210 1,000,000 486,210 

58 ITG DERIVATIVES LLC FCM BD NFA 10/31/2010 4,971,726 1,000,000 3,971,726 

59 JP MORGAN CLEARING CORP FCM BD CME 10/31/2010 5,772,530,869 1,717,556,145 4,054,974,724 486,5660 JP MORGAN FUTURES INC FCM NYME 10/31/2010 2,402,730,882 1,201,810,004 1,200,920,878 15,885,7661 JP MORGAN SECURITIES LLC FCM BD NFA 10/31/2010 7,538,415,016 559,347,606 6,979,067,410 62 LEK SECURITIES CORPORATION FCM BD NFA 10/31/2010 10,899,140 1,500,000 9,399,140 2563 LIMESTONE TRADING LLC FCM NFA 10/31/2010 9,169,412 1,000,000 8,169,412 

64 LINN GROUP THE FCM NFA 10/31/2010 2,343,403 1,350,502 992,901 36,17

65 LPL FINANCIAL CORPORATION FCM BD NFA 10/31/2010 122,183,773 5,512,197 116,671,576 

66 MACQUARIE FUTURES USA INC FCM CBOT 10/31/2010 85,261,736 43,993,578 41,268,158 810,2967 MAREX USA LIMITED FCM NFA 10/31/2010 3,347,533 1,000,000 2,347,533 

68 MB TRADING FUTURES INC RFED NFA 10/31/2010 25,510,590 21,116,549 4,394,041 

69 MBF CLEARING CORP FCM NYME 10/31/2010 11,030,763 1,376,294 9,654,469 74,98

70 MCVEAN TRADING & INVESTMENTS LLC FCM NFA 10/31/2010 11,883,444 4,026,643 7,856,801 705,2371 MERRILL LYNCH PIERCE FENNER & SMITH FCM BD CBOT 10/31/2010 5,740,227,385 686,745,570 5,053,481,815 8,952,0772 MERRILL LYNCH PROFESSIONAL CLEARING CORP FCM BD NFA 10/29/2010 2,298,471,850 182,605,161 2,115,866,689 1,207,09

73 MF GLOBAL INC FCM BD CME 10/29/2010 593,200,760 444,844,167 148,356,593 9,222,1774 MG FINANCIAL LLC FCM NFA 10/31/2010 5,083,560 1,000,000 4,083,560 

75 MID CO COMMODITIES INC FCM NFA 10/31/2010 22,586,894 8,790,929 13,795,965 68,3376 MITSUBISHI UFJ SECURITIES USA INC FCM BD NFA 10/31/2010 86,489,537 1,239,201 85,250,336 77 MITSUI BUSSAN COMMODITIES USA INC FCM NFA 10/31/2010 9,338,802 1,000,000 8,338,802 

78 MIZUHO SECURITIES USA INC FCM BD CME 10/31/2010 402,809,419 67,943,935 334,865,484 810,8279 MORGAN KEEGAN & COMPANY INC FCM BD NFA 10/31/2010 413,626,627 8,821,677 404,804,950 80 MORGAN STANLEY & CO INCORPORATED FCM BD CME 10/31/2010 7,748,175,035 1,180,078,707 6,568,096,328 5,144,2581 MORGAN STANLEY SMITH BARNEY LLC FCM BD NFA 10/31/2010 1,478,125,578 44,027,730 1,434,097,848 640,5782 NATIXIS SECURITIES NORTH AMERICA INC FCM BD NFA 10/29/2010 202,075,747 1,000,000 201,075,747 83 NEUBERGER BERMAN LLC FCM BD NFA 10/31/2010 90,220,904 1,500,000 88,720,904 84 NEWEDGE USA LLC FCM BD NYME 10/31/2010 2,416,414,818 1,481,934,929 934,479,889 21,547,4185 NOMURA SECURITIES INTERNATIONAL INC FCM BD CBOT 10/29/2010 768,731,034 12,559,227 756,171,807 82,6186 OANDA CORPORATION RFED NFA 10/31/2010 164,210,568 30,385,013 133,825,555 
SELECTED FCM FINANCIAL DATA AS OF 

October 31, 2010

FROM REPORTS FILED BY 

November 30, 2010

Reg As DSRO A/O Adjusted Net Capital Excess Customers

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 10/31/2010 3,256,687 1,000,000 2,256,687 83,31

88 OPPENHEIMER & CO INC FCM BD NFA 10/31/2010 169,880,134 24,708,474 145,171,660 21,6189 OPTIONSXPRESS INC FCM BD NFA 10/31/2010 122,945,095 9,042,710 113,902,385 81,0290 PENSON FUTURES FCM CBOT 10/31/2010 28,913,876 24,475,381 4,438,495 720,4691 PEREGRINE FINANCIAL GROUP INC FCM NFA 10/31/2010 36,163,490 21,799,468 14,364,022 463,7092 PIONEER FUTURES INC FCM NFA 10/31/2010 2,101,817 1,000,000 1,101,817 

93 PRUDENTIAL BACHE COMMODITIES LLC FCM CBOT 10/31/2010 219,432,000 181,958,160 37,473,840 2,724,41

94 RAND FINANCIAL SERVICES INC FCM CME 10/31/2010 69,638,383 21,039,997 48,598,386 299,2295 RAYMOND JAMES & ASSOCIATES INC FCM BD NFA 10/31/2010 363,937,001 30,107,408 333,829,593 96 RBC CAPITAL MARKETS CORPORATION FCM BD CME 10/31/2010 998,933,146 76,849,170 922,083,976 295,8897 RBS SECURITIES INC FCM BD CBOT 10/31/2010 1,977,099,000 184,370,000 1,792,729,000 1,576,7398 RJ OBRIEN ASSOCIATES LLC FCM CME 10/31/2010 162,188,912 100,452,747 61,736,165 2,216,3699 ROSENTHAL COLLINS GROUP LLC FCM CME 10/31/2010 70,478,746 49,973,292 20,505,454 1,449,02

100 ROSENTHAL GLOBAL SECURITIES LLC FCM BD NFA 10/31/2010 54,919,093 492,331 54,426,762 

101 SANFORD C BERNSTEIN & CO LLC FCM BD NFA 10/31/2010 165,580,351 14,337,083 151,243,268 102 SANTANDER INVESTMENT SECURITIES INC FCM BD NFA 10/29/2010 87,925,411 1,836,487 86,088,924 103 SMW TRADING COMPANY INC FCM CME 10/31/2010 26,561,008 1,000,000 25,561,008 1,19104 STATE STREET GLOBAL MARKETS LLC FCM BD CME 10/31/2010 371,243,925 1,000,000 370,243,925 7,42105 STEPHENS FCM BD NFA 10/31/2010 76,644,333 11,815,747 64,828,586 106 STERLING COMMODITIES CORP FCM NYME 10/31/2010 7,924,796 1,607,685 6,317,111 54,58

107 TCA FUTURES LLC FCM NFA 10/31/2010 1,638,362 1,000,000 638,362 

108 TD AMERITRADE INC FCM BD NFA 10/31/2010 175,727,409 1,000,000 174,727,409 109 TENCO INC FCM CBOT 10/31/2010 54,276,561 12,698,475 41,578,086 326,30

110 TERRA NOVA FINANCIAL LLC FCM BD NFA 10/31/2010 8,666,064 1,500,000 7,166,064 

111 TIMBER HILL LLC FCM BD CME 10/31/2010 978,922,765 40,948,517 937,974,248 462,12

112 TOWER RESEARCH CAPITAL EUROPE LLC FCM NFA 11/30/2010 5,243,674 1,000,000 4,243,674 

113 TRADELINK LLC FCM BD CBOT 10/31/2010 24,336,311 1,000,000 23,336,311 

114 TRADESTATION SECURITIES INC FCM BD NFA 10/31/2010 70,600,380 2,723,059 67,877,321 394,32115 TRADITION SECURITIES AND FUTURES INC FCM NFA 10/29/2010 1,560,155 1,000,000 560,155 

116 TRILAND USA INC FCM NYME 10/31/2010 23,679,454 15,896,260 7,783,194 191,30

117 UBS FINANCIAL SERVICES INC FCM BD NFA 10/31/2010 1,131,283,090 91,085,506 1,040,197,584 206,73

118 UBS SECURITIES LLC FCM BD CBOT 10/29/2010 11,119,249,796 905,162,286 10,214,087,510 9,517,67119 VELOCITY FUTURES LLC FCM NFA 10/31/2010 1,684,448 1,000,000 684,448 62,36

120 VISION FINANCIAL MARKETS LLC FCM BD CME 10/31/2010 22,690,953 8,623,899 14,067,054 362,96

121 WELLS FARGO ADVISORS FINANCIAL NETWORK LLC FCM BD NFA 10/31/2010 33,028,910 4,920,563 28,108,347 122 WELLS FARGO ADVISORS LLC FCM BD NFA 10/31/2010 649,611,300 1,500,000 648,111,300 123 WELLS FARGO SECURITIES LLC FCM BD CME 10/31/2010 1,249,473,168 6,359,879 1,243,113,289 

124 WHITE COMMERCIAL CORPORATION FCM NFA 10/31/2010 2,713,014 1,000,000 1,713,014 

125 WSD FINANCIAL USA INC FCM NFA 10/31/2010 1,505,697 1,000,000 505,697 

126 YORK BUSINESS ASSOCIATES LLC FCM NFA 10/31/2010 2,331,253 1,000,000 1,331,253 64,10
SELECTED FCM FINANCIAL DATA AS OF 

October 31, 2010

FROM REPORTS FILED BY 

November 30, 2010

Reg As DSRO A/O Adjusted Net Capital Excess Customers

Date Net Capital Requirement Net Capital Seg Requir

4d(a)(2) 

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

Futures Commission Merchant / Retail Foreign Exchange 

Dealer

Totals 150,991,15
SELECTED FCM FINANCIAL DATA AS OF 

October 31, 2010

FROM REPORTS FILED BY 

November 30, 2010

Reg As DSRO A/O Adjusted Net Capital Excess Customers

Date Net Capital Requirement Net Capital Seg Requir

4d(a)(2) 

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

Futures Commission Merchant / Retail Foreign Exchange 

Dealer

September Web Page Update 126Additions 0NoneDeletions 0NoneName Change 0NoneOctober Web Page Update 126*Allianz Global Investors Distributors LLC files financial statements quarterly.(b): DSRO: Designated Self-Regulatory Organization. (c): A firm's net capital requirement is the greater of : (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. (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 transactiois the sum of all accounts that contain a net liquidating equity.(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 into 

dj d f h li d d li d fi l

• 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 obliga of $10,000,000.• minimum dollar amount for FCM’s offering or engaged in retail forex transactions and RFEDs ($20,000,000); or• for securities brokers and dealers, the amount of net capital required by Rule 15c3-1(a) of the Securities and Exchange Commission; or 

 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.

• the amount of capital required by a registered futures association (currently NFA is the only such association); 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 

(a): FCM: Futures Commission Merchant that is registered with the Commodity Futures Trading Commission;

• FCM minimum dollar amount ($1,000,000); or
SELECTED FCM FINANCIAL DATA AS OF 

October 31, 2010

FROM REPORTS FILED BY 

November 30, 2010

Reg As DSRO A/O Adjusted Net Capital Excess Customers

Date Net Capital Requirement Net Capital Seg Requir

4d(a)(2) 

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

Futures Commission Merchant / Retail Foreign Exchange 

Dealer

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: ccoffinmhendrickso@cftc.gov, or mfranklin@cftc.gov.accounts, adjusted for the realized and unrealized net profit or loss.