SELECTED FCM FINANCIAL DATA AS OF 

December 31, 2009

FROM REPORTS FILED BY 

January 31, 2010

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

Futures Commission Merchant Date Net Capital Requirement Net Capital 

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

1 ACM USA LLC N NFA 12/31/2009 772,316 500,000 272,316 2 ADM INVESTOR SERVICES INC N CBOT 12/31/2009 167,311,573 91,397,173 75,914,400 

3 ADVANCED MARKETS LLC N NFA 12/31/2009 20,480,496 20,000,000 480,496 4 ADVANTAGE FUTURES LLC N CME 12/31/2009 17,492,246 8,357,656 9,134,590 

5 AIG CLEARING CORPORATION N NYME 12/31/2009 224,973,524 500,000 224,473,524 6 ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC* Y NFA 12/31/2009 28,024,917 8,706,179 19,318,738 

7 ALPARI (US) LLC N NFA 12/31/2009 21,948,817 20,000,000 1,948,817 8 AMERIPRISE FINANCIAL SERVICES INC Y NFA 12/31/2009 78,968,216 500,000 78,468,216 9 BANC OF AMERICA SECURITIES LLC Y CME 12/31/2009 2,427,447,674 134,009,871 2,293,437,803 

10 BARCLAYS CAPITAL INC Y NYME 12/31/2009 7,062,927,478 631,289,412 6,431,638,066 11 BGC FINANCIAL LP Y NFA 12/31/2009 26,683,407 500,000 26,183,407 12 BNP PARIBAS COMMODITY FUTURES INC N NYME 12/31/2009 304,309,685 166,986,429 137,323,256 13 BNP PARIBAS SECURITIES CORP Y CBOT 12/31/2009 1,590,062,547 62,397,779 1,527,664,768 

14 CADENT FINANCIAL SERVICES LLC N NFA 12/31/2009 568,214 350,000 218,214 15 CANTOR FITZGERALD & CO Y CBOT 12/31/2009 164,504,573 3,066,696 161,437,877 16 CAPITAL MARKET SERVICES LLC N NFA 12/31/2009 25,813,783 21,311,555 4,502,228 

17 CIBC WORLD MARKETS CORP Y CME 12/31/2009 1,398,216,713 1,500,000 1,396,716,713 

18 CITADEL SECURITIES LLC Y CME 12/31/2009 313,905,623 1,000,000 312,905,623 

19 CITIGROUP GLOBAL MARKETS INC Y CBOT 12/31/2009 10,886,418,135 668,692,748 10,217,725,387 20 COMMONWEALTH FOREIGN EXCHANGE INC N NFA 12/31/2009 1,070,832 500,000 570,832 21 COMPASS PROFESSIONAL SERVICES LLC Y NFA 12/31/2009 3,278,016 500,000 2,778,016 22 COUNTRY HEDGING INC N NFA 12/31/2009 15,651,723 7,725,086 7,926,637 23 CREDIT SUISSE SECURITIES (USA) LLC Y CBOT 12/31/2009 8,672,003,478 759,012,886 7,912,990,592 24 CROSSLAND LLC N CBOT 12/31/2009 7,113,481 5,132,131 1,981,350 

25 CUNNINGHAM COMMODITIES LLC N CBOT 12/31/2009 3,662,255 967,675 2,694,580 26 CX CAPITAL MARKETS LLC N NFA 12/31/2009 1,038,141 500,000 538,141 

27 DAIWA SECURITIES AMERICA INC Y CME 12/31/2009 281,777,964 1,000,000 280,777,964 28 DEUTSCHE BANK SECURITIES INC Y CBOT 12/31/2009 7,779,245,053 390,885,364 7,388,359,689 

29 DORMAN TRADING LLC N CME 12/31/2009 7,728,691 749,043 6,979,648 30 EAGLE MARKET MAKERS INC N CBOT 12/31/2009 5,659,610 500,000 5,159,610 

31 EASY FOREX US LTD N NFA 12/31/2009 20,581,271 20,000,000 581,271 32 ELECTRONIC BROKERAGE SYSTEMS LLC Y NFA 12/31/2009 9,643,877 500,000 9,143,877 33 ENSKILDA FUTURES LTD N CME 12/31/2009 26,044,509 16,006,100 10,038,409 

34 FARR FINANCIAL INC N NFA 12/31/2009 1,205,639 573,523 632,116 35 FCSTONE LLC N CME 12/31/2009 72,167,847 36,462,619 35,705,228 

36 FOREX CAPITAL MARKETS LLC N NFA 12/31/2009 63,823,536 25,009,102 38,814,434 

37 FOREX CLUB FINANCIAL COMPANY INC N NFA 12/31/2009 20,804,494 20,000,000 804,494 38 FORTIS CLEARING AMERICAS LLC Y CBOT 12/31/2009 218,392,536 50,453,635 167,938,901 

39 FRIEDBERG MERCANTILE GROUP INC N NFA 12/31/2009 3,331,913 500,000 2,831,913 40 FRONTIER FUTURES INC N NFA 12/31/2009 1,352,215 758,384 593,831 41 FUTURES TECH LLC N NFA 12/31/2009 852,385 500,000 352,385 
SELECTED FCM FINANCIAL DATA AS OF 

December 31, 2009

FROM REPORTS FILED BY 

January 31, 2010

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

Futures Commission Merchant Date Net Capital Requirement Net Capital 

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

42 FX SOLUTIONS LLC N NFA 12/31/2009 44,826,160 20,623,173 24,202,987 43 FXDIRECTDEALER LLC N NFA 12/31/2009 37,079,144 25,631,331 11,447,813 44 GAIN CAPITAL GROUP LLC N NFA 12/31/2009 89,583,772 26,001,260 63,582,512 45 GENESIS FUTURES LLC N NFA 12/31/2009 761,717 500,000 261,717 46 GFS FOREX & FUTURES INC N NFA 12/31/2009 1,648,905 500,000 1,148,905 47 GILDER GAGNON HOWE & CO LLC Y NFA 12/31/2009 11,830,694 500,000 11,330,694 48 GLOBAL FUTURES & FOREX LTD N NFA 12/31/2009 81,588,107 25,576,614 56,011,493 

49 GOLDMAN SACHS & CO Y CBOT 12/31/2009 13,654,951,093 1,846,967,521 11,807,983,572 

50 GOLDMAN SACHS EXECUTION & CLEARING LP Y CME 12/31/2009 1,973,950,959 110,588,745 1,863,362,214 51 HG CLEARING SERVICES LLC N NFA 12/31/2009 599,547 500,000 99,547 52 HSBC SECURITIES USA INC Y CME 12/31/2009 1,177,213,503 67,992,039 1,109,221,464 

53 I TRADE FX LLC N NFA 12/31/2009 512,417 500,000 12,417 54 ICAP FUTURES LLC N NFA 12/31/2009 13,602,814 500,000 13,102,814 55 IG MARKETS INC N NFA 12/31/2009 30,233,214 20,000,000 10,233,214 56 IKON GLOBAL MARKETS INC N NFA 12/31/2009 20,965,254 20,586,644 378,610 

57 INSTINET LLC Y NFA 12/31/2009 111,374,732 1,500,000 109,874,732 58 INTEGRATED BROKERAGE SERVICES LLC N NFA 12/31/2009 1,361,636 500,000 861,636 59 INTERACTIVE BROKERS LLC Y NFA 12/31/2009 787,396,003 85,101,725 702,294,278 60 INTERBANK FX LLC N NFA 12/31/2009 33,148,577 21,450,664 11,697,913 61 ITG DERIVATIVES LLC Y NFA 12/31/2009 3,343,737 500,000 2,843,737 62 JP MORGAN CLEARING CORP Y CME 12/31/2009 5,178,908,488 1,542,797,075 3,636,111,413 63 JP MORGAN FUTURES INC N NYME 12/31/2009 2,276,085,447 1,010,002,944 1,266,082,503 

64 JP MORGAN SECURITIES INC Y NFA 12/31/2009 7,414,789,982 538,370,983 6,876,418,999 65 LADENBURG THALMANN & CO INC Y NFA 12/31/2009 2,671,858 500,000 2,171,858 66 LEK SECURITIES CORPORATION Y NFA 12/31/2009 12,817,061 1,500,000 11,317,061 

67 LIMESTONE TRADING LLC N NFA 12/31/2009 3,411,389 500,000 2,911,389 68 LINN GROUP THE N NFA 12/31/2009 2,520,377 542,726 1,977,651 

69 LPL FINANCIAL CORPORATION Y NFA 12/31/2009 65,194,494 6,221,169 58,973,325 70 MACQUARIE FUTURES USA INC N CBOT 12/31/2009 84,683,611 32,089,576 52,594,035 

71 MAREX USA LIMITED N NFA 12/31/2009 669,961 500,000 169,961 

72 MB TRADING FUTURES INC N NFA 12/31/2009 22,386,555 20,000,000 2,386,555 73 MBF CLEARING CORP N NYME 12/31/2009 11,253,992 980,540 10,273,452 

74 MCVEAN TRADING & INVESTMENTS LLC N NFA 12/31/2009 9,380,645 1,919,868 7,460,777 75 MERRILL LYNCH PIERCE FENNER & SMITH Y CBOT 12/31/2009 5,283,800,106 527,105,875 4,756,694,231 

76 MERRILL LYNCH PROFESSIONAL CLEARING CORP Y NFA 12/31/2009 1,655,804,231 223,079,313 1,432,724,918 

77 MF GLOBAL INC Y CME 12/31/2009 562,942,321 331,584,975 231,357,346 78 MG FINANCIAL LLC N NFA 12/31/2009 5,060,949 500,000 4,560,949 79 MID CO COMMODITIES INC N NFA 12/31/2009 11,307,724 2,561,588 8,746,136 80 MITSUBISHI UFJ SECURITIES USA INC Y NFA 12/31/2009 87,541,971 1,379,465 86,162,506 

81 MITSUI BUSSAN COMMODITIES USA INC N NYME 12/31/2009 8,078,460 2,555,414 5,523,046 82 MIZUHO SECURITIES USA INC Y CME 12/31/2009 312,667,000 34,367,496 278,299,504 

83 MORGAN KEEGAN & COMPANY INC Y NFA 12/31/2009 417,136,285 19,175,841 397,960,444 
SELECTED FCM FINANCIAL DATA AS OF 

December 31, 2009

FROM REPORTS FILED BY 

January 31, 2010

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

Futures Commission Merchant Date Net Capital Requirement Net Capital 

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

84 MORGAN STANLEY & CO INCORPORATED Y CME 12/31/2009 7,970,395,918 1,095,824,330 6,874,571,588 85 MORGAN STANLEY SMITH BARNEY LLC Y NFA 12/31/2009 395,724,596 500,000 395,224,596 86 NATIXIS SECURITIES NORTH AMERICA INC Y NFA 12/31/2009 215,024,783 500,000 214,524,783 

87 NEUBERGER BERMAN LLC Y NFA 12/31/2009 119,203,341 1,500,000 117,703,341 

88 NEWEDGE USA LLC Y NYME 12/31/2009 2,393,490,941 1,133,098,033 1,260,392,908 

89 NOMURA SECURITIES INTERNATIONAL INC Y CBOT 12/31/2009 997,408,234 21,478,523 975,929,711 90 OANDA CORPORATION N NFA 12/31/2009 165,401,463 28,788,020 136,613,443 91 OPEN E CRY LLC N NFA 12/31/2009 3,313,815 638,284 2,675,531 

92 OPPENHEIMER & CO INC Y NFA 12/31/2009 157,791,512 23,004,829 134,786,683 

93 OPTIONSXPRESS INC Y NFA 12/31/2009 97,502,879 17,906,316 79,596,563 94 PENSON GHCO N CBOT 12/31/2009 22,958,655 14,955,821 8,002,834 95 PEREGRINE FINANCIAL GROUP INC N NFA 12/31/2009 31,346,477 20,000,000 11,346,477 

96 PIONEER FUTURES INC N NYME 12/31/2009 1,093,640 500,000 593,640 97 PRUDENTIAL BACHE COMMODITIES LLC N CBOT 12/31/2009 209,511,000 162,696,280 46,814,720 98 RAND FINANCIAL SERVICES INC N CME 12/31/2009 60,069,863 8,154,193 51,915,670 99 RAYMOND JAMES & ASSOCIATES INC Y NFA 12/31/2009 399,283,445 28,655,599 370,627,846 

100 RBC CAPITAL MARKETS CORPORATION Y CME 12/31/2009 1,120,091,272 99,586,764 1,020,504,508 

101 RBS SECURITIES INC Y CBOT 12/31/2009 1,521,400,000 166,762,000 1,354,638,000 

102 RJ OBRIEN ASSOCIATES LLC N CME 12/31/2009 108,330,628 58,495,837 49,834,791 103 ROBBINS FUTURES INC N NFA 12/31/2009 556,090 500,000 56,090 104 ROSENTHAL COLLINS GROUP LLC N CME 12/31/2009 53,496,118 33,177,396 20,318,722 105 ROSENTHAL GLOBAL SECURITIES LLC Y NFA 12/31/2009 53,764,153 735,933 53,028,220 106 SANFORD C BERNSTEIN & CO LLC Y NFA 12/31/2009 163,491,635 11,501,709 151,989,926 107 SANTANDER INVESTMENT SECURITIES INC Y NFA 12/31/2009 62,211,230 500,000 61,711,230 108 SHAY GRAIN CLEARING COMPANY N KCBT 12/31/2009 2,549,959 735,868 1,814,091 109 SMW TRADING COMPANY INC N CME 12/31/2009 27,163,338 500,000 26,663,338 

110 STATE STREET GLOBAL MARKETS LLC Y NFA 12/31/2009 273,851,567 500,000 273,351,567 

111 STEPHENS INC Y NFA 12/31/2009 66,553,698 12,630,941 53,922,757 112 STERLING COMMODITIES CORP N NYME 12/31/2009 7,353,423 1,047,123 6,306,300 

113 TCA FUTURES LLC N NFA 12/31/2009 821,719 500,000 321,719 114 TD AMERITRADE INC Y NFA 12/31/2009 344,983,823 500,000 344,483,823 

115 TENCO INC N CBOT 12/31/2009 47,985,417 5,696,212 42,289,205 

116 TERRA NOVA FINANCIAL LLC Y NFA 12/31/2009 10,394,818 1,500,000 8,894,818 117 TIMBER HILL LLC Y CME 12/31/2009 1,108,813,968 37,634,093 1,071,179,875 

118 TOWER RESEARCH CAPITAL EUROPE LLC N NFA 12/31/2009 3,673,121 500,000 3,173,121 119 TRADELINK LLC Y CBOT 12/31/2009 28,034,954 500,000 27,534,954 120 TRADESTATION SECURITIES INC Y NFA 12/31/2009 85,586,716 1,797,596 83,789,120 

121 TRADITION SECURITIES AND FUTURES INC N NFA 12/31/2009 774,346 500,000 274,346 

122 TRANSMARKET GROUP LLC Y CBOT 12/31/2009 11,225,409 500,000 10,725,409 123 TRILAND USA INC N NYME 12/31/2009 33,731,042 11,299,460 22,431,582 

124 UBS FINANCIAL SERVICES INC Y NFA 12/31/2009 1,303,357,969 88,885,791 1,214,472,178 125 UBS SECURITIES LLC Y CBOT 12/31/2009 13,687,349,342 820,215,902 12,867,133,440 
SELECTED FCM FINANCIAL DATA AS OF 

December 31, 2009

FROM REPORTS FILED BY 

January 31, 2010

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

Futures Commission Merchant Date Net Capital Requirement Net Capital 

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

126 VELOCITY FUTURES LLC N NFA 12/31/2009 1,120,606 500,000 620,606 127 VISION FINANCIAL MARKETS LLC Y CME 12/31/2009 20,198,108 6,851,490 13,346,618 128 WELLS FARGO ADVISORS FINANCIAL NETWORK LLC Y NFA 12/31/2009 24,245,472 2,134,953 22,110,519 129 WELLS FARGO ADVISORS LLC Y NFA 12/31/2009 210,242,483 1,500,000 208,742,483 130 WELLS FARGO SECURITIES LLC Y CME 12/31/2009 1,438,686,506 1,032,883 1,437,653,623 131 WHITE COMMERCIAL CORPORATION N NFA 12/31/2009 2,570,577 500,000 2,070,577 132 WSD FINANCIAL USA INC N NFA 12/31/2009 1,211,397 500,000 711,397 133 YORK BUSINESS ASSOCIATES LLC N NFA 12/31/2009 1,725,521 500,000 1,225,521 

Totals 
SELECTED FCM FINANCIAL DATA AS OF 

December 31, 2009

FROM REPORTS FILED BY 

January 31, 2010

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

Futures Commission Merchant Date Net Capital Requirement Net Capital 

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

November Web Page Update 133

Additions 2FXDIRECTDEALER LLCHG CLEARING SERVICES LLCDeletions 2AMERIPRISE ADVISOR SERVICES INCHOTSPOT FXR LLCName ChangeNoneDecember Web Page Update 133

*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); or(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 

December 31, 2009

FROM REPORTS FILED BY 

January 31, 2010

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.