SELECTED FCM FINANCIAL DATA AS OF 

November 30, 2008

FROM REPORTS FILED BY 

December 31, 2008

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 11/30/2008 18,461,937 500,000 17,961,937 2 ACM USA LLC N NFA 11/30/2008 11,165,241 10,000,000 1,165,241 3 ADM INVESTOR SERVICES INC N CBOT 11/30/2008 152,395,366 69,715,102 82,680,264 4 ADVANCED MARKETS INC N NFA 11/30/2008 10,195,947 10,000,000 195,947 5 ADVANTAGE FUTURES LLC N CME 11/28/2008 16,358,148 6,512,044 9,846,104 6 AIG CLEARING CORPORATION N NYME 11/30/2008 323,477,037 15,601,686 307,875,351 7 ALARON TRADING CORPORATION N NFA 11/30/2008 4,040,860 2,645,616 1,395,244 

8 ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC * Y NFA 09/30/2008 25,779,452 7,250,234 18,529,218 

9 ALPARI (US) LLC N NFA 11/30/2008 18,158,297 10,000,000 8,158,297 

10 AMERIPRISE ADVISOR SERVICES INC Y NFA 11/30/2008 27,084,892 5,514,136 21,570,756 11 BACERA CORPORATION N NFA 11/30/2008 5,368,662 500,000 4,868,662 12 BANC OF AMERICA SECURITIES LLC Y CME 11/28/2008 2,958,395,611 170,947,501 2,787,448,110 

13 BARCLAYS CAPITAL INC Y NYME 11/28/2008 6,780,179,748 500,000,000 6,280,179,748 

14 BGC SECURITIES Y NFA 11/30/2008 8,942,770 500,000 8,442,770 15 BNP PARIBAS COMMODITY FUTURES INC N NYME 11/28/2008 300,837,786 258,024,532 42,813,254 

16 BNP PARIBAS SECURITIES CORP Y CBOT 11/30/2008 998,029,829 33,274,465 964,755,364 

17 CADENT FINANCIAL SERVICES LLC N CME 11/30/2008 9,296,883 5,573,673 3,723,210 18 CANTOR FITZGERALD & CO Y CBOT 11/30/2008 304,096,951 24,643,102 279,453,849 

19 CAPITAL MARKET SERVICES LLC N NFA 11/30/2008 26,540,892 10,000,000 16,540,892 20 CIBC WORLD MARKETS CORP Y CME 11/28/2008 1,082,570,262 4,211,720 1,078,358,542 21 CITIGROUP GLOBAL MARKETS INC Y CBOT 11/30/2008 5,548,646,362 935,602,012 4,613,044,350 

22 CLIFF LARSON COMPANY THE N NFA 11/30/2008 3,464,163 1,998,292 1,465,871 23 COMMONWEALTH FOREIGN EXCHANGE INC N NFA 11/30/2008 1,437,856 500,000 937,856 24 COMTRUST INC N NFA 11/30/2008 824,866 500,000 324,866 25 COUNTRY HEDGING INC N NFA 11/30/2008 12,889,946 8,084,551 4,805,395 

26 CREDIT SUISSE SECURITIES (USA) LLC Y CBOT 11/30/2008 8,945,673,805 684,408,637 8,261,265,168 

27 CROSSLAND LLC N CBOT 11/30/2008 3,436,165 593,336 2,842,829 28 CUNNINGHAM COMMODITIES LLC N CBOT 11/30/2008 3,134,152 500,000 2,634,152 29 DAIWA SECURITIES AMERICA INC Y CME 11/30/2008 228,149,024 1,820,012 226,329,012 30 DEUTSCHE BANK SECURITIES INC Y CBOT 11/28/2008 2,837,910,823 536,072,471 2,301,838,352 

31 DORMAN TRADING LLC N CME 11/30/2008 7,852,424 500,000 7,352,424 32 DUNAVANT COMMODITY CORP N NFA 11/30/2008 27,998,971 604,749 27,394,222 33 EAGLE MARKET MAKERS INC N CBOT 11/30/2008 5,990,893 500,000 5,490,893 34 EASY FOREX US LTD N NFA 11/30/2008 10,606,977 10,000,000 606,977 35 ELECTRONIC BROKERAGE SYSTEMS LLC Y NFA 11/30/2008 11,219,121 500,000 10,719,121 36 ENSKILDA FUTURES LTD N CME 11/30/2008 24,490,987 12,331,522 12,159,465 37 FARR FINANCIAL INC N NFA 11/30/2008 1,499,770 500,000 999,770 38 FC STONE LLC N CME 11/30/2008 89,964,022 47,322,891 42,641,131 39 FOREX CAPITAL MARKETS LLC N NFA 11/30/2008 131,416,979 10,000,000 121,416,979 40 FOREX CLUB FINANCIAL COMPANY INC N NFA 11/30/2008 15,823,325 10,000,000 5,823,325 41 FORTIS CLEARING AMERICAS LLC Y CBOT 11/30/2008 195,971,823 54,356,748 141,615,075 42 FRIEDBERG MERCANTILE GROUP INC N NFA 11/30/2008 8,201,858 5,000,000 3,201,858 43 FRONTIER FUTURES INC N NFA 11/30/2008 1,248,882 730,803 518,079 44 FUTURES TECH LLC N NFA 11/30/2008 852,362 500,000 352,362 45 FX SOLUTIONS LLC N NFA 11/30/2008 45,125,703 10,000,000 35,125,703 46 GAIN CAPITAL GROUP LLC N NFA 11/30/2008 102,959,741 10,000,000 92,959,741 
SELECTED FCM FINANCIAL DATA AS OF 

November 30, 2008

FROM REPORTS FILED BY 

December 31, 2008

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

Futures Commission Merchant Date Net Capital Requirement Net Capital S

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

47 GATEWAY CAPITAL L.L.C. N NFA 11/30/2008 644,866 500,000 144,866 48 GELBER GROUP LLC N CBOT 11/30/2008 134,837,396 946,067 133,891,329 49 GFS FOREX & FUTURES INC N NFA 11/30/2008 12,861,954 10,000,000 2,861,954 50 GILDER GAGNON HOWE AND CO LLC Y NFA 11/30/2008 15,102,111 500,000 14,602,111 51 GLOBAL FUTURES & FOREX LTD N NFA 11/30/2008 73,808,315 10,000,000 63,808,315 

52 GOLDMAN SACHS & CO Y CBOT 11/28/2008 10,919,704,718 2,046,619,737 8,873,084,981 

53 GOLDMAN SACHS EXECUTION & CLEARING LP Y CME 11/28/2008 1,375,037,585 88,914,577 1,286,123,008 

54 HOTSPOT FXR LLC N NFA 11/30/2008 10,527,057 10,000,000 527,057 55 HSBC SECURITIES USA INC Y CME 11/30/2008 1,151,113,463 123,489,786 1,027,623,677 

56 I TRADE FX LLC N NFA 11/30/2008 17,098,848 10,000,000 7,098,848 57 ICAP FUTURES LLC N NFA 11/30/2008 5,487,652 500,000 4,987,652 58 IG MARKETS INC. N NFA 11/30/2008 16,554,120 10,000,000 6,554,120 59 IKON GLOBAL MARKETS INC. N NFA 11/30/2008 15,013,602 10,000,000 5,013,602 60 INSTINET LLC Y NFA 11/30/2008 83,918,884 4,225,900 79,692,984 61 INTEGRATED BROKERAGE SERVICES LLC N NFA 11/30/2008 1,506,005 500,000 1,006,005 62 INTERACTIVE BROKERS LLC Y EUXUS 11/30/2008 611,268,845 38,683,786 572,585,059 63 INTERBANK FX LLC N NFA 11/28/2008 42,954,278 10,000,000 32,954,278 64 ITG DERIVATIVES, LLC Y NFA 11/30/2008 2,305,951 500,000 1,805,951 65 JP MORGAN CLEARING CORP Y CME 11/30/2008 4,774,509,858 1,323,048,261 3,451,461,597 66 JP MORGAN FUTURES INC N NYME 11/30/2008 2,105,348,802 1,473,403,793 631,945,009 

67 JP MORGAN SECURITIES INC Y NFA 11/28/2008 8,640,659,189 624,151,713 8,016,507,476 

68 KOTTKE ASSOCIATES LLC N CBOT 11/30/2008 25,725,283 500,000 25,225,283 

69 LADENBURG THALMANN & CO INC Y NFA 11/30/2008 7,617,859 500,000 7,117,859 70 LBS LIMITED PARTNERSHIP N NFA 11/30/2008 779,311 500,000 279,311 71 LEK SECURITIES CORPORATION Y NFA 11/30/2008 11,460,802 1,500,000 9,960,802 72 LIMESTONE TRADING LLC N NFA 11/30/2008 16,168,026 500,000 15,668,026 73 LINN GROUP ( THE ) N NFA 11/30/2008 3,000,842 500,000 2,500,842 74 LPL FINANCIAL CORPORATION Y NFA 11/30/2008 97,419,080 6,658,046 90,761,034 75 MACQUARIE FUTURES USA INC N CBOT 11/30/2008 51,006,543 26,350,821 24,655,722 76 MB TRADING FUTURES INC. N NFA 11/30/2008 14,664,024 10,000,000 4,664,024 77 MBF CLEARING CORP N NYME 11/30/2008 28,103,552 1,348,278 26,755,274 

78 MCVEAN TRADING AND INVESTMENTS LLC N NFA 11/30/2008 14,243,427 1,492,248 12,751,179 79 MERRILL LYNCH PIERCE FENNER & SMITH Y CBOT 11/28/2008 3,956,325,205 660,749,684 3,295,575,521 80 MERRILL LYNCH PROFESSIONAL CLEARING CORP Y NFA 11/28/2008 1,135,017,392 82,008,724 1,053,008,668 

81 MF GLOBAL INC. Y CME 11/30/2008 640,389,308 360,377,803 280,011,505 

82 MG FINANCIAL LLC N NFA 11/30/2008 5,748,123 500,000 5,248,123 83 MID-CO COMMODITIES INC N NFA 11/30/2008 13,903,774 3,204,002 10,699,772 84 MITSUI BUSSAN COMMODITIES USA INC N NYME 11/30/2008 7,668,475 2,293,921 5,374,554 85 MIZUHO SECURITIES USA INC Y CME 11/28/2008 310,770,590 62,432,912 248,337,678 

86 MORGAN KEEGAN & COMPANY INC Y NFA 11/30/2008 326,450,307 9,984,846 316,465,461 87 MORGAN STANLEY & CO INCORPORATED Y CME 11/30/2008 8,283,858,226 922,053,898 7,361,804,328 88 NATIXIS SECURITIES NORTH AMERICA INC Y NFA 11/28/2008 195,107,073 500,000 194,607,073 89 NEUBERGER BERMAN LLC Y NFA 11/28/2008 106,510,527 5,000,000 101,510,527 90 NEWEDGE USA LLC. Y NYME 11/30/2008 2,374,285,488 1,582,378,655 791,906,833 91 NOMURA SECURITIES INTERNATIONAL INC Y CBOT 11/28/2008 732,985,472 2,594,412 730,391,060 92 OANDA CORPORATION N NFA 11/30/2008 170,799,434 10,000,000 160,799,434 93 ODL SECURITIES INC N NFA 11/30/2008 18,982,172 10,000,000 8,982,172 
SELECTED FCM FINANCIAL DATA AS OF 

November 30, 2008

FROM REPORTS FILED BY 

December 31, 2008

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

Futures Commission Merchant Date Net Capital Requirement Net Capital S

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

94 OPEN E CRY LLC N NFA 11/30/2008 2,227,120 623,944 1,603,176 

95 OPPENHEIMER & CO INC Y NFA 11/28/2008 186,688,705 17,344,138 169,344,567 96 OPTIONSXPRESS INC Y NFA 11/30/2008 80,095,620 5,864,817 74,230,803 

97 PENSON GHCO N CBOT 11/30/2008 19,500,644 11,439,782 8,060,862 98 PEREGRINE FINANCIAL GROUP INC N NFA 11/30/2008 27,704,449 10,000,000 17,704,449 

99 PIONEER FUTURES INC N NYME 11/30/2008 1,566,380 500,000 1,066,380 

100 PRUDENTIAL BACHE COMMODITIES LLC N CBOT 11/30/2008 276,779,000 208,110,280 68,668,720 

101 PUMA FINANCIAL LLC N NFA 11/28/2008 1,581,331 500,000 1,081,331 102 RAND FINANCIAL SERVICES INC N CME 11/30/2008 65,445,699 8,780,879 56,664,820 103 RAYMOND JAMES & ASSOCIATES INC Y NFA 11/30/2008 276,850,014 23,879,105 252,970,909 104 RBC CAPITAL MARKETS CORPORATION Y CME 11/28/2008 433,599,140 172,315,555 261,283,585 

105 RBS GREENWICH CAPITAL INC Y CBOT 11/30/2008 1,851,602,000 208,791,669 1,642,810,331 

106 RJ OBRIEN & ASSOCIATES LLC N CME 11/30/2008 115,788,116 57,883,622 57,904,494 107 ROBBINS FUTURES INC N NFA 11/30/2008 579,893 500,000 79,893 108 ROSENTHAL COLLINS GROUP LLC N CME 11/30/2008 88,673,339 31,842,407 56,830,932 109 ROSENTHAL GLOBAL SECURITIES LLC Y NFA 11/30/2008 31,820,918 1,694,247 30,126,671 110 SANFORD C BERNSTEIN & CO LLC Y NFA 11/28/2008 146,518,134 8,112,002 138,406,132 111 SANTANDER INVESTMENT SECURITIES INC. Y NFA 11/28/2008 94,434,084 500,000 93,934,084 112 SHAY GRAIN CLEARING COMPANY N KCBT 11/30/2008 2,571,558 685,654 1,885,904 

113 SMW TRADING COMPANY INC N CME 11/30/2008 20,918,409 500,000 20,418,409 114 STEPHENS INC Y NFA 11/28/2008 78,292,437 9,799,210 68,493,227 115 STERLING COMMODITIES CORP N NYME 11/30/2008 9,689,487 725,052 8,964,435 

116 TCA FUTURES LLC N NFA 11/30/2008 822,550 500,000 322,550 117 TD AMERITRADE INC. Y NFA 11/28/2008 93,035,719 250,000 92,785,719 118 TENCO INC N CBOT 11/30/2008 42,403,834 5,939,336 36,464,498 119 TERRA NOVA FINANCIAL, LLC Y NFA 11/30/2008 10,053,408 1,500,000 8,553,408 120 TIMBER HILL LLC Y CME 11/30/2008 1,072,720,959 10,042,435 1,062,678,524 

121 TOWER RESEARCH CAPITAL EUROPE LLC N NFA 11/30/2008 2,888,469 500,000 2,388,469 122 TRADELINK LLC Y CBOT 11/30/2008 57,136,884 500,000 56,636,884 123 TRADESTATION SECURITIES INC Y NFA 11/30/2008 93,701,802 1,083,187 92,618,615 124 TRADITION SECURITIES AND FUTURES INC N NFA 11/30/2008 845,233 500,000 345,233 125 TRANSMARKET GROUP LLC Y CBOT 11/30/2008 22,227,419 500,000 21,727,419 126 TRILAND USA INC N NYME 11/30/2008 46,585,439 10,507,587 36,077,852 127 UBS FINANCIAL SERVICES INC Y NFA 11/28/2008 300,966,656 97,510,481 203,456,175 128 UBS SECURITIES LLC Y CBOT 11/30/2008 15,248,161,440 1,089,968,702 14,158,192,738 129 VELOCITY FUTURES LP N NFA 11/30/2008 1,011,926 500,000 511,926 

130 VISION FINANCIAL MARKETS LLC Y CME 11/30/2008 26,740,303 5,712,739 21,027,564 131 WACHOVIA CAPITAL MARKETS LLC Y CME 11/30/2008 1,355,598,925 1,000,000 1,354,598,925 132 WACHOVIA SECURITIES FINANCIAL NETWORK, LLC Y NFA 11/30/2008 36,647,327 2,092,095 34,555,232 133 WACHOVIA SECURITIES LLC Y NFA 11/30/2008 669,158,914 22,940,307 646,218,607 134 WHITE COMMERCIAL CORPORATION N NFA 11/30/2008 2,791,940 500,000 2,291,940 135 WSD FINANCIAL USA, INC N NFA 11/30/2008 1,288,050 500,000 788,050 136 YORK BUSINESS ASSOCIATES LLC N NFA 11/30/2008 1,172,569 500,000 672,569 

TOTAL 
SELECTED FCM FINANCIAL DATA AS OF 

November 30, 2008

FROM REPORTS FILED BY 

December 31, 2008

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

Futures Commission Merchant Date Net Capital Requirement Net Capital S

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

October Web Page Update 139Additions 0NONEDeletions 3ED & F MAN COMMODITY ADVISORS INCLOEB PARTNERS CORPORATIONGENESIS FUTURES LLCName ChangeAMERIPRISE ADVISOR SERVICES INC (Formally H & R Block Financial Advisors Inc) November Web Page Update 136*Allianz Global Investors Distributions 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.

(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 vthe United States. 
SELECTED FCM FINANCIAL DATA AS OF 

November 30, 2008

FROM REPORTS FILED BY 

December 31, 2008

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, fzimmerle@cftc.gov.