SELECTED FCM FINANCIAL DATA AS OF 

April 30, 2009

FROM REPORTS FILED BY 

May 31, 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 04/30/2009 14,747,537 500,000 14,247,537 2 ACM USA LLC N NFA 04/30/2009 793,387 500,000 293,387 3 ADM INVESTOR SERVICES INC N CBOT 04/30/2009 157,845,234 89,295,187 68,550,047 

4 ADVANCED MARKETS LLC N NFA 04/30/2009 19,796,273 15,000,000 4,796,273 5 ADVANTAGE FUTURES LLC N CME 04/30/2009 15,469,093 4,428,917 11,040,176 

6 AIG CLEARING CORPORATION N NYME 04/30/2009 221,528,123 12,621,022 208,907,101 7 ALARON TRADING CORPORATION N NFA 04/30/2009 1,470,667 500,000 970,667 8 ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC * Y NFA 03/31/2009 23,585,672 5,484,657 18,101,015 

9 ALPARI (US) LLC N NFA 04/30/2009 20,975,556 15,000,000 5,975,556 

10 AMERIPRISE ADVISOR SERVICES INC Y NFA 04/30/2009 88,694,344 5,355,887 83,338,457 11 BANC OF AMERICA SECURITIES LLC Y CME 04/30/2009 2,427,974,632 65,449,283 2,362,525,349 

12 BARCLAYS CAPITAL INC Y NYME 04/30/2009 4,809,392,094 501,143,181 4,308,248,913 13 BGC FINANCIAL LP Y NFA 04/30/2009 52,895,290 500,000 52,395,290 14 BNP PARIBAS COMMODITY FUTURES INC N NYME 04/30/2009 293,389,615 230,729,682 62,659,933 

15 BNP PARIBAS SECURITIES CORP Y CBOT 04/30/2009 1,470,054,362 58,060,082 1,411,994,280 

16 CADENT FINANCIAL SERVICES LLC N CME 04/30/2009 5,095,629 3,827,509 1,268,120 

17 CANTOR FITZGERALD & CO Y CBOT 04/30/2009 206,638,254 13,191,985 193,446,269 

18 CAPITAL MARKET SERVICES LLC N NFA 04/30/2009 29,649,678 15,000,000 14,649,678 

19 CIBC WORLD MARKETS CORP Y CME 04/30/2009 1,122,645,619 8,829,891 1,113,815,728 

20 CITIGROUP GLOBAL MARKETS INC Y CBOT 04/30/2009 8,426,657,205 789,683,919 7,636,973,286 21 COMMONWEALTH FOREIGN EXCHANGE INC N NFA 04/30/2009 895,333 500,000 395,333 22 COUNTRY HEDGING INC N NFA 04/30/2009 14,147,787 7,855,714 6,292,073 23 CREDIT SUISSE SECURITIES (USA) LLC Y CBOT 04/30/2009 12,557,549,226 615,578,623 11,941,970,603 24 CROSSLAND LLC N CBOT 04/30/2009 3,833,232 2,950,702 882,530 25 CUNNINGHAM COMMODITIES LLC N CBOT 04/30/2009 3,202,158 648,084 2,554,074 26 CX CAPITAL MARKETS LLC N NFA 04/30/2009 761,161 500,000 261,161 27 DAIWA SECURITIES AMERICA INC Y CME 04/30/2009 247,457,380 1,000,000 246,457,380 

28 DEUTSCHE BANK SECURITIES INC Y CBOT 04/30/2009 5,801,417,421 442,937,977 5,358,479,444 

29 DORMAN TRADING LLC N CME 04/30/2009 7,972,043 591,866 7,380,177 30 EAGLE MARKET MAKERS INC N CBOT 04/30/2009 5,645,628 500,000 5,145,628 

31 EASY FOREX US LTD N NFA 04/30/2009 15,549,565 15,000,000 549,565 

32 ELECTRONIC BROKERAGE SYSTEMS LLC Y NFA 04/30/2009 4,984,552 912,889 4,071,663 

33 ENSKILDA FUTURES LTD N CME 04/30/2009 22,213,489 10,706,862 11,506,627 

34 FARR FINANCIAL INC N NFA 04/30/2009 1,188,795 500,000 688,795 

35 FCSTONE LLC N CME 04/30/2009 58,884,607 37,550,083 21,334,524 

36 FOREX CAPITAL MARKETS LLC N NFA 04/30/2009 60,472,142 15,000,000 45,472,142 

37 FOREX CLUB FINANCIAL COMPANY INC N NFA 04/30/2009 21,795,577 15,000,000 6,795,577 38 FORTIS CLEARING AMERICAS LLC Y CBOT 04/30/2009 182,269,818 61,165,584 121,104,234 

39 FRIEDBERG MERCANTILE GROUP INC N NFA 04/30/2009 3,314,565 500,000 2,814,565 40 FRONTIER FUTURES INC N NFA 04/30/2009 1,158,579 735,412 423,167 41 FUTURES TECH LLC N NFA 04/30/2009 839,803 500,000 339,803 
SELECTED FCM FINANCIAL DATA AS OF 

April 30, 2009

FROM REPORTS FILED BY 

May 31, 2009

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 04/30/2009 41,546,274 15,000,000 26,546,274 43 GAIN CAPITAL GROUP LLC N NFA 04/30/2009 90,801,214 15,000,000 75,801,214 44 GELBER GROUP LLC N CBOT 04/30/2009 103,846,568 500,000 103,346,568 

45 GFS FOREX & FUTURES INC N NFA 04/30/2009 16,455,861 15,000,000 1,455,861 46 GILDER GAGNON HOWE & CO LLC Y NFA 04/30/2009 14,826,782 500,000 14,326,782 47 GLOBAL FUTURES & FOREX LTD N NFA 04/30/2009 80,693,021 15,000,000 65,693,021 

48 GOLDMAN SACHS & CO Y CBOT 04/24/2009 15,685,091,913 1,941,899,122 13,743,192,791 

49 GOLDMAN SACHS EXECUTION & CLEARING LP Y CME 04/24/2009 1,943,326,108 90,308,093 1,853,018,015 

50 HOTSPOT FXR LLC N NFA 04/30/2009 15,253,350 500,000 14,753,350 51 HSBC SECURITIES USA INC Y CME 04/30/2009 1,366,625,330 74,758,955 1,291,866,375 52 I TRADE FX LLC N NFA 04/30/2009 16,341,344 15,000,000 1,341,344 53 ICAP FUTURES LLC N NFA 04/30/2009 5,631,568 500,000 5,131,568 54 IG MARKETS INC N NFA 04/30/2009 22,805,657 15,000,000 7,805,657 

55 IKON GLOBAL MARKETS INC N NFA 04/30/2009 16,355,818 15,000,000 1,355,818 

56 INSTINET LLC Y NFA 04/30/2009 110,704,825 1,500,000 109,204,825 57 INTEGRATED BROKERAGE SERVICES LLC N NFA 04/30/2009 1,869,564 500,000 1,369,564 58 INTERACTIVE BROKERS LLC Y NFA 04/30/2009 659,484,132 55,028,664 604,455,468 59 INTERBANK FX LLC N NFA 04/30/2009 36,507,727 15,000,000 21,507,727 60 ITG DERIVATIVES LLC Y NFA 04/30/2009 2,772,310 500,000 2,272,310 

61 JP MORGAN CLEARING CORP Y CME 04/30/2009 4,875,179,343 1,427,484,638 3,447,694,705 

62 JP MORGAN FUTURES INC N NYME 04/30/2009 2,163,964,787 1,221,960,764 942,004,023 

63 JP MORGAN SECURITIES INC Y NFA 04/30/2009 9,111,164,028 558,331,925 8,552,832,103 

64 LADENBURG THALMANN & CO INC Y NFA 04/30/2009 2,578,778 500,000 2,078,778 65 LEK SECURITIES CORPORATION Y NFA 04/30/2009 12,592,049 1,500,000 11,092,049 

66 LIMESTONE TRADING LLC N NFA 04/30/2009 14,111,378 500,000 13,611,378 67 LINN GROUP THE N NFA 04/30/2009 2,317,432 500,000 1,817,432 

68 LPL FINANCIAL CORPORATION Y NFA 04/30/2009 116,869,645 6,598,108 110,271,537 69 MACQUARIE FUTURES USA INC N CBOT 04/30/2009 46,898,666 29,955,029 16,943,637 

70 MAREX USA LIMITED N NFA 04/30/2009 968,162 500,000 468,162 

71 MB TRADING FUTURES INC N NFA 04/30/2009 17,100,859 15,000,000 2,100,859 72 MBF CLEARING CORP N NYME 04/30/2009 27,515,863 2,537,373 24,978,490 

73 MCVEAN TRADING & INVESTMENTS LLC N NFA 04/30/2009 7,224,100 1,848,745 5,375,355 74 MERRILL LYNCH PIERCE FENNER & SMITH Y CBOT 04/30/2009 4,428,595,726 637,236,448 3,791,359,278 

75 MERRILL LYNCH PROFESSIONAL CLEARING CORP Y NFA 04/30/2009 1,594,761,965 89,022,086 1,505,739,879 

76 MF GLOBAL INC Y CME 04/30/2009 557,017,944 326,917,539 230,100,405 77 MG FINANCIAL LLC N NFA 04/30/2009 5,222,583 500,000 4,722,583 78 MID CO COMMODITIES INC N NFA 04/30/2009 11,253,292 2,425,706 8,827,586 79 MITSUI BUSSAN COMMODITIES USA INC Y NYME 04/30/2009 7,247,531 1,791,086 5,456,445 

80 MIZUHO SECURITIES USA INC Y CME 04/30/2009 298,272,695 43,923,461 254,349,234 

81 MORGAN KEEGAN & COMPANY INC Y NFA 04/30/2009 330,873,358 9,459,329 321,414,029 

82 MORGAN STANLEY & CO INCORPORATED Y CME 04/30/2009 11,629,796,070 1,178,693,294 10,451,102,776 

83 NATIXIS SECURITIES NORTH AMERICA INC Y NFA 04/30/2009 214,232,326 500,000 213,732,326 
SELECTED FCM FINANCIAL DATA AS OF 

April 30, 2009

FROM REPORTS FILED BY 

May 31, 2009

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

Futures Commission Merchant Date Net Capital Requirement Net Capital 

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

84 NEUBERGER BERMAN LLC Y NFA 04/30/2009 34,961,831 1,500,000 33,461,831 

85 NEWEDGE USA LLC Y NYME 04/30/2009 2,440,549,445 1,512,305,795 928,243,650 

86 NOMURA SECURITIES INTERNATIONAL INC Y CBOT 04/30/2009 1,153,124,204 2,284,265 1,150,839,939 

87 OANDA CORPORATION N NFA 04/30/2009 159,739,419 15,000,000 144,739,419 88 ODL SECURITIES INC N NFA 04/30/2009 3,312,921 500,000 2,812,921 

89 OPEN E CRY LLC N NFA 04/30/2009 2,677,317 806,732 1,870,585 

90 OPPENHEIMER & CO INC Y NFA 04/30/2009 187,999,043 16,474,317 171,524,726 91 OPTIONSXPRESS INC Y NFA 04/30/2009 75,720,400 5,786,631 69,933,769 92 PENSON GHCO N CBOT 04/30/2009 19,015,168 14,432,987 4,582,181 93 PEREGRINE FINANCIAL GROUP INC N NFA 04/30/2009 36,843,820 15,000,000 21,843,820 

94 PIONEER FUTURES INC N NYME 04/30/2009 1,587,911 500,000 1,087,911 95 PRUDENTIAL BACHE COMMODITIES LLC N CBOT 04/30/2009 235,081,000 169,265,120 65,815,880 

96 PUMA FINANCIAL LLC N NFA 04/30/2009 1,109,309 500,000 609,309 

97 RAND FINANCIAL SERVICES INC N CME 04/30/2009 60,738,677 6,062,048 54,676,629 

98 RAYMOND JAMES & ASSOCIATES INC Y NFA 04/30/2009 326,284,837 23,568,254 302,716,583 

99 RBC CAPITAL MARKETS CORPORATION Y CME 04/30/2009 1,178,625,360 99,558,979 1,079,066,381 

100 RBS SECURITIES INC. Y CBOT 04/30/2009 2,252,318,000 199,650,000 2,052,668,000 

101 RJ OBRIEN & ASSOCIATES LLC N CME 04/30/2009 107,125,033 63,912,623 43,212,410 102 ROBBINS FUTURES INC N NFA 04/30/2009 577,484 500,000 77,484 103 ROSENTHAL COLLINS GROUP LLC N CME 04/30/2009 64,787,023 33,163,639 31,623,384 104 ROSENTHAL GLOBAL SECURITIES LLC Y NFA 04/30/2009 33,399,078 1,052,994 32,346,084 105 SANFORD C BERNSTEIN & CO LLC Y NFA 04/30/2009 154,538,820 8,850,977 145,687,843 106 SANTANDER INVESTMENT SECURITIES INC Y NFA 04/30/2009 64,581,714 500,000 64,081,714 107 SHAY GRAIN CLEARING COMPANY N KCBT 04/30/2009 2,573,197 500,000 2,073,197 

108 SMW TRADING COMPANY INC N CME 04/30/2009 27,917,072 500,000 27,417,072 109 STEPHENS INC Y NFA 04/24/2009 69,682,724 9,376,316 60,306,408 110 STERLING COMMODITIES CORP N NYME 04/30/2009 8,765,125 793,168 7,971,957 

111 TCA FUTURES LLC N NFA 04/30/2009 831,412 500,000 331,412 112 TD AMERITRADE INC Y NFA 04/30/2009 139,290,105 500,000 138,790,105 113 TENCO INC N CBOT 04/30/2009 44,437,588 7,714,645 36,722,943 

114 TERRA NOVA FINANCIAL LLC Y NFA 04/30/2009 12,259,315 1,500,000 10,759,315 

115 TIMBER HILL LLC Y CME 04/30/2009 1,096,508,373 15,376,787 1,081,131,586 

116 TOWER RESEARCH CAPITAL EUROPE LLC N NFA 04/30/2009 3,438,954 500,000 2,938,954 117 TRADELINK LLC Y CBOT 04/30/2009 31,828,425 500,000 31,328,425 118 TRADESTATION SECURITIES INC Y NFA 04/30/2009 94,846,378 1,189,141 93,657,237 

119 TRADITION SECURITIES AND FUTURES INC N NFA 04/30/2009 819,019 500,000 319,019 

120 TRANSMARKET GROUP LLC Y CBOT 04/30/2009 10,115,447 500,000 9,615,447 121 TRILAND USA INC N NYME 04/30/2009 43,437,939 11,090,006 32,347,933 

122 UBS FINANCIAL SERVICES INC Y NFA 04/30/2009 1,297,944,055 86,445,978 1,211,498,077 123 UBS SECURITIES LLC Y CBOT 04/30/2009 15,492,661,831 975,039,314 14,517,622,517 124 VELOCITY FUTURES LLC N NFA 04/30/2009 1,063,333 500,000 563,333 125 VISION FINANCIAL MARKETS LLC Y CME 04/30/2009 20,737,754 5,372,361 15,365,393 
SELECTED FCM FINANCIAL DATA AS OF 

April 30, 2009

FROM REPORTS FILED BY 

May 31, 2009

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

Futures Commission Merchant Date Net Capital Requirement Net Capital 

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

126 WACHOVIA CAPITAL MARKETS LLC Y CME 04/30/2009 2,004,172,108 1,000,000 2,003,172,108 

127 WACHOVIA SECURITIES FINANCIAL NETWORK LLC Y NFA 04/30/2009 24,866,033 2,321,148 22,544,885 128 WACHOVIA SECURITIES LLC Y NFA 04/30/2009 589,210,460 4,681,318 584,529,142 

129 WHITE COMMERCIAL CORPORATION N NFA 04/30/2009 2,202,202 500,000 1,702,202 130 WSD FINANCIAL USA INC N NFA 04/30/2009 1,265,288 500,000 765,288 131 YORK BUSINESS ASSOCIATES LLC N NFA 04/30/2009 1,267,009 500,000 767,009 

Total 
SELECTED FCM FINANCIAL DATA AS OF 

April 30, 2009

FROM REPORTS FILED BY 

May 31, 2009

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

Futures Commission Merchant Date Net Capital Requirement Net Capital 

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

March Web Page Update 132Additions 0NoneDeletions 1Cliff Larson Company, TheName ChangeFrom RBS Greenwich Capital Markets Inc. to RBS Securities Inc.April Web Page Update 131*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 

April 30, 2009

FROM REPORTS FILED BY 

May 31, 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 vthe 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.