SELECTED FCM FINANCIAL DATA AS OF 

March 31, 2009

FROM REPORTS FILED BY 

April 30, 2009

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

Futures Commission Merchant Date Net Capital Requirement Net Capital 

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

1 3DFOREX LLC N NFA 03/31/2009 14,815,167 500,000 14,3152 ACM USA LLC N NFA 03/31/2009 599,981 500,000 993 ADM INVESTOR SERVICES INC N CBOT 03/31/2009 153,734,315 77,876,280 75,858

4 ADVANCED MARKETS LLC N NFA 03/31/2009 19,686,578 15,000,000 4,6865 ADVANTAGE FUTURES LLC N CME 03/31/2009 16,090,756 4,044,612 12,046

6 AIG CLEARING CORPORATION N NYME 03/31/2009 223,722,629 11,952,117 211,7707 ALARON TRADING CORPORATION N NFA 03/31/2009 1,888,604 500,000 1,3888 ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC * Y NFA 03/31/2009 23,585,672 5,484,657 18,101

9 ALPARI (US) LLC N NFA 03/31/2009 16,557,445 15,000,000 1,557

10 AMERIPRISE ADVISOR SERVICES INC Y NFA 03/31/2009 83,751,844 4,975,760 78,77611 BANC OF AMERICA SECURITIES LLC Y CME 03/31/2009 2,762,961,625 108,951,391 2,654,01012 BARCLAYS CAPITAL INC Y NYME 03/31/2009 5,324,720,085 500,000,000 4,824,72013 BGC FINANCIAL LP Y NFA 03/31/2009 63,078,626 500,000 62,57814 BNP PARIBAS COMMODITY FUTURES INC N NYME 03/31/2009 321,931,950 218,474,963 103,456

15 BNP PARIBAS SECURITIES CORP Y CBOT 03/31/2009 1,488,159,530 56,253,461 1,431,906

16 CADENT FINANCIAL SERVICES LLC N CME 03/31/2009 4,942,965 3,784,108 1,158

17 CANTOR FITZGERALD & CO Y CBOT 03/31/2009 235,419,556 2,844,363 232,575

18 CAPITAL MARKET SERVICES LLC N NFA 03/31/2009 29,360,737 15,000,000 14,360

19 CIBC WORLD MARKETS CORP Y CME 03/31/2009 1,099,070,902 4,911,180 1,094,15920 CITIGROUP GLOBAL MARKETS INC Y CBOT 03/31/2009 8,450,561,090 790,361,786 7,660,19921 CLIFF LARSON COMPANY THE N NFA 03/31/2009 913,372 500,000 41322 COMMONWEALTH FOREIGN EXCHANGE INC N NFA 03/31/2009 942,550 500,000 44223 COUNTRY HEDGING INC N NFA 03/31/2009 14,710,386 8,055,633 6,65424 CREDIT SUISSE SECURITIES (USA) LLC Y CBOT 03/31/2009 10,765,295,571 574,397,314 10,190,89825 CROSSLAND LLC N CBOT 03/31/2009 3,503,861 2,809,191 694

26 CUNNINGHAM COMMODITIES LLC N CBOT 03/31/2009 3,428,557 500,000 2,928

27 CX CAPITAL MARKETS LLC N NFA 03/31/2009 773,405 500,000 27328 DAIWA SECURITIES AMERICA INC Y CME 03/31/2009 248,248,217 1,039,242 247,20829 DEUTSCHE BANK SECURITIES INC Y CBOT 03/31/2009 5,995,163,679 436,175,773 5,558,98730 DORMAN TRADING LLC N CME 03/31/2009 7,964,086 500,000 7,464

31 EAGLE MARKET MAKERS INC N CBOT 03/31/2009 5,394,366 500,000 4,894

32 EASY FOREX US LTD N NFA 03/31/2009 15,552,903 15,000,000 552

33 ELECTRONIC BROKERAGE SYSTEMS LLC Y NFA 03/31/2009 9,533,290 613,845 8,919

34 ENSKILDA FUTURES LTD N CME 03/31/2009 22,646,686 10,222,864 12,423

35 FARR FINANCIAL INC N NFA 03/31/2009 1,171,014 500,000 671

36 FCSTONE LLC N CME 03/31/2009 54,962,785 36,458,834 18,503

37 FOREX CAPITAL MARKETS LLC N NFA 03/31/2009 113,463,235 15,000,000 98,463

38 FOREX CLUB FINANCIAL COMPANY INC N NFA 03/31/2009 21,354,665 15,000,000 6,35439 FORTIS CLEARING AMERICAS LLC Y CBOT 03/31/2009 172,975,607 58,974,253 114,001

40 FRIEDBERG MERCANTILE GROUP INC N NFA 03/31/2009 3,320,404 500,000 2,82041 FRONTIER FUTURES INC N NFA 03/31/2009 1,184,755 673,240 511
SELECTED FCM FINANCIAL DATA AS OF 

March 31, 2009

FROM REPORTS FILED BY 

April 30, 2009

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

Futures Commission Merchant Date Net Capital Requirement Net Capital 

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

42 FUTURES TECH LLC N NFA 03/31/2009 852,608 500,000 35243 FX SOLUTIONS LLC N NFA 03/31/2009 45,032,136 15,000,000 30,03244 GAIN CAPITAL GROUP LLC N NFA 03/31/2009 95,879,571 15,000,000 80,87945 GELBER GROUP LLC N CBOT 03/31/2009 60,530,348 500,000 60,03046 GFS FOREX & FUTURES INC N NFA 03/31/2009 16,302,553 15,000,000 1,30247 GILDER GAGNON HOWE & CO LLC Y NFA 03/31/2009 14,741,578 500,000 14,24148 GLOBAL FUTURES & FOREX LTD N NFA 03/31/2009 87,169,664 15,000,000 72,169

49 GOLDMAN SACHS & CO Y CBOT 03/27/2009 14,457,744,112 1,981,468,396 12,476,275

50 GOLDMAN SACHS EXECUTION & CLEARING LP Y CME 03/27/2009 2,014,101,477 78,059,577 1,936,041

51 HOTSPOT FXR LLC N NFA 03/31/2009 15,295,157 500,000 14,79552 HSBC SECURITIES USA INC Y CME 03/31/2009 1,293,607,300 74,085,816 1,219,52153 I TRADE FX LLC N NFA 03/31/2009 16,480,444 15,000,000 1,48054 ICAP FUTURES LLC N NFA 03/31/2009 6,120,878 500,000 5,62055 IG MARKETS INC N NFA 03/31/2009 23,796,135 15,000,000 8,796

56 IKON GLOBAL MARKETS INC N NFA 03/31/2009 16,423,228 15,000,000 1,423

57 INSTINET LLC Y NFA 03/31/2009 111,847,514 1,500,000 110,34758 INTEGRATED BROKERAGE SERVICES LLC N NFA 03/31/2009 1,951,729 500,000 1,45159 INTERACTIVE BROKERS LLC Y NFA 03/31/2009 645,225,474 45,541,742 599,68360 INTERBANK FX LLC N NFA 03/31/2009 38,393,728 15,000,000 23,39361 ITG DERIVATIVES LLC Y NFA 03/31/2009 2,428,309 500,000 1,928

62 JP MORGAN CLEARING CORP Y CME 03/31/2009 4,860,608,177 1,375,229,082 3,485,379

63 JP MORGAN FUTURES INC N NYME 03/31/2009 2,225,499,633 1,284,768,478 940,731

64 JP MORGAN SECURITIES INC Y NFA 03/31/2009 8,524,931,270 578,586,960 7,946,34465 LADENBURG THALMANN & CO INC Y NFA 03/31/2009 2,147,722 500,000 1,64766 LEK SECURITIES CORPORATION Y NFA 03/31/2009 13,044,652 1,500,000 11,544

67 LIMESTONE TRADING LLC N NFA 03/31/2009 11,668,969 500,000 11,16868 LINN GROUP THE N NFA 03/31/2009 2,792,071 500,000 2,29269 LPL FINANCIAL CORPORATION Y NFA 03/31/2009 108,479,046 5,546,665 102,932

70 MACQUARIE FUTURES USA INC N CBOT 03/31/2009 54,731,576 24,389,522 30,342

71 MAREX USA LIMITED N NFA 03/31/2009 939,681 500,000 439

72 MB TRADING FUTURES INC N NFA 03/31/2009 17,031,724 15,000,000 2,03173 MBF CLEARING CORP N NYME 03/31/2009 27,419,840 2,024,569 25,395

74 MCVEAN TRADING & INVESTMENTS LLC N NFA 03/31/2009 6,812,025 1,697,535 5,114

75 MERRILL LYNCH PIERCE FENNER & SMITH Y CBOT 03/31/2009 4,355,564,263 564,665,415 3,790,898

76 MERRILL LYNCH PROFESSIONAL CLEARING CORP Y NFA 03/31/2009 1,605,604,692 58,993,471 1,546,61177 MF GLOBAL INC Y CME 03/31/2009 602,127,075 359,922,128 242,20478 MG FINANCIAL LLC N NFA 03/31/2009 5,309,891 500,000 4,80979 MID CO COMMODITIES INC N NFA 03/31/2009 11,116,720 2,665,849 8,450

80 MITSUI BUSSAN COMMODITIES USA INC N NYME 03/31/2009 7,346,550 1,598,283 5,748

81 MIZUHO SECURITIES USA INC Y CME 03/31/2009 356,837,540 56,169,720 300,66782 MORGAN KEEGAN & COMPANY INC Y NFA 03/31/2009 324,460,668 9,411,257 315,049

83 MORGAN STANLEY & CO INCORPORATED Y CME 03/31/2009 11,505,129,884 830,384,067 10,674,745
SELECTED FCM FINANCIAL DATA AS OF 

March 31, 2009

FROM REPORTS FILED BY 

April 30, 2009

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

Futures Commission Merchant Date Net Capital Requirement Net Capital 

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

84 NATIXIS SECURITIES NORTH AMERICA INC Y NFA 03/31/2009 197,865,174 500,000 197,365

85 NEUBERGER BERMAN LLC Y NFA 03/31/2009 111,231,245 1,500,000 109,731

86 NEWEDGE USA LLC Y NYME 03/31/2009 2,415,830,925 1,588,015,498 827,815

87 NOMURA SECURITIES INTERNATIONAL INC Y CBOT 03/31/2009 756,765,883 1,000,000 755,765

88 OANDA CORPORATION N NFA 03/31/2009 161,723,117 15,000,000 146,72389 ODL SECURITIES INC N NFA 03/31/2009 19,002,388 15,000,000 4,00290 OPEN E CRY LLC N NFA 03/31/2009 2,679,292 656,204 2,023

91 OPPENHEIMER & CO INC Y NFA 03/31/2009 185,001,227 15,546,406 169,45492 OPTIONSXPRESS INC Y NFA 03/31/2009 70,889,953 4,659,852 66,23093 PENSON GHCO N CBOT 03/31/2009 19,754,621 13,617,797 6,136

94 PEREGRINE FINANCIAL GROUP INC N NFA 03/31/2009 30,444,366 15,000,000 15,444

95 PIONEER FUTURES INC N NYME 03/31/2009 1,813,633 500,000 1,31396 PRUDENTIAL BACHE COMMODITIES LLC N CBOT 03/31/2009 241,848,000 183,373,880 58,474

97 PUMA FINANCIAL LLC N NFA 03/31/2009 1,593,305 500,000 1,093

98 RAND FINANCIAL SERVICES INC N CME 03/31/2009 60,323,166 7,792,085 52,531

99 RAYMOND JAMES & ASSOCIATES INC Y NFA 03/31/2009 303,968,849 22,997,509 280,971

100 RBC CAPITAL MARKETS CORPORATION Y CME 03/31/2009 1,210,628,810 118,434,954 1,092,193101 RBS GREENWICH CAPITAL INC Y CBOT 03/31/2009 2,432,138,000 185,299,000 2,246,839

102 RJ OBRIEN & ASSOCIATES LLC N CME 03/31/2009 105,035,623 57,482,900 47,552103 ROBBINS FUTURES INC N NFA 03/31/2009 590,598 500,000 90104 ROSENTHAL COLLINS GROUP LLC N CME 03/31/2009 73,154,591 30,596,852 42,557105 ROSENTHAL GLOBAL SECURITIES LLC Y NFA 03/31/2009 37,945,249 1,297,812 36,647

106 SANFORD C BERNSTEIN & CO LLC Y NFA 03/31/2009 153,543,823 7,727,530 145,816107 SANTANDER INVESTMENT SECURITIES INC Y NFA 03/31/2009 67,669,008 500,000 67,169

108 SHAY GRAIN CLEARING COMPANY N KCBT 03/31/2009 2,567,677 715,988 1,851109 SMW TRADING COMPANY INC N CME 03/31/2009 31,305,393 500,000 30,805

110 STEPHENS INC Y NFA 03/27/2009 69,285,534 8,892,683 60,392111 STERLING COMMODITIES CORP N NYME 03/31/2009 8,669,207 640,514 8,028

112 TCA FUTURES LLC N NFA 03/31/2009 850,907 500,000 350113 TD AMERITRADE INC Y NFA 03/31/2009 113,741,776 500,000 113,241114 TENCO INC N CBOT 03/31/2009 44,183,195 6,751,191 37,432

115 TERRA NOVA FINANCIAL LLC Y NFA 03/31/2009 12,190,454 1,500,000 10,690116 TIMBER HILL LLC Y CME 03/31/2009 1,319,097,402 16,067,867 1,303,029117 TOWER RESEARCH CAPITAL EUROPE LLC N NFA 03/31/2009 3,191,852 500,000 2,691

118 TRADELINK LLC Y CBOT 03/31/2009 30,978,748 500,000 30,478119 TRADESTATION SECURITIES INC Y NFA 03/31/2009 94,354,382 970,192 93,384120 TRADITION SECURITIES AND FUTURES INC N NFA 03/31/2009 822,528 500,000 322

121 TRANSMARKET GROUP LLC Y CBOT 03/31/2009 12,384,214 500,000 11,884122 TRILAND USA INC N NYME 03/31/2009 46,099,414 11,387,729 34,711

123 UBS FINANCIAL SERVICES INC Y NFA 03/31/2009 1,477,831,583 85,704,022 1,392,127

124 UBS SECURITIES LLC Y CBOT 03/31/2009 15,135,202,407 978,849,675 14,156,352125 VELOCITY FUTURES LLC N NFA 03/31/2009 1,133,707 500,000 633
SELECTED FCM FINANCIAL DATA AS OF 

March 31, 2009

FROM REPORTS FILED BY 

April 30, 2009

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

Futures Commission Merchant Date Net Capital Requirement Net Capital 

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

126 VISION FINANCIAL MARKETS LLC Y CME 03/31/2009 21,431,827 4,795,874 16,635127 WACHOVIA CAPITAL MARKETS LLC Y CME 03/31/2009 1,866,518,568 1,000,000 1,865,518

128 WACHOVIA SECURITIES FINANCIAL NETWORK LLC Y NFA 03/31/2009 29,646,209 1,316,068 28,330129 WACHOVIA SECURITIES LLC Y NFA 03/31/2009 383,438,944 4,799,271 378,639130 WHITE COMMERCIAL CORPORATION N NFA 03/31/2009 2,181,631 500,000 1,681131 WSD FINANCIAL USA INC N NFA 03/31/2009 1,273,516 500,000 773132 YORK BUSINESS ASSOCIATES LLC N NFA 03/31/2009 1,067,858 500,000 567

Total 
SELECTED FCM FINANCIAL DATA AS OF 

March 31, 2009

FROM REPORTS FILED BY 

April 30, 2009

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

Futures Commission Merchant Date Net Capital Requirement Net Capital 

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

February Web Page Update 132Additions 0NoneDeletions 0NoneName ChangeFrom Marex Carlton Limited to Marex USA LimitedMarch Web Page Update 132*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);(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.
SELECTED FCM FINANCIAL DATA AS OF 

March 31, 2009

FROM REPORTS FILED BY 

April 30, 2009

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

Futures Commission Merchant Date Net Capital Requirement Net Capital 

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

(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, phill@cftc.gov, fzimmerle@cftc.gov.