SELECTED FCM FINANCIAL DATA AS OF 

March 31, 2012

FROM REPORTS FILED BY 

May 01, 2012

Reg As DSRO A/O Adjusted Net Capital Excess Customers' Customers' Excess

Date Net Capital Requirement Net Capital Assets Seg Required Fund

in Seg 4d(a)(2) 

(a) (b) (c) (d) (e) (f) 

1 ABN AMRO CLEARING CHICAGO LLC FCM BD CBOT 3/31/2012 290,302,324 147,834,854 142,467,470 2,157,883,056 2,071,133,278 

2 ADM INVESTOR SERVICES INC FCM CBOT 3/31/2012 267,398,859 157,472,349 109,926,510 3,268,050,681 2,753,059,388 3 ADVANCED MARKETS LLC FCMRFD NFA 3/31/2012 20,447,107 20,000,000 447,107 0 0 4 ADVANTAGE FUTURES LLC FCM CME 3/31/2012 20,714,003 10,876,175 9,837,828 474,610,301 462,176,294 5 ALPARI (US) LLC FCMRFD NFA 3/31/2012 24,137,708 20,039,288 4,098,420 387,824 259,125 6 AMERIPRISE FINANCIAL SERVICES INC FCM BD NFA 3/31/2012 99,019,012 1,000,000 98,019,012 0 0 7 AMP GLOBAL CLEARING LLC FCM NFA 3/31/2012 2,259,773 1,500,000 759,773 35,454,027 34,220,448 8 BARCLAYS CAPITAL INC FCM BD NYME 3/30/2012 5,838,318,755 965,247,295 4,873,071,460 6,919,623,226 6,716,398,837 9 BGC FINANCIAL LP FCM BD NFA 3/30/2012 48,787,042 1,000,000 47,787,042 0 0 

10 BNP PARIBAS PRIME BROKERAGE INC FCM BD NYME 3/31/2012 2,052,554,146 310,199,630 1,742,354,516 1,592,833,224 1,460,010,261 11 BNP PARIBAS SECURITIES CORP FCM BD CBOT 3/31/2012 2,074,391,284 98,196,948 1,976,194,336 565,638,665 480,628,990 12 BNY MELLON CLEARING LLC FCM CME 3/31/2012 263,336,061 5,063,463 258,272,598 321,609,220 173,517,040 13 BOCI COMMODITIES & FUTURES USA LLC FCM NFA 3/31/2012 4,991,483 1,000,000 3,991,483 0 0 14 CANTOR FITZGERALD & CO FCM BD CBOT 3/30/2012 259,162,224 7,701,939 251,460,285 11,494,007 6,579,464 15 CAPITAL MARKET SERVICES LLC FCM NFA 3/31/2012 2,769,179 1,000,000 1,769,179 0 0 16 CIBC WORLD MARKETS CORP FCM BD CME 3/31/2012 523,637,722 1,500,000 522,137,722 0 0 17 CITADEL SECURITIES LLC FCM BD CME 3/30/2012 396,311,806 1,000,000 395,311,806 0 0 18 CITIGROUP GLOBAL MARKETS INC FCM BD CBOT 3/31/2012 6,768,065,262 754,013,776 6,014,051,486 9,343,539,767 8,928,672,418 19 COMMONWEALTH FOREIGN EXCHANGE INC FCM NFA 3/31/2012 1,808,290 1,000,000 808,290 0 0 20 COUNTRY HEDGING INC FCM NFA 3/30/2012 20,845,179 15,472,063 5,373,116 149,082,489 114,544,624 21 CREDIT SUISSE SECURITIES (USA) LLC FCM BD CBOT 3/31/2012 6,689,289,665 1,188,012,369 5,501,277,296 6,483,362,276 5,888,829,119 22 CROSSLAND LLC FCM CBOT 3/31/2012 9,226,378 5,090,486 4,135,892 89,158,557 84,121,875 23 CUNNINGHAM COMMODITIES LLC FCM CBOT 3/31/2012 3,090,057 1,563,772 1,526,285 63,050,009 61,797,077 24 CX CAPITAL MARKETS LLC FCM BD NFA 3/31/2012 3,393,814 1,000,000 2,393,814 28,514,502 26,662,044 25 DAIWA CAPITAL MARKETS AMERICA INC FCM BD CME 3/31/2012 324,975,629 1,000,000 323,975,629 12,260,129 7,649,961 26 DEUTSCHE BANK SECURITIES INC FCM BD CBOT 3/31/2012 8,770,256,469 595,849,268 8,174,407,201 15,403,136,288 14,938,898,708 27 DORMAN TRADING LLC FCM CME 3/31/2012 9,958,907 1,684,521 8,274,386 132,308,465 129,504,069 28 EAGLE MARKET MAKERS INC FCM CBOT 3/30/2012 6,971,407 1,000,000 5,971,407 1,176,549 303,929 29 EASY FOREX US LTD FCM NFA 3/31/2012 1,620,451 1,000,000 620,451 0 0 30 ENSKILDA FUTURES LTD FCM CME 3/30/2012 40,158,912 17,474,894 22,684,018 243,835,205 238,463,992 31 FCSTONE LLC FCM CME 3/31/2012 115,326,621 75,517,339 39,809,282 1,396,246,051 1,353,154,763 32 FOREX CAPITAL MARKETS LLC FCMRFD NFA 3/31/2012 55,176,630 27,244,183 27,932,447 0 0 33 FOREX CLUB LLC FCMRFD NFA 3/30/2012 22,247,374 22,000,000 247,374 0 0 34 FRIEDBERG MERCANTILE GROUP INC FCM NFA 3/31/2012 2,787,094 1,000,000 1,787,094 14,031,879 11,478,440 35 FRONTIER FUTURES INC FCM NFA 3/31/2012 1,906,068 1,000,000 906,068 29,433,681 28,760,766 36 FX SOLUTIONS LLC FCMRFD NFA 3/31/2012 30,750,773 20,414,688 10,336,085 0 0 37 FXDIRECTDEALER LLC FCMRFD NFA 3/31/2012 26,216,219 21,425,490 4,790,729 0 0 38 GAIN CAPITAL GROUP LLC FCMRFD NFA 3/31/2012 52,401,607 24,734,827 27,666,780 0 0 39 GH FINANCIALS LLC FCM CME 3/31/2012 8,057,833 1,000,000 7,057,833 720,581 638,273 40 GLOBAL FUTURES & FOREX LTD FCMRFD NFA 3/31/2012 73,334,915 23,763,010 49,571,905 453,780 113,819 41 GOLDMAN SACHS & CO FCM BD CBOT 3/30/2012 12,512,268,956 1,831,319,458 10,680,949,498 21,102,256,917 20,607,589,931 42 GOLDMAN SACHS EXECUTION & CLEARING LP FCM BD CME 3/31/2012 2,123,705,711 141,999,752 1,981,705,959 1,500,818,594 917,754,760 43 GUGGENHEIM SECURITIES LLC FCM BD NFA 3/30/2012 71,358,865 2,243,645 69,115,220 0 0 44 HSBC SECURITIES USA INC FCM BD CME 3/31/2012 1,099,797,829 90,205,919 1,009,591,910 907,711,672 828,573,454 45 ICAP CORPORATES LLC FCM BD NFA 3/31/2012 50,299,824 1,166,805 49,133,019 0 0 46 IKON GLOBAL MARKETS INC FCM NFA 3/31/2012 11,920,608 1,000,000 10,920,608 6,562,149 5,730,053 47 INSTINET LLC FCM BD NFA 3/31/2012 115,403,416 1,065,436 114,337,980 0 0 48 INSTITUTIONAL LIQUIDITY LLC FCMRFD NFA 3/31/2012 21,378,421 20,111,933 1,266,488 0 0 49 INTEGRATED BROKERAGE SERVICES LLC FCM NFA 3/31/2012 1,357,532 1,000,000 357,532 1,058 0 50 INTERACTIVE BROKERS LLC FCM BD NFA 3/30/2012 1,419,534,231 196,749,155 1,222,785,076 1,729,756,813 1,449,038,395 51 IRONBEAM INC FCM NFA 3/31/2012 2,908,629 1,000,000 1,908,629 44,152,839 42,628,263 52 ITG DERIVATIVES LLC FCM BD NFA 3/31/2012 3,786,043 1,000,000 2,786,043 0 0 53 JEFFERIES & COMPANY INC FCM BD NFA 3/31/2012 867,446,956 46,204,981 821,241,975 0 0 54 JEFFERIES BACHE LLC FCM CBOT 3/31/2012 235,239,000 147,903,520 87,335,480 2,328,745,000 2,233,321,000 55 JP MORGAN CLEARING CORP FCM BD NFA 3/31/2012 7,599,203,660 2,137,811,752 5,461,391,908 778,227,516 530,048,889 56 JP MORGAN SECURITIES LLC FCM BD CEI 3/31/2012 10,712,336,960 1,524,709,036 9,187,627,924 18,582,434,405 16,774,294,747 1,57 LEK SECURITIES CORPORATION FCM BD NFA 3/31/2012 11,652,373 1,500,000 10,152,373 5,667,515 4,273,707 58 LINN GROUP THE FCM NFA 3/31/2012 2,970,744 1,724,094 1,246,650 69,856,192 66,451,401 59 LIQUID FUTURES LLC FCM NFA 3/31/2012 1,197,754 1,018,000 179,754 0 0 60 LPL FINANCIAL LLC FCM BD NFA 3/31/2012 108,391,748 6,068,892 102,322,856 0 0 61 MACQUARIE FUTURES USA LLC FCM CBOT 3/31/2012 134,929,262 58,019,231 76,910,031 738,536,522 647,136,447 62 MAREX NORTH AMERICA LLC FCM CME 3/31/2012 14,948,919 8,047,826 6,901,093 114,463,047 106,079,012 63 MAREX USA LIMITED FCM NFA 3/31/2012 3,059,840 1,000,000 2,059,840 0 0 64 MB TRADING FUTURES INC FCMRFD NFA 3/31/2012 23,161,703 21,160,854 2,000,849 0 0 65 MBF CLEARING CORP FCM NFA 3/31/2012 1,918,370 1,000,000 918,370 1,194 0 

Futures Commission Merchant / Retail Foreign Exchange 

Dealer
SELECTED FCM FINANCIAL DATA AS OF 

March 31, 2012

FROM REPORTS FILED BY 

May 01, 2012

66 MCVEAN TRADING & INVESTMENTS LLC FCM NFA 3/31/2012 13,979,616 4,111,754 9,867,862 893,303,082 872,366,081 67 MERRILL LYNCH PIERCE FENNER & SMITH FCM BD CBOT 3/30/2012 10,778,177,438 704,237,280 10,073,940,158 8,300,210,146 7,766,168,604 68 MERRILL LYNCH PROFESSIONAL CLEARING CORP FCM BD NFA 3/31/2012 1,828,350,184 206,121,227 1,622,228,957 1,571,469,067 891,242,854 69 MID CO COMMODITIES INC FCM NFA 3/31/2012 9,580,948 6,601,712 2,979,236 24,658,168 15,302,459 70 MITSUBISHI UFJ SECURITIES USA INC FCM BD NFA 3/31/2012 247,939,816 1,125,141 246,814,675 0 0 71 MITSUI BUSSAN COMMODITIES USA INC FCM NFA 3/31/2012 2,930,182 1,000,000 1,930,182 0 0 72 MIZUHO SECURITIES USA INC FCM BD CME 3/31/2012 329,860,459 120,792,326 209,068,133 890,141,098 767,560,315 73 MORGAN KEEGAN & COMPANY INC FCM BD NFA 3/31/2012 576,373,371 7,931,372 568,441,999 0 0 74 MORGAN STANLEY & CO LLC FCM BD CME 3/31/2012 7,841,777,356 1,181,791,798 6,659,985,558 5,421,080,522 5,317,872,704 75 MORGAN STANLEY SMITH BARNEY LLC FCM BD NFA 3/30/2012 1,323,844,047 40,446,887 1,283,397,160 480,915,528 435,053,799 76 NATIXIS SECURITIES AMERICAS LLC FCM BD NFA 3/31/2012 354,377,082 1,500,000 352,877,082 0 0 77 NEUBERGER BERMAN LLC FCM BD NFA 3/31/2012 26,605,509 1,500,000 25,105,509 0 0 78 NEWEDGE USA LLC FCM BD NYME 3/31/2012 2,250,931,833 1,279,697,302 971,234,531 17,274,796,050 16,437,067,629 79 NOMURA SECURITIES INTERNATIONAL INC FCM BD CBOT 3/31/2012 2,177,075,160 28,506,349 2,148,568,811 66,299,812 47,666,320 80 OANDA CORPORATION FCMRFD NFA 3/31/2012 131,735,615 28,566,325 103,169,290 0 0 81 OPEN E CRY LLC FCM NFA 3/31/2012 2,717,005 1,045,740 1,671,265 99,604,526 95,718,666 82 OPPENHEIMER & CO INC FCM BD NFA 3/31/2012 159,075,035 24,409,778 134,665,257 30,693,387 21,398,084 83 OPTIONSXPRESS INC FCM BD NFA 3/31/2012 68,461,806 5,087,240 63,374,566 105,307,025 89,834,988 84 PENSON FINANCIAL SERVICES INC FCM BD CBOT 3/31/2012 119,103,337 30,940,302 88,163,035 560,657,160 548,036,609 85 PEREGRINE FINANCIAL GROUP INC FCM NFA 3/31/2012 30,114,931 21,199,473 8,915,458 404,800,467 398,461,444 86 PHILLIP FUTURES INC FCM CME 3/31/2012 8,725,215 2,746,968 5,978,247 57,338,533 49,079,322 87 PIONEER FUTURES INC FCM NFA 3/31/2012 1,910,086 1,000,000 910,086 0 0 88 RAND FINANCIAL SERVICES INC FCM CME 3/31/2012 74,112,010 15,601,636 58,510,374 256,929,100 217,457,200 89 RAYMOND JAMES & ASSOCIATES INC FCM BD NFA 3/30/2012 341,394,645 29,893,913 311,500,732 0 0 90 RBC CAPITAL MARKETS LLC FCM BD CME 3/30/2012 1,418,791,733 86,399,377 1,332,392,356 713,554,781 666,858,519 91 RBS SECURITIES INC FCM BD CBOT 3/31/2012 3,428,985,517 237,821,433 3,191,164,084 1,860,343,455 1,726,153,694 92 RJ OBRIEN ASSOCIATES LLC FCM CME 3/31/2012 201,906,335 140,132,636 61,773,699 3,828,298,423 3,727,675,687 93 ROSENTHAL COLLINS GROUP LLC FCM CME 3/31/2012 92,537,593 65,486,917 27,050,676 1,551,580,077 1,528,101,115 94 SANFORD C BERNSTEIN & CO LLC FCM BD NFA 3/31/2012 134,110,635 17,220,482 116,890,153 0 0 95 SANTANDER INVESTMENT SECURITIES INC FCM BD NYME 3/31/2012 206,486,306 10,734,561 195,751,745 531,735,901 529,345,167 96 STATE STREET GLOBAL MARKETS LLC FCM BD CME 3/31/2012 441,096,682 10,254,037 430,842,645 248,503,056 88,200,076 97 STEPHENS INC FCM BD NFA 3/31/2012 85,279,124 12,740,358 72,538,766 0 0 98 STERLING COMMODITIES CORP FCM NFA 3/31/2012 1,903,011 1,000,000 903,011 0 0 99 STRAITS FINANCIAL LLC FCM CME 3/31/2012 7,537,169 1,812,280 5,724,889 55,292,598 51,461,209 

100 TD AMERITRADE INC FCM BD NFA 3/31/2012 319,565,619 5,524,362 314,041,257 93,424,850 73,004,409 101 TENCO INC FCM CBOT 3/31/2012 53,558,034 7,381,554 46,176,480 191,349,456 186,938,334 102 TIMBER HILL LLC FCM BD CME 3/31/2012 737,067,734 40,880,606 696,187,128 582,316,614 579,791,407 103 TRADELINK LLC FCM BD CBOT 3/31/2012 20,391,286 1,000,000 19,391,286 0 0 104 TRADESTATION FOREX INC. RFED NFA 3/31/2012 25,395,124 22,901,871 2,493,253 0 0 105 TRADESTATION SECURITIES INC FCM BD NFA 3/31/2012 49,072,411 3,343,928 45,728,483 433,227,425 423,050,191 106 TRADITION SECURITIES AND FUTURES INC FCM NFA 3/31/2012 1,516,122 1,000,000 516,122 0 0 107 UBS FINANCIAL SERVICES INC FCM BD NFA 3/30/2012 1,190,353,306 114,857,601 1,075,495,705 209,259,398 167,097,534 108 UBS SECURITIES LLC FCM BD CBOT 3/31/2012 12,469,242,869 974,540,315 11,494,702,554 10,418,670,664 9,712,373,443 109 VELOCITY FUTURES LLC FCM NFA 3/31/2012 1,639,333 1,000,000 639,333 71,949,311 70,913,408 110 VISION FINANCIAL MARKETS LLC FCM BD CME 3/31/2012 27,034,356 10,519,168 16,515,188 438,379,175 423,436,981 111 WELLS FARGO ADVISORS FINANCIAL NETWORK LLC FCM BD NFA 3/31/2012 42,003,988 1,000,000 41,003,988 0 0 112 WELLS FARGO ADVISORS LLC FCM BD NFA 3/31/2012 952,811,372 1,500,000 951,311,372 0 0 113 WELLS FARGO SECURITIES LLC FCM BD CME 3/31/2012 2,156,836,285 11,455,547 2,145,380,738 0 0 114 WHITE COMMERCIAL CORPORATION FCM NFA 3/31/2012 2,319,733 1,000,000 1,319,733 0 0 115 XPRESSTRADE LLC RFED NFA 3/31/2012 22,997,526 20,000,000 2,997,526 0 0 116 YORK BUSINESS ASSOCIATES LLC FCM NFA 3/31/2012 1,853,674 1,000,000 853,674 77,216,264 74,326,053 

Totals 154,390,390,991 144,183,511,366 10February Web Page Update 116Additions 2BOCI COMMODITIES & FUTURES USA LLCLIQUID FUTURES LLCDeletions 2FUTURES TECH LLCROSENTHAL GLOBAL SECURITIES LLCName ChangeNoneMarch Web Page Update 116(a): FCM: Futures Commission Merchant that is registered with the Commodity Futures Trading Commission;
SELECTED FCM FINANCIAL DATA AS OF 

March 31, 2012

FROM REPORTS FILED BY 

May 01, 2012

 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; FCMRFD: The FCM is also registered with the Commodity Futures Trading Commission as a Retail Foreign Exchange Dealer.(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.(e): This represents the total amount of money, securities, and property held in segregated accounts for futures and options customers in compliance with Section 4d of the Commodity Exchange Act.(f): 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 accounts that contain a net liquidating equity.(k): 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 accounadjusted for the realized and unrealized net profit or loss.(g): Excess/Deficient funds in segregation is customer assets in segregation, less the customer segregation requirement.(h): This represents the total amount of money, securities, and property held in secured accounts for futures and options customers who trade on commodity exchanges located outside the United States in comp30 of the Commodity Exchange Act.(i): 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. (j): Excess/Deficient funds in separate Section 30.7 accounts is funds in separate Section 30.7 accounts, less the customer amount Part 30 requirement.