SELECTED FCM FINANCIAL DATA AS OF 

May 31, 2011

FROM REPORTS FILED BY 

June 30, 2011

Reg As DSRO A/O Adjusted Net Capital Excess Custome

Date Net Capital Requirement Net Capital Seg Requi

4d(a)(2) 

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

1 ABN AMRO CLEARING CHICAGO LLC FCM BD CBOT 05/31/2011 208,222,542 118,694,028 89,528,514 2,055,92 ADM INVESTOR SERVICES INC FCM CBOT 05/31/2011 294,090,005 155,756,113 138,333,892 2,908,73 ADVANCED MARKETS LLC RFED NFA 05/31/2011 20,146,125 20,000,000 146,125 4 ADVANTAGE FUTURES LLC FCM CME 05/31/2011 21,546,340 11,588,925 9,957,415 413,55 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 05/31/2011 25,435,860 20,000,000 5,435,860 7 AMERIPRISE FINANCIAL SERVICES INC FCM BD NFA 05/31/2011 147,462,286 1,000,000 146,462,286 8 AMP GLOBAL CLEARING LLC FCM NFA 05/31/2011 1,450,489 1,000,000 450,489 27,79 BARCLAYS CAPITAL INC FCM BD NYME 05/31/2011 5,379,878,640 838,616,697 4,541,261,943 6,146,0

10 BGC FINANCIAL LP FCM BD NFA 05/31/2011 58,405,958 1,000,000 57,405,958 11 BNP PARIBAS COMMODITY FUTURES INC FCM NYME 05/31/2011 344,683,570 244,355,520 100,328,050 1,425,012 BNP PARIBAS SECURITIES CORP FCM BD CBOT 05/31/2011 1,700,499,040 110,823,123 1,589,675,917 468,813 BNY MELLON CLEARING LLC FCM CME 05/31/2011 127,410,375 4,957,966 122,452,409 33,214 CANTOR FITZGERALD & CO FCM BD CBOT 05/31/2011 151,061,414 7,688,821 143,372,593 815 CAPITAL MARKET SERVICES LLC RFED NFA 05/31/2011 2,751,445 1,000,000 1,751,445 16 CIBC WORLD MARKETS CORP FCM BD CME 05/31/2011 463,749,010 1,500,000 462,249,010 17 CITADEL SECURITIES LLC FCM BD CME 05/31/2011 393,201,977 1,131,478 392,070,499 18 CITIGROUP GLOBAL MARKETS INC FCM BD CBOT 05/31/2011 7,368,873,729 723,449,192 6,645,424,537 11,130,019 COMMONWEALTH FOREIGN EXCHANGE INC FCM NFA 05/31/2011 1,830,695 1,000,000 830,695 20 COMPASS PROFESSIONAL SERVICES LLC FCM BD NFA 05/31/2011 3,914,385 1,000,000 2,914,385 21 COUNTRY HEDGING INC FCM NFA 05/31/2011 27,682,798 22,115,950 5,566,848 290,422 CREDIT SUISSE SECURITIES (USA) LLC FCM BD CBOT 05/31/2011 7,846,490,221 1,130,349,103 6,716,141,118 5,933,723 CROSSLAND LLC FCM CBOT 05/31/2011 10,812,426 4,938,484 5,873,942 67,724 CUNNINGHAM COMMODITIES LLC FCM CBOT 05/31/2011 3,355,742 1,057,916 2,297,826 56,125 CX CAPITAL MARKETS LLC FCM NFA 05/31/2011 2,783,273 1,000,000 1,783,273 26,726 DAIWA CAPITAL MARKETS AMERICA INC FCM BD CME 05/31/2011 297,376,371 1,419,628 295,956,743 4,527 DEUTSCHE BANK SECURITIES INC FCM BD CBOT 05/31/2011 6,689,883,036 736,429,170 5,953,453,866 16,224,928 DORMAN TRADING LLC FCM CME 05/31/2011 10,160,206 1,000,000 9,160,206 102,129 EAGLE MARKET MAKERS INC FCM CBOT 05/31/2011 6,589,646 1,000,000 5,589,646 1,630 EASY FOREX US LTD FCM NFA 05/31/2011 1,844,916 1,000,000 844,916 31 ELECTRONIC BROKERAGE SYSTEMS LLC FCM BD NFA 05/31/2011 4,497,060 1,000,000 3,497,060 32 ENSKILDA FUTURES LTD FCM CME 05/31/2011 30,077,683 19,746,515 10,331,168 301,833 FCSTONE LLC FCM CME 05/31/2011 101,323,654 71,864,969 29,458,685 1,580,934 FOREX CAPITAL MARKETS LLC RFED NFA 05/31/2011 73,732,988 26,304,344 47,428,644 35 FOREX CLUB LLC RFED NFA 05/31/2011 20,039,706 20,000,000 39,706 36 FRIEDBERG MERCANTILE GROUP INC FCM NFA 05/31/2011 3,386,657 1,000,000 2,386,657 9,537 FRONTIER FUTURES INC FCM NFA 05/31/2011 1,956,828 1,201,231 755,597 37,738 FUTURES TECH LLC FCM NFA 05/31/2011 1,581,389 1,000,000 581,389 39 FX SOLUTIONS LLC RFED NFA 05/31/2011 38,509,672 20,383,010 18,126,662 40 FXDIRECTDEALER LLC RFED NFA 05/31/2011 24,396,671 21,382,649 3,014,022 41 GAIN CAPITAL GROUP LLC RFED NFA 05/31/2011 62,623,823 25,066,173 37,557,650 42 GLOBAL FUTURES & FOREX LTD RFED NFA 05/31/2011 75,410,487 24,163,573 51,246,914 343 GOLDMAN SACHS & CO FCM BD CBOT 05/31/2011 11,392,599,979 2,033,657,734 9,358,942,245 21,601,4

Futures Commission Merchant / Retail Foreign Exchange 

Dealer
SELECTED FCM FINANCIAL DATA AS OF 

May 31, 2011

FROM REPORTS FILED BY 

June 30, 2011

Reg As DSRO A/O Adjusted Net Capital Excess Custome

Date Net Capital Requirement Net Capital Seg Requi

4d(a)(2) 

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

Futures Commission Merchant / Retail Foreign Exchange 

Dealer

44 GOLDMAN SACHS EXECUTION & CLEARING LP FCM BD CME 05/31/2011 1,737,923,823 140,048,410 1,597,875,413 1,073,345 HSBC SECURITIES USA INC FCM BD CME 05/31/2011 1,100,471,868 117,245,998 983,225,870 1,114,846 ICAP CORPORATES LLC FCM BD NFA 05/31/2011 43,663,073 1,164,847 42,498,226 47 ICAP FUTURES LLC FCM NFA 05/31/2011 7,254,704 1,000,000 6,254,704 48 IKON GLOBAL MARKETS INC FCM NFA 05/31/2011 15,531,483 1,000,000 14,531,483 22,249 INSTINET LLC FCM BD NFA 05/31/2011 122,362,839 2,739,990 119,622,849 50 INSTITUTIONAL LIQUIDITY LLC FCM NFA 05/31/2011 21,039,353 20,000,000 1,039,353 51 INTEGRATED BROKERAGE SERVICES LLC FCM NFA 05/31/2011 1,619,580 1,000,000 619,580 52 INTERACTIVE BROKERS LLC FCM BD NFA 05/31/2011 1,269,356,039 207,207,869 1,062,148,170 758,053 INTERBANK FX LLC RFED NFA 05/31/2011 24,276,657 21,144,697 3,131,960 54 IRONBEAM INC FCM NFA 05/31/2011 2,988,389 1,135,932 1,852,457 47,155 ITG DERIVATIVES LLC FCM BD NFA 05/31/2011 2,775,772 1,000,000 1,775,772 56 JEFFERIES & COMPANY INC FCM BD NFA 05/31/2011 738,989,522 86,292,224 652,697,298 57 JP MORGAN CLEARING CORP FCM BD CME 05/31/2011 6,059,101,939 1,972,656,630 4,086,445,309 562,158 JP MORGAN FUTURES INC FCM NYME 05/31/2011 2,540,195,827 1,576,234,383 963,961,444 17,852,559 JP MORGAN SECURITIES LLC FCM BD NFA 05/31/2011 8,208,055,108 601,436,191 7,606,618,917 60 LEK SECURITIES CORPORATION FCM BD NFA 05/31/2011 8,925,701 1,500,000 7,425,701 761 LIMESTONE TRADING LLC FCM NFA 05/31/2011 7,647,456 1,000,000 6,647,456 62 LINN GROUP THE FCM NFA 05/31/2011 2,556,740 1,000,000 1,556,740 42,663 LPL FINANCIAL LLC FCM BD NFA 05/31/2011 89,803,182 6,382,252 83,420,930 64 MACQUARIE FUTURES USA INC FCM CBOT 05/31/2011 128,233,139 61,919,062 66,314,077 780,465 MAREX NORTH AMERICA LLC FCM CME 05/31/2011 9,983,473 5,168,064 4,815,409 74,666 MAREX USA LIMITED FCM NFA 05/31/2011 2,694,725 1,000,000 1,694,725 67 MB TRADING FUTURES INC RFED NFA 05/31/2011 24,193,173 21,333,606 2,859,567 68 MBF CLEARING CORP FCM NYME 05/31/2011 8,986,962 1,224,566 7,762,396 75,369 MCVEAN TRADING & INVESTMENTS LLC FCM NFA 05/31/2011 10,919,132 3,035,957 7,883,175 837,870 MERRILL LYNCH PIERCE FENNER & SMITH FCM BD CBOT 05/31/2011 10,412,358,125 920,987,059 9,491,371,066 9,957,671 MERRILL LYNCH PROFESSIONAL CLEARING CORP FCM BD NFA 05/31/2011 2,250,439,301 208,013,666 2,042,425,635 928,472 MF GLOBAL INC FCM BD CME 05/31/2011 588,961,934 484,823,249 104,138,685 8,929,573 MID CO COMMODITIES INC FCM NFA 05/31/2011 15,171,708 8,139,207 7,032,501 80,074 MITSUBISHI UFJ SECURITIES USA INC FCM BD NFA 05/31/2011 96,080,019 1,943,923 94,136,096 75 MITSUI BUSSAN COMMODITIES USA INC FCM NFA 05/31/2011 3,019,632 1,000,000 2,019,632 76 MIZUHO SECURITIES USA INC FCM BD CME 05/31/2011 310,041,673 82,848,155 227,193,518 816,877 MORGAN KEEGAN & COMPANY INC FCM BD NFA 05/31/2011 469,307,583 9,513,347 459,794,236 78 MORGAN STANLEY & CO INCORPORATED FCM BD CME 05/31/2011 5,792,553,340 1,150,204,678 4,642,348,662 4,882,879 MORGAN STANLEY SMITH BARNEY LLC FCM BD NFA 05/31/2011 1,155,728,498 37,414,077 1,118,314,421 605,380 NATIXIS SECURITIES NORTH AMERICA INC FCM BD NFA 05/31/2011 215,262,570 1,000,000 214,262,570 81 NEUBERGER BERMAN LLC FCM BD NFA 05/31/2011 36,646,474 1,500,000 35,146,474 82 NEWEDGE USA LLC FCM BD NYME 05/31/2011 2,183,484,630 1,627,641,062 555,843,568 24,703,383 NOMURA SECURITIES INTERNATIONAL INC FCM BD CBOT 05/31/2011 1,776,929,433 33,492,581 1,743,436,852 84,584 OANDA CORPORATION RFED NFA 05/31/2011 160,776,982 28,293,709 132,483,273 85 OPEN E CRY LLC FCM NFA 05/31/2011 3,200,638 1,282,843 1,917,795 89,686 OPPENHEIMER & CO INC FCM BD NFA 05/31/2011 159,072,284 24,992,416 134,079,868 24,4
SELECTED FCM FINANCIAL DATA AS OF 

May 31, 2011

FROM REPORTS FILED BY 

June 30, 2011

Reg As DSRO A/O Adjusted Net Capital Excess Custome

Date Net Capital Requirement Net Capital Seg Requi

4d(a)(2) 

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

Futures Commission Merchant / Retail Foreign Exchange 

Dealer

87 OPTIONSXPRESS INC FCM BD NFA 05/31/2011 89,029,815 20,000,000 69,029,815 126,188 PENSON FUTURES FCM CBOT 05/31/2011 32,217,090 27,807,733 4,409,357 780,789 PEREGRINE FINANCIAL GROUP INC FCM NFA 05/31/2011 36,437,050 21,364,129 15,072,921 476,090 PHILLIP FUTURES INC FCM CME 05/31/2011 11,682,415 1,000,000 10,682,415 991 PIONEER FUTURES INC FCM NFA 05/31/2011 3,234,469 1,000,000 2,234,469 92 PRUDENTIAL BACHE COMMODITIES LLC FCM CBOT 05/31/2011 244,475,000 202,790,720 41,684,280 3,347,693 RAND FINANCIAL SERVICES INC FCM CME 05/31/2011 71,192,552 19,221,967 51,970,585 239,994 RAYMOND JAMES & ASSOCIATES INC FCM BD NFA 05/31/2011 408,281,571 30,226,308 378,055,263 95 RBC CAPITAL MARKETS LLC FCM BD CME 05/31/2011 1,065,084,834 121,973,564 943,111,270 384,396 RBS SECURITIES INC FCM BD CBOT 05/31/2011 1,901,156,000 264,366,560 1,636,789,440 1,960,297 RJ OBRIEN ASSOCIATES LLC FCM CME 05/31/2011 170,794,685 118,301,709 52,492,976 2,826,498 ROSENTHAL COLLINS GROUP LLC FCM CME 05/31/2011 71,958,871 51,073,901 20,884,970 1,606,999 ROSENTHAL GLOBAL SECURITIES LLC FCM BD NFA 05/31/2011 44,928,550 1,000,000 43,928,550 

100 SANFORD C BERNSTEIN & CO LLC FCM BD NFA 05/31/2011 163,303,064 14,464,697 148,838,367 101 SANTANDER INVESTMENT SECURITIES INC FCM BD NYME 05/31/2011 201,802,599 18,697,176 183,105,423 533,5

102 STATE STREET GLOBAL MARKETS LLC FCM BD CME 05/31/2011 394,146,278 5,631,723 388,514,555 33,5103 STEPHENS FCM BD NFA 05/31/2011 81,656,270 13,394,362 68,261,908 104 STERLING COMMODITIES CORP FCM NYME 05/31/2011 8,227,141 1,000,000 7,227,141 33,7105 STRAITS FINANCIAL LLC FCM CME 05/31/2011 8,990,667 1,000,000 7,990,667 9,7106 TCA FUTURES LLC FCM NFA 05/31/2011 1,580,491 1,000,000 580,491 107 TD AMERITRADE INC FCM BD NFA 05/31/2011 361,312,106 1,000,000 360,312,106 108 TENCO INC FCM CBOT 05/31/2011 58,368,362 11,798,734 46,569,628 349,1109 TIMBER HILL LLC FCM BD CME 05/31/2011 1,059,519,171 47,411,421 1,012,107,750 570,7110 TOWER RESEARCH CAPITAL EUROPE LLC FCM NFA 05/31/2011 3,784,488 1,000,000 2,784,488 111 TRADELINK LLC FCM BD CBOT 05/31/2011 26,122,358 1,000,000 25,122,358 112 TRADESTATION FOREX INC. RFED NFA 05/31/2011 21,658,031 21,136,441 521,590 113 TRADESTATION SECURITIES INC FCM BD NFA 05/31/2011 60,411,601 3,302,718 57,108,883 433,9114 TRADITION SECURITIES AND FUTURES INC FCM NFA 05/31/2011 1,541,813 1,000,000 541,813 115 TRILAND USA INC FCM NYME 05/31/2011 41,056,804 7,124,165 33,932,639 91,9116 UBS FINANCIAL SERVICES INC FCM BD NFA 05/31/2011 1,312,188,878 97,579,782 1,214,609,096 178,9117 UBS SECURITIES LLC FCM BD CBOT 05/31/2011 11,177,690,647 1,040,849,220 10,136,841,427 12,704,6118 VELOCITY FUTURES LLC FCM NFA 05/31/2011 1,847,782 1,000,000 847,782 62,3119 VISION FINANCIAL MARKETS LLC FCM BD CME 05/31/2011 23,760,389 10,219,800 13,540,589 427,8120 WALL STREET DERIVATIVES INC FCM NFA 05/31/2011 1,512,888 1,000,000 512,888 

121 WELLS FARGO ADVISORS FINANCIAL NETWORK LLC FCM BD NFA 05/31/2011 47,665,766 3,900,882 43,764,884 122 WELLS FARGO ADVISORS LLC FCM BD NFA 05/31/2011 698,836,809 1,500,000 697,336,809 123 WELLS FARGO SECURITIES LLC FCM BD CME 05/31/2011 1,236,055,630 14,612,893 1,221,442,737 124 WHITE COMMERCIAL CORPORATION FCM NFA 05/31/2011 2,339,091 1,000,000 1,339,091 125 YORK BUSINESS ASSOCIATES LLC FCM NFA 05/31/2011 2,711,076 1,000,000 1,711,076 73,1

Totals 172,447,7
SELECTED FCM FINANCIAL DATA AS OF 

May 31, 2011

FROM REPORTS FILED BY 

June 30, 2011

Reg As DSRO A/O Adjusted Net Capital Excess Custome

Date Net Capital Requirement Net Capital Seg Requi

4d(a)(2) 

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

Futures Commission Merchant / Retail Foreign Exchange 

Dealer

April Web Page Update 126Additions 0NoneDeletions 1IG MARKETS INCName ChangeNoneMay 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.(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 inthe 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.