SELECTED FCM FINANCIAL DATA AS OF 

August 31, 2011

FROM REPORTS FILED BY 

October 2, 2011

1 of 5

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 08/31/2011 224,042,543 125,289,029 98,753,514 1,987,735,015 296,518,282 0

2 ADM INVESTOR SERVICES INC FCM CBOT 08/31/2011 263,524,720 142,746,603 120,778,117 2,680,225,686 109,796,344 0

3 ADVANCED MARKETS LLC FCMRFD NFA 08/31/2011 20,444,262 20,000,000 444,262 0 0 1,527,782

4 ADVANTAGE FUTURES LLC FCM CME 08/31/2011 18,983,125 9,588,140 9,394,985 437,139,264 38,166,284 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 FCMRFD NFA 08/31/2011 25,503,068 20,041,466 5,461,602 64,771 0 10,829,320

7 AMERIPRISE FINANCIAL SERVICES INC FCM BD NFA 08/31/2011 172,489,373 1,000,000 171,489,373 0 0 0

8 AMP GLOBAL CLEARING LLC FCM NFA 08/31/2011 1,566,004 1,000,000 566,004 31,370,453 132,978 0

9 BARCLAYS CAPITAL INC FCM BD NYME 08/31/2011 5,285,030,252 928,636,954 4,356,393,298 6,530,637,467 2,804,666,657 0

10 BGC FINANCIAL LP FCM BD NFA 08/31/2011 61,377,251 1,000,000 60,377,251 0 0 0

11 BNP PARIBAS COMMODITY FUTURES INC FCM NYME 08/31/2011 352,455,839 231,230,756 121,225,083 1,306,765,337 547,480,160 0

12 BNP PARIBAS PRIME BROKERAGE INC FCM BD NFA 08/31/2011 1,878,339,439 379,429,856 1,498,909,583 0 0 0

13 BNP PARIBAS SECURITIES CORP FCM BD CBOT 08/31/2011 2,002,795,270 84,144,465 1,918,650,805 460,301,535 0 0

14 BNY MELLON CLEARING LLC FCM CME 08/31/2011 300,707,001 40,045,329 260,661,672 500,259,042 0 0

15 CANTOR FITZGERALD & CO FCM BD CBOT 08/31/2011 315,880,161 8,208,216 307,671,945 2,103,080 0 0

16 CAPITAL MARKET SERVICES LLC FCM NFA 08/31/2011 2,003,138 1,000,000 1,003,138 0 0 0

17 CIBC WORLD MARKETS CORP FCM BD CME 08/31/2011 412,138,325 1,500,000 410,638,325 0 0 0

18 CITADEL SECURITIES LLC FCM BD CME 08/31/2011 481,222,816 1,000,000 480,222,816 0 0 0

19 CITIGROUP GLOBAL MARKETS INC FCM BD CBOT 08/31/2011 7,524,807,904 765,571,113 6,759,236,791 10,968,517,016 1,963,241,919 0

20 COMMONWEALTH FOREIGN EXCHANGE INC FCM NFA 08/31/2011 2,183,043 1,000,000 1,183,043 0 0 0

21 COMPASS PROFESSIONAL SERVICES LLC FCM BD NFA 08/31/2011 3,977,205 1,000,000 2,977,205 0 0 0

22 COUNTRY HEDGING INC FCM NFA 08/31/2011 20,765,251 17,014,424 3,750,827 217,627,303 1,186,882 0

23 CREDIT SUISSE SECURITIES (USA) LLC FCM BD CBOT 08/31/2011 9,315,494,983 1,036,628,495 8,278,866,488 6,243,706,980 2,041,688,676 0

24 CROSSLAND LLC FCM CBOT 08/31/2011 11,640,364 2,343,473 9,296,891 60,566,414 10,226,783 0

25 CUNNINGHAM COMMODITIES LLC FCM CBOT 08/31/2011 3,380,443 1,189,922 2,190,521 55,923,202 273,710 0

26 CX CAPITAL MARKETS LLC FCM NFA 08/31/2011 3,564,275 1,000,000 2,564,275 20,139,552 0 0

27 DAIWA CAPITAL MARKETS AMERICA INC FCM BD CME 08/31/2011 314,955,126 1,984,210 312,970,916 7,328,413 0 0

28 DEUTSCHE BANK SECURITIES INC FCM BD CBOT 08/31/2011 6,632,401,414 658,952,826 5,973,448,588 16,139,481,230 1,637,822,978 0

29 DORMAN TRADING LLC FCM CME 08/31/2011 9,615,781 1,123,216 8,492,565 112,839,476 1,550,369 0

30 EAGLE MARKET MAKERS INC FCM CBOT 08/31/2011 6,262,988 1,000,000 5,262,988 700,307 0 0

31 EASY FOREX US LTD FCM NFA 08/31/2011 1,769,266 1,000,000 769,266 0 0 0

32 ENSKILDA FUTURES LTD FCM CME 08/31/2011 29,578,677 22,897,974 6,680,703 350,633,728 0 0

33 FCSTONE LLC FCM CME 08/31/2011 108,894,653 66,835,492 42,059,161 1,352,422,500 23,103,797 3,703,491

34 FOREX CAPITAL MARKETS LLC FCMRFD NFA 08/31/2011 79,608,011 26,763,209 52,844,802 0 0 145,264,186

35 FOREX CLUB LLC FCMRFD NFA 08/31/2011 22,988,102 22,000,000 988,102 0 0 3,097,749

36 FRIEDBERG MERCANTILE GROUP INC FCM NFA 08/31/2011 3,409,166 1,000,000 2,409,166 13,834,102 1,202,073 0

37 FRONTIER FUTURES INC FCM NFA 08/31/2011 1,889,785 1,007,683 882,102 32,036,610 0 0

38 FUTURES TECH LLC FCM NFA 08/31/2011 1,591,719 1,000,000 591,719 0 0 0

39 FX SOLUTIONS LLC FCMRFD NFA 08/31/2011 37,704,280 20,366,275 17,338,005 0 0 17,325,490

40 FXDIRECTDEALER LLC FCMRFD NFA 08/31/2011 34,170,782 21,187,849 12,982,933 0 0 33,756,982

41 GAIN CAPITAL GROUP LLC FCMRFD NFA 08/31/2011 53,909,111 24,390,994 29,518,117 0 0 97,819,890

42 GLOBAL FUTURES & FOREX LTD FCMRFD NFA 08/31/2011 79,587,191 24,087,728 55,499,463 301,071 227,199 91,754,561

Futures Commission Merchant / Retail Foreign Exchange 

Dealer
SELECTED FCM FINANCIAL DATA AS OF 

August 31, 2011

FROM REPORTS FILED BY 

October 2, 2011

2 of 5

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

43 GOLDMAN SACHS & CO FCM BD CBOT 08/31/2011 11,521,415,951 2,130,582,972 9,390,832,979 23,166,714,363 9,361,867,066 0

44 GOLDMAN SACHS EXECUTION & CLEARING LP FCM BD CME 08/31/2011 1,703,161,024 179,346,333 1,523,814,691 1,247,352,652 41,007,827 0

45 GUGGENHEIM SECURITIES LLC FCM BD NFA 08/31/2011 49,206,126 2,672,277 46,533,849 0 0 0

46 HSBC SECURITIES USA INC FCM BD CME 08/31/2011 1,026,259,699 121,010,280 905,249,419 1,248,362,969 121,381,326 0

47 ICAP CORPORATES LLC FCM BD NFA 08/31/2011 48,362,874 1,000,000 47,362,874 0 0 0

48 ICAP FUTURES LLC FCM NFA 08/31/2011 7,434,046 1,000,000 6,434,046 0 0 0

49 IKON GLOBAL MARKETS INC FCM NFA 08/31/2011 17,183,731 1,000,000 16,183,731 10,943,321 108,434 0

50 INSTINET LLC FCM BD NFA 08/31/2011 118,806,165 1,296,637 117,509,528 0 0 0

51 INSTITUTIONAL LIQUIDITY LLC FCMRFD NFA 08/31/2011 20,806,478 20,000,000 806,478 0 0 5,207,838

52 INTEGRATED BROKERAGE SERVICES LLC FCM NFA 08/31/2011 1,631,911 1,000,000 631,911 0 0 0

53 INTERACTIVE BROKERS LLC FCM BD NFA 08/31/2011 1,330,144,274 176,466,708 1,153,677,566 789,299,515 241,706,430 0

54 INTERBANK FX LLC FCMRFD NFA 08/31/2011 24,888,314 21,081,188 3,807,126 0 0 31,623,759

55 IRONBEAM INC FCM NFA 08/31/2011 3,036,135 1,000,000 2,036,135 46,993,259 210,077 0

56 ITG DERIVATIVES LLC FCM BD NFA 08/31/2011 2,461,655 1,000,000 1,461,655 0 0 0

57 JEFFERIES & COMPANY INC FCM BD NFA 08/31/2011 762,729,404 56,802,445 705,926,959 0 0 0

58 JEFFERIES BACHE LLC FCM CBOT 08/31/2011 248,824,000 207,488,560 41,335,440 3,257,918,000 283,546,000 0

59 JP MORGAN CLEARING CORP FCM BD CME 08/31/2011 7,111,917,575 1,983,122,453 5,128,795,122 571,486,249 519,879,152 0

60 JP MORGAN SECURITIES LLC FCM BD CEI 08/31/2011 11,521,546,158 1,659,851,070 9,861,695,088 18,400,680,463 2,485,229,167 0

61 LEK SECURITIES CORPORATION FCM BD NFA 08/31/2011 8,857,117 1,704,596 7,152,521 2,752,257 0 0

62 LIMESTONE TRADING LLC FCM NFA 08/31/2011 2,190,022 1,000,000 1,190,022 0 0 0

63 LINN GROUP THE FCM NFA 08/31/2011 2,264,410 1,000,000 1,264,410 40,461,911 46,853 0

64 LPL FINANCIAL LLC FCM BD NFA 08/31/2011 145,179,449 6,266,145 138,913,304 0 0 0

65 MACQUARIE FUTURES USA INC FCM CBOT 08/31/2011 132,372,973 68,715,359 63,657,614 1,110,283,222 62,446,639 0

66 MAREX NORTH AMERICA LLC FCM CME 08/31/2011 8,115,570 4,940,877 3,174,693 72,080,339 2,035,443 0

67 MAREX USA LIMITED FCM NFA 08/31/2011 2,683,547 1,000,000 1,683,547 0 0 0

68 MB TRADING FUTURES INC FCMRFD NFA 08/31/2011 26,366,656 21,141,410 5,225,246 0 0 32,828,208

69 MBF CLEARING CORP FCM NYME 08/31/2011 8,187,728 1,000,000 7,187,728 70,373,770 5,730,802 0

70 MCVEAN TRADING & INVESTMENTS LLC FCM NFA 08/31/2011 14,107,093 2,732,001 11,375,092 864,365,828 0 0

71 MERRILL LYNCH PIERCE FENNER & SMITH FCM BD CBOT 08/31/2011 10,217,583,783 908,834,034 9,308,749,749 10,375,631,292 3,364,815,592 0

72 MERRILL LYNCH PROFESSIONAL CLEARING CORP FCM BD NFA 08/31/2011 2,415,174,047 190,956,424 2,224,217,623 1,577,810,652 58,344,081 0

73 MF GLOBAL INC FCM BD CME 08/31/2011 495,665,616 328,485,943 167,179,673 7,270,301,248 722,852,077 0

74 MID CO COMMODITIES INC FCM NFA 08/31/2011 12,336,128 6,757,816 5,578,312 61,476,168 0 0

75 MITSUBISHI UFJ SECURITIES USA INC FCM BD NFA 08/31/2011 108,908,005 1,461,579 107,446,426 0 0 0

76 MITSUI BUSSAN COMMODITIES USA INC FCM NFA 08/31/2011 2,981,295 1,000,000 1,981,295 0 0 0

77 MIZUHO SECURITIES USA INC FCM BD CME 08/31/2011 321,444,803 103,021,916 218,422,887 885,739,182 506,034,885 0

78 MORGAN KEEGAN & COMPANY INC FCM BD NFA 08/31/2011 453,036,240 8,399,364 444,636,876 0 0 0

79 MORGAN STANLEY & CO LLC FCM BD CME 08/31/2011 6,685,669,923 1,119,493,330 5,566,176,593 5,586,486,618 2,078,950,067 0

80 MORGAN STANLEY SMITH BARNEY LLC FCM BD NFA 08/31/2011 1,036,306,870 38,917,977 997,388,893 622,547,356 2,005,852,464 0

81 NATIXIS SECURITIES NORTH AMERICA INC FCM BD NFA 08/31/2011 214,261,018 1,000,000 213,261,018 0 0 0

82 NEUBERGER BERMAN LLC FCM BD NFA 08/31/2011 47,954,140 1,500,000 46,454,140 0 0 0

83 NEWEDGE USA LLC FCM BD NYME 08/31/2011 2,208,154,006 1,455,692,649 752,461,357 22,348,933,866 6,962,103,616 0

84 NOMURA SECURITIES INTERNATIONAL INC FCM BD CBOT 08/31/2011 2,122,533,472 23,011,104 2,099,522,368 79,859,195 213,060 0
SELECTED FCM FINANCIAL DATA AS OF 

August 31, 2011

FROM REPORTS FILED BY 

October 2, 2011

3 of 5

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 OANDA CORPORATION FCMRFD NFA 08/31/2011 157,069,503 27,573,894 129,495,609 0 0 161,477,887

86 OPEN E CRY LLC FCM NFA 08/31/2011 3,319,394 1,000,000 2,319,394 81,526,403 2,879,791 0

87 OPPENHEIMER & CO INC FCM BD NFA 08/31/2011 164,082,477 24,429,076 139,653,401 20,527,356 0 0

88 OPTIONSXPRESS INC FCM BD NFA 08/31/2011 79,565,119 13,822,249 65,742,870 96,584,128 2,934,199 0

89 PENSON FINANCIAL SERVICES INC FCM BD CBOT 08/31/2011 191,148,644 33,100,070 158,048,574 867,775,264 35,403,831 0

90 PENSON FUTURES FCM NFA 08/31/2011 2,152,683 1,000,000 1,152,683 774,464 0 0

91 PEREGRINE FINANCIAL GROUP INC FCM NFA 08/31/2011 35,922,896 21,199,593 14,723,303 410,835,847 27,129,986 33,991,858

92 PHILLIP FUTURES INC FCM CME 08/31/2011 9,787,785 1,103,086 8,684,699 48,723,777 0 0

93 PIONEER FUTURES INC FCM NFA 08/31/2011 3,181,608 1,000,000 2,181,608 0 0 0

94 RAND FINANCIAL SERVICES INC FCM CME 08/31/2011 74,673,034 17,183,293 57,489,741 207,273,400 28,240,900 0

95 RAYMOND JAMES & ASSOCIATES INC FCM BD NFA 08/31/2011 434,295,925 30,604,913 403,691,012 0 0 0

96 RBC CAPITAL MARKETS LLC FCM BD CME 08/31/2011 1,159,503,935 87,452,235 1,072,051,700 419,595,870 27,273,785 0

97 RBS SECURITIES INC FCM BD CBOT 08/31/2011 2,417,786,700 295,179,160 2,122,607,540 2,181,456,842 116,444,635 0

98 RJ OBRIEN ASSOCIATES LLC FCM CME 08/31/2011 165,942,254 109,830,025 56,112,229 2,777,662,134 82,413,509 3,257,564

99 ROSENTHAL COLLINS GROUP LLC FCM CME 08/31/2011 71,118,764 46,060,126 25,058,638 1,477,750,577 20,420,330 0

100 ROSENTHAL GLOBAL SECURITIES LLC FCM BD NFA 08/31/2011 42,480,711 1,000,000 41,480,711 0 0 0

101 SANFORD C BERNSTEIN & CO LLC FCM BD NFA 08/31/2011 178,661,142 13,641,849 165,019,293 0 0 0

102 SANTANDER INVESTMENT SECURITIES INC FCM BD NYME 08/31/2011 224,487,717 14,169,209 210,318,508 432,041,515 0 0

103 STATE STREET GLOBAL MARKETS LLC FCM BD CME 08/31/2011 425,238,397 7,685,741 417,552,656 61,957,187 3,129,268 0

104 STEPHENS FCM BD NFA 08/31/2011 76,008,021 13,615,787 62,392,234 0 0 0

105 STERLING COMMODITIES CORP FCM NFA 08/31/2011 4,143,072 1,000,000 3,143,072 0 0 0

106 STRAITS FINANCIAL LLC FCM CME 08/31/2011 7,558,514 1,000,000 6,558,514 14,497,560 74,307 0

107 TCA FUTURES LLC FCM NFA 08/31/2011 1,598,611 1,000,000 598,611 0 0 0

108 TD AMERITRADE INC FCM BD NFA 08/31/2011 367,642,606 1,000,000 366,642,606 0 0 0

109 TENCO INC FCM CBOT 08/31/2011 61,508,561 8,359,439 53,149,122 267,767,842 0 0

110 TIMBER HILL LLC FCM BD CME 08/31/2011 876,232,874 54,457,279 821,775,595 633,344,713 0 0

111 TOWER RESEARCH CAPITAL EUROPE LLC FCM NFA 08/31/2011 1,547,117 1,000,000 547,117 0 0 0

112 TRADELINK LLC FCM BD CBOT 08/31/2011 35,250,005 1,000,000 34,250,005 0 0 0

113 TRADESTATION FOREX INC RFED NFA 08/31/2011 24,638,534 21,366,830 3,271,704 0 0 37,336,604

114 TRADESTATION SECURITIES INC FCM BD NFA 08/31/2011 58,390,273 2,556,652 55,833,621 421,542,431 9,523,579 0

115 TRADITION SECURITIES AND FUTURES INC FCM NFA 08/31/2011 1,542,288 1,000,000 542,288 0 0 0

116 UBS FINANCIAL SERVICES INC FCM BD NFA 08/31/2011 1,426,293,972 127,441,001 1,298,852,971 175,966,344 424,682 0

117 UBS SECURITIES LLC FCM BD CBOT 08/31/2011 10,947,812,161 1,101,711,750 9,846,100,411 9,845,853,959 5,383,509,589 0

118 VELOCITY FUTURES LLC FCM NFA 08/31/2011 1,901,168 1,000,000 901,168 80,465,444 16,813,785 0

119 VISION FINANCIAL MARKETS LLC FCM BD CME 08/31/2011 27,969,471 8,964,130 19,005,341 360,781,068 9,222,600 0

120 WALL STREET DERIVATIVES INC FCM NFA 08/31/2011 1,477,897 1,000,000 477,897 0 0 0

121 WELLS FARGO ADVISORS FINANCIAL NETWORK LLC FCM BD NFA 08/31/2011 53,738,006 4,178,999 49,559,007 0 0 0

122 WELLS FARGO ADVISORS LLC FCM BD NFA 08/31/2011 848,868,046 1,500,000 847,368,046 0 0 0

123 WELLS FARGO SECURITIES LLC FCM BD CME 08/31/2011 1,909,474,162 13,659,425 1,895,814,737 0 0 0

124 WHITE COMMERCIAL CORPORATION FCM NFA 08/31/2011 2,668,191 1,000,000 1,668,191 0 0 0

125 XPRESSTRADE LLC RFED NFA 08/31/2011 22,865,434 20,000,000 2,865,434 0 0 578,289

126 YORK BUSINESS ASSOCIATES LLC FCM NFA 08/31/2011 3,400,473 1,000,000 2,400,473 79,337,509 1,798,598 0
SELECTED FCM FINANCIAL DATA AS OF 

August 31, 2011

FROM REPORTS FILED BY 

October 2, 2011

4 of 5

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

Totals 170,185,554,883 44,069,283,523 711,381,458

July Web Page Update 125

Additions 2

BNP PARIBAS PRIME BROKERAGE INC

PENSON FINANCIAL SERVICES INC

Deletions 1

TRILAND USA INC

Name Change

None

August Web Page Update 126

•  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

(c): A firm's net capital requirement is the greater of: 

 FCMRFD: The FCM is also registered with the Commodity Futures Trading Commission as a Retail Foreign Exchange Dealer.

(b): DSRO: Designated Self-Regulatory Organization. 

•  FCM minimum dollar amount ($1,000,000); or

*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;

•  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.

(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. 
SELECTED FCM FINANCIAL DATA AS OF 

August 31, 2011

FROM REPORTS FILED BY 

October 2, 2011

5 of 5

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

DCIO@cftc.gov

Note: Any comments regarding information contained in this table may be brought to the attention of the CFTC's Division of Swap Dealer and Intermediary Oversight via e-mail: 

(g): This represents the total amount of funds at an FCM, RFED, or FCMRFD 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.