SELECTED FCM FINANCIAL DATA AS OF 

June 30, 2011

FROM REPORTS FILED BY 

August 01, 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 06/30/2011 221,546,182 112,864,555 108,681,627 2,006,194,961 307,558,844 0

2 ADM INVESTOR SERVICES INC FCM CBOT 06/30/2011 259,660,369 137,408,861 122,251,508 2,917,691,104 74,349,861 0

3 ADVANCED MARKETS LLC RFED NFA 06/30/2011 20,149,848 20,000,000 149,848 0 0 2,601,887

4 ADVANTAGE FUTURES LLC FCM CME 06/30/2011 17,135,344 10,683,498 6,451,846 427,577,322 37,832,975 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 RFED NFA 06/30/2011 25,489,155 20,025,084 5,464,071 31,276 0 10,501,677

7 AMERIPRISE FINANCIAL SERVICES INC FCM BD NFA 06/30/2011 157,605,302 1,000,000 156,605,302 0 0 0

8 AMP GLOBAL CLEARING LLC FCM NFA 06/30/2011 1,461,689 1,000,000 461,689 28,398,073 320,748 0

9 BARCLAYS CAPITAL INC FCM BD NYME 06/30/2011 5,483,438,881 736,699,222 4,746,739,659 5,298,882,437 2,481,563,792 0

10 BGC FINANCIAL LP FCM BD NFA 06/30/2011 74,064,571 1,353,585 72,710,986 0 0 0

11 BNP PARIBAS COMMODITY FUTURES INC FCM NYME 06/30/2011 368,441,434 232,206,597 136,234,837 1,445,360,888 566,139,619 0

12 BNP PARIBAS SECURITIES CORP FCM BD CBOT 06/30/2011 1,696,706,940 62,727,045 1,633,979,895 405,548,799 0 0

13 BNY MELLON CLEARING LLC FCM CME 06/30/2011 126,823,031 3,914,005 122,909,026 36,368,484 0 0

14 CANTOR FITZGERALD & CO FCM BD CBOT 06/30/2011 280,792,074 8,508,655 272,283,419 1,115,721 0 0

15 CAPITAL MARKET SERVICES LLC RFED NFA 06/30/2011 3,088,686 1,000,000 2,088,686 0 0 0

16 CIBC WORLD MARKETS CORP FCM BD CME 06/30/2011 432,676,593 1,500,000 431,176,593 0 0 0

17 CITADEL SECURITIES LLC FCM BD CME 06/30/2011 403,115,827 1,000,000 402,115,827 0 0 0

18 CITIGROUP GLOBAL MARKETS INC FCM BD CBOT 06/30/2011 6,998,373,127 688,003,435 6,310,369,692 10,314,769,599 1,557,410,469 0

19 COMMONWEALTH FOREIGN EXCHANGE INC FCM NFA 06/30/2011 1,905,103 1,000,000 905,103 0 0 0

20 COMPASS PROFESSIONAL SERVICES LLC FCM BD NFA 06/30/2011 3,956,982 1,000,000 2,956,982 0 0 0

21 COUNTRY HEDGING INC FCM NFA 06/30/2011 25,889,032 18,387,064 7,501,968 319,371,041 392,986 0

22 CREDIT SUISSE SECURITIES (USA) LLC FCM BD CBOT 06/30/2011 9,021,589,751 1,039,958,131 7,981,631,620 4,836,626,966 1,371,785,809 0

23 CROSSLAND LLC FCM CBOT 06/30/2011 11,689,308 3,752,939 7,936,369 70,592,757 35,462,033 0

24 CUNNINGHAM COMMODITIES LLC FCM CBOT 06/30/2011 3,258,434 1,000,000 2,258,434 53,249,549 161,413 0

25 CX CAPITAL MARKETS LLC FCM NFA 06/30/2011 2,774,656 1,000,000 1,774,656 26,631,224 0 0

26 DAIWA CAPITAL MARKETS AMERICA INC FCM BD CME 06/30/2011 301,951,087 1,000,000 300,951,087 4,350,118 40,979 0

27 DEUTSCHE BANK SECURITIES INC FCM BD CBOT 06/30/2011 7,137,338,665 573,709,415 6,563,629,250 15,360,607,847 1,374,998,037 0

28 DORMAN TRADING LLC FCM CME 06/30/2011 10,183,106 1,000,000 9,183,106 97,703,713 1,861,904 0

29 EAGLE MARKET MAKERS INC FCM CBOT 06/30/2011 7,259,875 1,000,000 6,259,875 1,474,604 0 0

30 EASY FOREX US LTD FCM NFA 06/30/2011 1,815,181 1,000,000 815,181 0 0 0

31 ENSKILDA FUTURES LTD FCM CME 06/30/2011 29,358,000 14,969,612 14,388,388 253,610,054 0 0

32 FCSTONE LLC FCM CME 06/30/2011 112,361,516 61,752,873 50,608,643 1,441,567,018 16,961,546 4,710,830

33 FOREX CAPITAL MARKETS LLC RFED NFA 06/30/2011 66,427,589 26,382,392 40,045,197 0 0 137,647,834

34 FOREX CLUB LLC RFED NFA 06/30/2011 20,238,568 20,000,000 238,568 0 0 3,120,223

35 FRIEDBERG MERCANTILE GROUP INC FCM NFA 06/30/2011 3,396,290 1,000,000 2,396,290 9,511,216 444,868 0

36 FRONTIER FUTURES INC FCM NFA 06/30/2011 1,887,033 1,008,872 878,161 38,992,160 0 0

37 FUTURES TECH LLC FCM NFA 06/30/2011 1,567,792 1,000,000 567,792 0 0 0

38 FX SOLUTIONS LLC RFED NFA 06/30/2011 38,000,464 20,383,295 17,617,169 0 0 17,665,895

39 FXDIRECTDEALER LLC RFED NFA 06/30/2011 25,085,531 21,332,970 3,752,561 0 0 36,659,417

40 GAIN CAPITAL GROUP LLC RFED NFA 06/30/2011 49,774,460 24,908,950 24,865,510 0 0 108,178,991

41 GLOBAL FUTURES & FOREX LTD RFED NFA 06/30/2011 75,930,726 24,190,601 51,740,125 259,265 220,801 93,812,011

42 GOLDMAN SACHS & CO FCM BD CBOT 06/30/2011 11,510,586,979 1,901,436,566 9,609,150,413 19,645,003,755 8,021,313,641 0

43 GOLDMAN SACHS EXECUTION & CLEARING LP FCM BD CME 06/30/2011 1,680,040,021 126,898,751 1,553,141,270 988,909,287 21,631,579 0

Futures Commission Merchant / Retail Foreign Exchange 

Dealer
SELECTED FCM FINANCIAL DATA AS OF 

June 30, 2011

FROM REPORTS FILED BY 

August 01, 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

44 HSBC SECURITIES USA INC FCM BD CME 06/30/2011 1,097,609,013 97,346,869 1,000,262,144 1,171,750,388 86,427,778 0

45 ICAP CORPORATES LLC FCM BD NFA 06/30/2011 48,667,841 1,000,000 47,667,841 0 0 0

46 ICAP FUTURES LLC FCM NFA 06/30/2011 6,399,763 1,000,000 5,399,763 0 0 0

47 IKON GLOBAL MARKETS INC FCM NFA 06/30/2011 14,546,745 1,000,000 13,546,745 17,059,029 108,434 0

48 INSTINET LLC FCM BD NFA 06/30/2011 122,490,973 1,993,017 120,497,956 0 0 0

49 INSTITUTIONAL LIQUIDITY LLC FCM NFA 06/30/2011 21,042,633 20,000,000 1,042,633 0 0 44,941

50 INTEGRATED BROKERAGE SERVICES LLC FCM NFA 06/30/2011 1,600,684 1,000,000 600,684 0 0 0

51 INTERACTIVE BROKERS LLC FCM BD NFA 06/30/2011 1,256,666,519 204,566,341 1,052,100,178 768,436,035 273,667,598 0

52 INTERBANK FX LLC RFED NFA 06/30/2011 25,226,270 20,987,111 4,239,159 0 0 29,742,213

53 IRONBEAM INC FCM NFA 06/30/2011 3,005,881 1,000,000 2,005,881 45,178,944 236,888 0

54 ITG DERIVATIVES LLC FCM BD NFA 06/30/2011 2,511,600 1,000,000 1,511,600 0 0 0

55 JEFFERIES & COMPANY INC FCM BD NFA 06/30/2011 751,470,264 74,550,968 676,919,296 0 0 0

56 JP MORGAN CLEARING CORP FCM BD CME 06/30/2011 6,974,004,299 1,936,023,399 5,037,980,900 430,394,214 415,467,820 0

57 JP MORGAN SECURITIES LLC FCM BD CEI 06/30/2011 11,270,002,435 1,466,879,370 9,803,123,065 13,821,203,399 2,234,830,772 0

58 LEK SECURITIES CORPORATION FCM BD NFA 06/30/2011 8,983,644 1,500,000 7,483,644 1,304,603 0 0

59 LIMESTONE TRADING LLC FCM NFA 06/30/2011 6,626,033 1,000,000 5,626,033 0 0 0

60 LINN GROUP THE FCM NFA 06/30/2011 2,453,189 1,000,000 1,453,189 38,970,538 106,961 0

61 LPL FINANCIAL LLC FCM BD NFA 06/30/2011 92,999,634 6,412,410 86,587,224 0 0 0

62 MACQUARIE FUTURES USA INC FCM CBOT 06/30/2011 129,677,283 61,893,341 67,783,942 848,326,619 54,129,863 0

63 MAREX NORTH AMERICA LLC FCM CME 06/30/2011 9,697,019 4,298,376 5,398,643 73,821,829 1,781,851 0

64 MAREX USA LIMITED FCM NFA 06/30/2011 2,831,024 1,000,000 1,831,024 0 0 0

65 MB TRADING FUTURES INC RFED NFA 06/30/2011 26,445,119 21,180,544 5,264,575 0 0 33,610,870

66 MBF CLEARING CORP FCM NYME 06/30/2011 8,795,516 1,000,000 7,795,516 70,609,167 4,577,434 0

67 MCVEAN TRADING & INVESTMENTS LLC FCM NFA 06/30/2011 11,190,799 1,503,559 9,687,240 838,510,617 0 0

68 MERRILL LYNCH PIERCE FENNER & SMITH FCM BD CBOT 06/30/2011 10,123,449,134 807,099,494 9,316,349,640 9,953,582,274 2,676,615,509 0

69 MERRILL LYNCH PROFESSIONAL CLEARING CORP FCM BD NFA 06/30/2011 1,923,515,725 252,371,579 1,671,144,146 2,030,066,931 54,658,459 0

70 MF GLOBAL INC FCM BD CME 06/30/2011 570,931,049 399,976,291 170,954,758 8,095,636,170 827,843,520 0

71 MID CO COMMODITIES INC FCM NFA 06/30/2011 13,267,381 6,643,251 6,624,130 92,868,191 0 0

72 MITSUBISHI UFJ SECURITIES USA INC FCM BD NFA 06/30/2011 94,327,697 1,293,317 93,034,380 0 0 0

73 MITSUI BUSSAN COMMODITIES USA INC FCM NFA 06/30/2011 3,060,035 1,000,000 2,060,035 0 0 0

74 MIZUHO SECURITIES USA INC FCM BD CME 06/30/2011 363,809,463 79,427,018 284,382,445 688,396,543 520,153,870 0

75 MORGAN KEEGAN & COMPANY INC FCM BD NFA 06/30/2011 454,585,848 8,816,913 445,768,935 0 0 0

76 MORGAN STANLEY & CO LLC FCM BD CME 06/30/2011 6,473,994,874 1,127,083,638 5,346,911,236 4,546,440,441 1,902,692,858 0

77 MORGAN STANLEY SMITH BARNEY LLC FCM BD NFA 06/30/2011 1,213,151,246 38,243,580 1,174,907,666 562,428,141 1,936,648,448 0

78 NATIXIS SECURITIES NORTH AMERICA INC FCM BD NFA 06/30/2011 203,841,296 1,000,000 202,841,296 0 0 0

79 NEUBERGER BERMAN LLC FCM BD NFA 06/30/2011 75,814,912 1,500,000 74,314,912 0 0 0

80 NEWEDGE USA LLC FCM BD NYME 06/30/2011 2,189,710,575 1,422,444,044 767,266,531 21,605,917,392 6,483,053,785 0

81 NOMURA SECURITIES INTERNATIONAL INC FCM BD CBOT 06/30/2011 1,801,527,851 22,903,007 1,778,624,844 82,173,959 860,953 0

82 OANDA CORPORATION RFED NFA 06/30/2011 164,017,433 28,014,677 136,002,756 0 0 170,293,549

83 OPEN E CRY LLC FCM NFA 06/30/2011 3,202,566 1,103,146 2,099,420 85,536,664 1,300,797 0

84 OPPENHEIMER & CO INC FCM BD NFA 06/30/2011 162,876,554 24,637,640 138,238,914 22,555,835 0 0
SELECTED FCM FINANCIAL DATA AS OF 

June 30, 2011

FROM REPORTS FILED BY 

August 01, 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 OPTIONSXPRESS INC FCM BD NFA 06/30/2011 84,325,013 20,000,000 64,325,013 127,058,782 2,540,097 0

86 PENSON FUTURES FCM CBOT 06/30/2011 31,731,160 24,556,112 7,175,048 767,742,651 50,681,184 0

87 PEREGRINE FINANCIAL GROUP INC FCM NFA 06/30/2011 36,781,427 21,376,885 15,404,542 447,596,712 29,775,578 37,537,701

88 PHILLIP FUTURES INC FCM CME 06/30/2011 10,818,135 1,000,000 9,818,135 952,784 0 0

89 PIONEER FUTURES INC FCM NFA 06/30/2011 2,949,623 1,000,000 1,949,623 0 0 0

90 PRUDENTIAL BACHE COMMODITIES LLC FCM CBOT 06/30/2011 237,216,000 176,739,200 60,476,800 2,757,787,000 284,396,000 5,439,000

91 RAND FINANCIAL SERVICES INC FCM CME 06/30/2011 72,830,578 15,744,793 57,085,785 140,363,500 17,847,500 0

92 RAYMOND JAMES & ASSOCIATES INC FCM BD NFA 06/30/2011 381,463,658 31,896,143 349,567,515 0 0 0

93 RBC CAPITAL MARKETS LLC FCM BD CME 06/30/2011 1,228,294,877 92,952,273 1,135,342,604 360,483,810 25,856,864 0

94 RBS SECURITIES INC FCM BD CBOT 06/30/2011 2,324,980,000 232,311,000 2,092,669,000 1,598,803,000 81,633,000 0

95 RJ OBRIEN ASSOCIATES LLC FCM CME 06/30/2011 166,093,313 110,715,906 55,377,407 2,787,258,500 69,210,397 3,448,031

96 ROSENTHAL COLLINS GROUP LLC FCM CME 06/30/2011 69,392,855 46,631,390 22,761,465 1,550,741,098 35,737,127 0

97 ROSENTHAL GLOBAL SECURITIES LLC FCM BD NFA 06/30/2011 43,738,237 1,000,000 42,738,237 0 0 0

98 SANFORD C BERNSTEIN & CO LLC FCM BD NFA 06/30/2011 174,585,757 14,612,345 159,973,412 0 0 0

99 SANTANDER INVESTMENT SECURITIES INC FCM BD NYME 06/30/2011 513,350,337 15,458,640 497,891,697 512,765,353 0 0

100 STATE STREET GLOBAL MARKETS LLC FCM BD CME 06/30/2011 414,658,536 6,138,540 408,519,996 33,162,628 14,869,541 0

101 STEPHENS FCM BD NFA 06/30/2011 76,802,472 13,310,896 63,491,576 0 0 0

102 STERLING COMMODITIES CORP FCM NYME 06/30/2011 8,339,635 1,000,000 7,339,635 31,618,048 214,477 0

103 STRAITS FINANCIAL LLC FCM CME 06/30/2011 8,704,041 1,000,000 7,704,041 9,005,212 0 0

104 TCA FUTURES LLC FCM NFA 06/30/2011 1,636,255 1,000,000 636,255 0 0 0

105 TD AMERITRADE INC FCM BD NFA 06/30/2011 292,746,768 1,000,000 291,746,768 0 0 0

106 TENCO INC FCM CBOT 06/30/2011 60,664,661 9,566,070 51,098,591 286,532,453 0 0

107 TIMBER HILL LLC FCM BD CME 06/30/2011 1,010,192,984 48,470,881 961,722,103 537,348,008 0 0

108 TOWER RESEARCH CAPITAL EUROPE LLC FCM NFA 06/30/2011 1,538,014 1,000,000 538,014 0 0 0

109 TRADELINK LLC FCM BD CBOT 06/30/2011 24,187,205 1,000,000 23,187,205 0 0 0

110 TRADESTATION FOREX INC. RFED NFA 06/30/2011 24,419,445 21,193,411 3,226,034 0 0 33,868,215

111 TRADESTATION SECURITIES INC FCM BD NFA 06/30/2011 56,363,962 2,743,271 53,620,691 429,700,488 7,369,645 0

112 TRADITION SECURITIES AND FUTURES INC FCM NFA 06/30/2011 1,542,077 1,000,000 542,077 0 0 0

113 TRILAND USA INC FCM NYME 06/30/2011 9,460,505 1,000,000 8,460,505 0 0 0

114 UBS FINANCIAL SERVICES INC FCM BD NFA 06/30/2011 1,362,149,896 115,075,802 1,247,074,094 174,241,882 543,004 0

115 UBS SECURITIES LLC FCM BD CBOT 06/30/2011 11,265,545,815 919,909,076 10,345,636,739 8,846,773,031 4,002,158,509 0

116 VELOCITY FUTURES LLC FCM NFA 06/30/2011 1,768,365 1,000,000 768,365 64,334,635 17,596,496 0

117 VISION FINANCIAL MARKETS LLC FCM BD CME 06/30/2011 24,955,173 11,134,711 13,820,462 421,492,725 7,397,033 0

118 WALL STREET DERIVATIVES INC FCM NFA 06/30/2011 1,508,938 1,000,000 508,938 0 0 0

119 WELLS FARGO ADVISORS FINANCIAL NETWORK LLC FCM BD NFA 06/30/2011 48,806,183 2,813,803 45,992,380 0 0 0

120 WELLS FARGO ADVISORS LLC FCM BD NFA 06/30/2011 771,745,322 1,500,000 770,245,322 0 0 0

121 WELLS FARGO SECURITIES LLC FCM BD CME 06/30/2011 1,587,635,352 10,324,150 1,577,311,202 0 0 0

122 WHITE COMMERCIAL CORPORATION FCM NFA 06/30/2011 2,520,673 1,000,000 1,520,673 0 0 0

123 YORK BUSINESS ASSOCIATES LLC FCM NFA 06/30/2011 2,465,175 1,000,000 1,465,175 74,230,727 2,037,909 0

Totals 153,881,560,188 37,995,479,863 728,883,285
SELECTED FCM FINANCIAL DATA AS OF 

June 30, 2011

FROM REPORTS FILED BY 

August 01, 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

May Web Page Update 125

Additions 0

None

Deletions 2

ELECTRONIC BROKERAGE SYSTEMS LLC

JP MORGAN FUTURES INC

Name Change

MORGAN STANLEY & CO INCORPORATED to 

MORGAN STANLEY & CO LLC

June Web Page Update 123

*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 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 or RFED 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

(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 obligation in excess of $10,000,000.

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