SELECTED FCM FINANCIAL DATA AS OF 

July 31, 2011

FROM REPORTS FILED BY 

August 31, 2011

1 of 4

Reg As DSRO A/O Adjusted Net Capital Excess Customers' Customer Total Amount

Date Net Capital Requirement Net Capital Seg Required Amount of Retail Forex

4d(a)(2) Pt. 30 Required Obligation

(a) (b) (c) (d) (e) (f) (g)

1 ABN AMRO CLEARING CHICAGO LLC FCM BD CBOT 07/31/2011 240,052,233 108,064,625 131,987,608 2,040,306,758 270,884,565 0

2 ADM INVESTOR SERVICES INC FCM CBOT 07/31/2011 264,207,197 139,583,098 124,624,099 2,714,553,749 80,934,143 0

3 ADVANCED MARKETS LLC FCMRFD NFA 07/31/2011 20,334,655 20,000,000 334,655 0 0 1,675,783

4 ADVANTAGE FUTURES LLC FCM CME 07/29/2011 19,864,362 11,686,179 8,178,183 428,991,786 34,635,702 0

5 ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC * FCM BD NFA 06/30/2011 84,773,980 4,227,112 80,546,868 0 0 0

6 ALPARI (US) LLC FCMRFD NFA 07/31/2011 25,394,755 20,000,000 5,394,755 44,544 0 9,656,590

7 AMERIPRISE FINANCIAL SERVICES INC FCM BD NFA 07/31/2011 154,717,338 1,000,000 153,717,338 0 0 0

8 AMP GLOBAL CLEARING LLC FCM NFA 07/31/2011 1,479,172 1,000,000 479,172 30,821,753 109,953 0

9 BARCLAYS CAPITAL INC FCM BD NYME 07/31/2011 5,422,277,016 768,866,049 4,653,410,967 5,178,583,151 2,674,473,846 0

10 BGC FINANCIAL LP FCM BD NFA 07/31/2011 60,151,271 1,000,000 59,151,271 0 0 0

11 BNP PARIBAS COMMODITY FUTURES INC FCM NYME 07/31/2011 357,774,665 235,971,667 121,802,998 1,502,812,974 615,402,397 0

12 BNP PARIBAS SECURITIES CORP FCM BD CBOT 07/31/2011 1,747,018,270 61,972,341 1,685,045,929 301,067,709 0 0

13 BNY MELLON CLEARING LLC FCM CME 07/31/2011 307,437,956 5,282,282 302,155,674 45,365,896 0 0

14 CANTOR FITZGERALD & CO FCM BD CBOT 07/31/2011 253,684,295 8,340,983 245,343,312 1,629,767 0 0

15 CAPITAL MARKET SERVICES LLC FCM NFA 07/31/2011 2,486,474 1,000,000 1,486,474 0 0 0

16 CIBC WORLD MARKETS CORP FCM BD CME 07/31/2011 478,598,126 1,500,000 477,098,126 0 0 0

17 CITADEL SECURITIES LLC FCM BD CME 07/29/2011 417,334,512 1,000,000 416,334,512 0 0 0

18 CITIGROUP GLOBAL MARKETS INC FCM BD CBOT 07/31/2011 7,408,736,610 698,755,348 6,709,981,262 10,795,137,953 1,714,820,349 0

19 COMMONWEALTH FOREIGN EXCHANGE INC FCM NFA 07/31/2011 1,097,160 1,000,000 97,160 0 0 0

20 COMPASS PROFESSIONAL SERVICES LLC FCM BD NFA 07/31/2011 4,225,724 1,000,000 3,225,724 0 0 0

21 COUNTRY HEDGING INC FCM NFA 07/31/2011 24,834,865 17,415,577 7,419,288 248,672,913 229,973 0

22 CREDIT SUISSE SECURITIES (USA) LLC FCM BD CBOT 07/31/2011 8,600,101,633 1,042,030,487 7,558,071,146 5,048,013,571 1,834,948,706 0

23 CROSSLAND LLC FCM CBOT 07/31/2011 12,687,818 5,286,122 7,401,696 75,247,675 41,722,404 0

24 CUNNINGHAM COMMODITIES LLC FCM CBOT 07/31/2011 3,241,129 1,000,000 2,241,129 54,154,086 64,242 0

25 CX CAPITAL MARKETS LLC FCM NFA 07/31/2011 3,551,690 1,000,000 2,551,690 26,000,269 0 0

26 DAIWA CAPITAL MARKETS AMERICA INC FCM BD CME 07/31/2011 283,414,816 1,000,000 282,414,816 3,966,162 40,979 0

27 DEUTSCHE BANK SECURITIES INC FCM BD CBOT 07/31/2011 6,987,857,067 625,614,680 6,362,242,387 15,954,068,325 1,484,869,866 0

28 DORMAN TRADING LLC FCM CME 07/31/2011 10,022,341 1,000,000 9,022,341 104,137,842 1,252,940 0

29 EAGLE MARKET MAKERS INC FCM CBOT 07/29/2011 6,895,391 1,000,000 5,895,391 3,352,016 0 0

30 EASY FOREX US LTD FCM NFA 07/31/2011 1,793,699 1,000,000 793,699 0 0 0

31 ENSKILDA FUTURES LTD FCM CME 07/29/2011 29,712,539 19,034,204 10,678,335 237,920,419 0 0

32 FCSTONE LLC FCM CME 07/31/2011 110,332,706 62,892,303 47,440,403 1,341,380,624 21,299,442 4,352,390

33 FOREX CAPITAL MARKETS LLC FCMRFD NFA 07/31/2011 60,062,804 26,202,001 33,860,803 0 0 134,040,016

34 FOREX CLUB LLC FCMRFD NFA 07/29/2011 22,778,697 22,000,000 778,697 0 0 2,997,656

35 FRIEDBERG MERCANTILE GROUP INC FCM NFA 07/31/2011 3,394,545 1,000,000 2,394,545 11,513,852 534,011 0

36 FRONTIER FUTURES INC FCM NFA 07/31/2011 1,905,319 1,000,000 905,319 31,804,535 0 0

37 FUTURES TECH LLC FCM NFA 07/31/2011 1,604,600 1,000,000 604,600 0 0 0

38 FX SOLUTIONS LLC FCMRFD NFA 07/31/2011 38,321,287 20,361,295 17,959,992 0 0 17,225,895

39 FXDIRECTDEALER LLC FCMRFD NFA 07/31/2011 31,505,961 21,330,975 10,174,986 0 0 36,619,513

40 GAIN CAPITAL GROUP LLC FCMRFD NFA 07/31/2011 69,931,964 24,404,290 45,527,674 0 0 98,085,796

41 GLOBAL FUTURES & FOREX LTD FCMRFD NFA 07/31/2011 78,430,220 24,184,476 54,245,744 332,253 220,801 93,689,526

42 GOLDMAN SACHS & CO FCM BD CBOT 07/31/2011 11,520,881,535 1,917,414,250 9,603,467,285 19,877,854,542 7,958,023,893 0

43 GOLDMAN SACHS EXECUTION & CLEARING LP FCM BD CME 07/31/2011 1,768,708,384 120,298,125 1,648,410,259 1,166,334,534 19,697,749 0

44 GUGGENHEIM SECURITIES LLC FCM BD NFA 07/31/2011 84,367,140 2,379,769 81,987,371 0 0 0

45 HSBC SECURITIES USA INC FCM BD CME 07/31/2011 1,050,930,223 107,155,200 943,775,023 1,273,992,979 99,555,278 0

Futures Commission Merchant / Retail Foreign Exchange 

Dealer
SELECTED FCM FINANCIAL DATA AS OF 

July 31, 2011

FROM REPORTS FILED BY 

August 31, 2011

2 of 4

Reg As DSRO A/O Adjusted Net Capital Excess Customers' Customer Total Amount

Date Net Capital Requirement Net Capital Seg Required Amount of Retail Forex

4d(a)(2) Pt. 30 Required Obligation

(a) (b) (c) (d) (e) (f) (g)

Futures Commission Merchant / Retail Foreign Exchange 

Dealer

46 ICAP CORPORATES LLC FCM BD NFA 07/31/2011 51,301,032 1,000,000 50,301,032 0 0 0

47 ICAP FUTURES LLC FCM NFA 07/31/2011 7,783,642 1,000,000 6,783,642 0 0 0

48 IKON GLOBAL MARKETS INC FCM NFA 07/31/2011 16,537,384 1,000,000 15,537,384 9,882,050 108,434 0

49 INSTINET LLC FCM BD NFA 07/31/2011 118,697,394 2,550,230 116,147,164 0 0 0

50 INSTITUTIONAL LIQUIDITY LLC FCMRFD NFA 07/31/2011 21,020,003 20,000,000 1,020,003 0 0 1,170,601

51 INTEGRATED BROKERAGE SERVICES LLC FCM NFA 07/31/2011 1,609,878 1,000,000 609,878 0 0 0

52 INTERACTIVE BROKERS LLC FCM BD NFA 07/31/2011 1,310,911,678 197,619,349 1,113,292,329 793,502,830 257,307,898 0

53 INTERBANK FX LLC FCMRFD NFA 07/31/2011 25,385,414 21,075,838 4,309,576 0 0 31,516,768

54 IRONBEAM INC FCM NFA 07/31/2011 3,285,813 1,000,000 2,285,813 44,881,417 242,924 0

55 ITG DERIVATIVES LLC FCM BD NFA 07/31/2011 2,277,500 1,000,000 1,277,500 0 0 0

56 JEFFERIES & COMPANY INC FCM BD NFA 07/29/2011 598,362,961 65,387,732 532,975,229 0 0 0

57 JEFFERIES BACHE LLC FCM CBOT 07/31/2011 248,646,000 186,258,400 62,387,600 2,939,400,000 309,319,000 0

58 JP MORGAN CLEARING CORP FCM BD CME 07/31/2011 7,048,533,493 1,887,558,117 5,160,975,376 444,517,214 443,163,158 0

59 JP MORGAN SECURITIES LLC FCM BD CEI 07/31/2011 11,741,582,599 1,546,530,927 10,195,051,672 16,413,844,453 2,749,180,721 0

60 LEK SECURITIES CORPORATION FCM BD NFA 07/31/2011 10,156,234 1,500,000 8,656,234 1,252,085 0 0

61 LIMESTONE TRADING LLC FCM NFA 07/31/2011 4,572,982 1,000,000 3,572,982 0 0 0

62 LINN GROUP THE FCM NFA 07/31/2011 2,532,242 1,000,000 1,532,242 39,695,871 119,240 0

63 LPL FINANCIAL LLC FCM BD NFA 07/31/2011 121,362,179 6,347,384 115,014,795 0 0 0

64 MACQUARIE FUTURES USA INC FCM CBOT 07/31/2011 130,109,327 66,279,648 63,829,679 772,935,998 51,261,792 0

65 MAREX NORTH AMERICA LLC FCM CME 07/31/2011 9,195,543 4,938,681 4,256,862 70,609,865 2,008,465 0

66 MAREX USA LIMITED FCM NFA 07/31/2011 1,716,374 1,000,000 716,374 0 0 0

67 MB TRADING FUTURES INC FCMRFD NFA 07/31/2011 27,009,464 21,146,753 5,862,711 0 0 32,935,057

68 MBF CLEARING CORP FCM NYME 07/31/2011 8,422,290 1,000,000 7,422,290 72,646,644 4,715,593 0

69 MCVEAN TRADING & INVESTMENTS LLC FCM NFA 07/31/2011 14,392,180 2,143,246 12,248,934 856,139,375 0 0

70 MERRILL LYNCH PIERCE FENNER & SMITH FCM BD CBOT 07/31/2011 9,524,074,203 801,636,338 8,722,437,865 8,443,585,899 3,282,224,090 0

71 MERRILL LYNCH PROFESSIONAL CLEARING CORP FCM BD NFA 07/31/2011 2,088,286,511 234,170,289 1,854,116,222 779,734,512 51,478,519 0

72 MF GLOBAL INC FCM BD CME 07/29/2011 285,219,373 435,788,650 -150,569,277 8,813,407,681 890,930,453 0

73 MID CO COMMODITIES INC FCM NFA 07/31/2011 13,252,373 6,383,236 6,869,137 73,181,761 0 0

74 MITSUBISHI UFJ SECURITIES USA INC FCM BD NFA 07/31/2011 95,411,822 1,227,081 94,184,741 0 0 0

75 MITSUI BUSSAN COMMODITIES USA INC FCM NFA 07/31/2011 2,955,815 1,000,000 1,955,815 0 0 0

76 MIZUHO SECURITIES USA INC FCM BD CME 07/31/2011 263,712,405 87,965,658 175,746,747 771,260,591 511,487,060 0

77 MORGAN KEEGAN & COMPANY INC FCM BD NFA 07/31/2011 475,243,216 8,883,491 466,359,725 0 0 0

78 MORGAN STANLEY & CO LLC FCM BD CME 07/31/2011 5,797,915,448 1,169,770,472 4,628,144,976 5,206,901,427 1,857,877,675 0

79 MORGAN STANLEY SMITH BARNEY LLC FCM BD NFA 07/31/2011 1,264,154,689 38,458,421 1,225,696,268 578,531,162 1,942,497,225 0

80 NATIXIS SECURITIES NORTH AMERICA INC FCM BD NFA 07/29/2011 210,425,209 1,000,000 209,425,209 0 0 0

81 NEUBERGER BERMAN LLC FCM BD NFA 07/31/2011 90,821,020 1,500,000 89,321,020 0 0 0

82 NEWEDGE USA LLC FCM BD NYME 07/31/2011 2,190,963,527 1,516,965,286 673,998,241 24,704,981,218 7,127,483,624 0

83 NOMURA SECURITIES INTERNATIONAL INC FCM BD CBOT 07/31/2011 1,990,068,563 20,509,732 1,969,558,831 105,405,173 1,092,111 0

84 OANDA CORPORATION FCMRFD NFA 07/31/2011 156,857,941 27,288,085 129,569,856 0 0 155,761,706
SELECTED FCM FINANCIAL DATA AS OF 

July 31, 2011

FROM REPORTS FILED BY 

August 31, 2011

3 of 4

Reg As DSRO A/O Adjusted Net Capital Excess Customers' Customer Total Amount

Date Net Capital Requirement Net Capital Seg Required Amount of Retail Forex

4d(a)(2) Pt. 30 Required Obligation

(a) (b) (c) (d) (e) (f) (g)

Futures Commission Merchant / Retail Foreign Exchange 

Dealer

85 OPEN E CRY LLC FCM NFA 07/31/2011 3,523,836 1,266,861 2,256,975 87,273,984 1,419,467 0

86 OPPENHEIMER & CO INC FCM BD NFA 07/31/2011 166,624,587 23,061,381 143,563,206 20,557,904 0 0

87 OPTIONSXPRESS INC FCM BD NFA 07/31/2011 77,823,551 8,457,977 69,365,574 124,265,559 2,921,230 0

88 PENSON FUTURES FCM CBOT 07/31/2011 33,378,470 22,667,817 10,710,653 748,510,923 38,885,865 38,518,301

89 PEREGRINE FINANCIAL GROUP INC FCM NFA 07/31/2011 36,191,814 21,308,739 14,883,075 441,268,788 30,526,197 36,174,784

90 PHILLIP FUTURES INC FCM CME 07/31/2011 9,972,848 1,000,000 8,972,848 44,868,210 0 0

91 PIONEER FUTURES INC FCM NFA 07/31/2011 2,950,799 1,000,000 1,950,799 0 0 0

92 RAND FINANCIAL SERVICES INC FCM CME 07/31/2011 75,459,017 20,740,835 54,718,182 189,329,200 26,696,000 0

93 RAYMOND JAMES & ASSOCIATES INC FCM BD NFA 07/31/2011 435,256,158 30,428,395 404,827,763 0 0 0

94 RBC CAPITAL MARKETS LLC FCM BD CME 07/29/2011 930,928,043 96,648,461 834,279,582 356,663,018 25,744,797 0

95 RBS SECURITIES INC FCM BD CBOT 07/31/2011 2,516,821,916 261,743,559 2,255,078,357 1,841,371,997 161,831,348 0

96 RJ OBRIEN ASSOCIATES LLC FCM CME 07/31/2011 164,075,520 106,341,338 57,734,182 2,721,202,173 70,959,638 3,646,138

97 ROSENTHAL COLLINS GROUP LLC FCM CME 07/31/2011 66,964,087 46,227,950 20,736,137 1,447,666,124 41,839,465 0

98 ROSENTHAL GLOBAL SECURITIES LLC FCM BD NFA 07/31/2011 49,567,696 1,000,000 48,567,696 0 0 0

99 SANFORD C BERNSTEIN & CO LLC FCM BD NFA 07/31/2011 174,729,871 14,467,513 160,262,358 0 0 0

100 SANTANDER INVESTMENT SECURITIES INC FCM BD NYME 07/29/2011 221,625,042 20,426,285 201,198,757 485,519,773 0 0

101 STATE STREET GLOBAL MARKETS LLC FCM BD CME 07/31/2011 414,277,273 6,543,466 407,733,807 29,623,201 6,987,609 0

102 STEPHENS FCM BD NFA 07/31/2011 81,892,095 13,679,486 68,212,609 0 0 0

103 STERLING COMMODITIES CORP FCM NYME 07/31/2011 8,589,930 1,000,000 7,589,930 32,278,831 197,848 0

104 STRAITS FINANCIAL LLC FCM CME 07/31/2011 8,195,852 1,000,000 7,195,852 11,407,390 53,788 0

105 TCA FUTURES LLC FCM NFA 07/31/2011 1,617,602 1,000,000 617,602 0 0 0

106 TD AMERITRADE INC FCM BD NFA 07/31/2011 330,827,075 1,000,000 329,827,075 0 0 0

107 TENCO INC FCM CBOT 07/31/2011 61,021,407 7,805,557 53,215,850 315,625,692 0 0

108 TIMBER HILL LLC FCM BD CME 07/31/2011 1,014,104,506 48,076,025 966,028,481 560,686,714 0 0

109 TOWER RESEARCH CAPITAL EUROPE LLC FCM NFA 07/31/2011 1,710,712 1,000,000 710,712 0 0 0

110 TRADELINK LLC FCM BD CBOT 07/31/2011 26,592,423 1,000,000 25,592,423 0 0 0

111 TRADESTATION FOREX INC. RFED NFA 07/31/2011 24,527,941 21,285,990 3,241,951 0 0 35,719,800

112 TRADESTATION SECURITIES INC FCM BD NFA 07/31/2011 55,616,253 2,517,926 53,098,327 431,709,685 7,451,616 0

113 TRADITION SECURITIES AND FUTURES INC FCM NFA 07/29/2011 1,541,987 1,000,000 541,987 0 0 0

114 TRILAND USA INC FCM NFA 07/31/2011 11,287,612 1,000,000 10,287,612 0 0 0

115 UBS FINANCIAL SERVICES INC FCM BD NFA 07/31/2011 1,354,320,438 111,033,400 1,243,287,038 164,742,246 834,433 0

116 UBS SECURITIES LLC FCM BD CBOT 07/31/2011 11,434,634,207 987,457,727 10,447,176,480 9,112,743,328 4,496,908,516 0

117 VELOCITY FUTURES LLC FCM NFA 07/31/2011 1,637,032 1,000,000 637,032 73,311,981 15,813,565 0

118 VISION FINANCIAL MARKETS LLC FCM BD CME 07/31/2011 27,813,035 10,680,137 17,132,898 415,724,157 8,110,727 0

119 WALL STREET DERIVATIVES INC FCM NFA 07/31/2011 1,504,821 1,000,000 504,821 0 0 0

120 WELLS FARGO ADVISORS FINANCIAL NETWORK LLC FCM BD NFA 07/31/2011 55,059,623 5,236,417 49,823,206 0 0 0

121 WELLS FARGO ADVISORS LLC FCM BD NFA 07/31/2011 853,540,384 1,500,000 852,040,384 0 0 0

122 WELLS FARGO SECURITIES LLC FCM BD CME 07/31/2011 1,581,660,834 12,409,864 1,569,250,970 0 0 0

123 WHITE COMMERCIAL CORPORATION FCM NFA 07/31/2011 2,366,238 1,000,000 1,366,238 0 0 0

124 XPRESSTRADE LLC RFED NFA 07/31/2011 22,841,980 20,000,000 2,841,980 0 0 17,720

125 YORK BUSINESS ASSOCIATES LLC FCM NFA 07/31/2011 2,777,280 1,000,000 1,777,280 76,882,360 1,816,225 0

Totals 160,167,593,101 41,275,217,555 733,804,040
SELECTED FCM FINANCIAL DATA AS OF 

July 31, 2011

FROM REPORTS FILED BY 

August 31, 2011

4 of 4

Reg As DSRO A/O Adjusted Net Capital Excess Customers' Customer Total Amount

Date Net Capital Requirement Net Capital Seg Required Amount of Retail Forex

4d(a)(2) Pt. 30 Required Obligation

(a) (b) (c) (d) (e) (f) (g)

Futures Commission Merchant / Retail Foreign Exchange 

Dealer

June Web Page Update 123

Additions 2

XPRESSTRADE LLC

GUGGENHEIM SECURITIES LLC

Deletions 0

None

Name Change

PRUDENTIAL BACHE COMMODITIES LLC to 

JEFFERIES BACHE LLC

July Web Page Update 125

*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.

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

•  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 obligation in excess of 

$10,000,000.

(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

(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. 

(g): 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, 

adjusted for the 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@cftc.gov

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