SELECTED FCM FINANCIAL DATA AS OF 

December 31, 2008

FROM REPORTS FILED BY 

January 31, 2009

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

Futures Commission Merchant Date Net Capital Requirement Net Capital S

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

1 3D FOREX, LLC N NFA 12/31/2008 18,931,722 500,000 18,431,722 2 ACM USA LLC N NFA 12/31/2008 11,575,482 10,000,000 1,575,482 3 ADM INVESTOR SERVICES INC N CBOT 12/31/2008 154,941,097 74,632,265 80,308,832 4 ADVANCED MARKETS LLC N NFA 12/31/2008 10,071,373 10,000,000 71,373 5 ADVANTAGE FUTURES LLC N CME 12/31/2008 25,081,866 6,446,918 18,634,948 6 AIG CLEARING CORPORATION N NYME 12/31/2008 321,823,187 11,903,795 309,919,392 

7 ALARON TRADING CORPORATION N NFA 12/31/2008 3,711,574 500,000 3,211,574 8 ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC * Y NFA 12/31/2008 27,457,078 6,847,647 20,609,431 

9 ALPARI (US) LLC N NFA 12/31/2008 17,497,095 10,000,000 7,497,095 

10 AMERIPRISE ADVISOR SERVICES INC Y NFA 12/31/2008 22,077,618 5,346,567 16,731,051 11 BANC OF AMERICA SECURITIES LLC Y CME 12/31/2008 3,171,801,285 166,357,841 3,005,443,444 

12 BARCLAYS CAPITAL INC Y NYME 12/31/2008 7,878,067,153 500,000,000 7,378,067,153 13 BGC SECURITIES Y NFA 12/31/2008 8,855,236 500,000 8,355,236 

14 BNP PARIBAS COMMODITY FUTURES INC N NYME 12/31/2008 322,615,874 242,242,565 80,373,309 

15 BNP PARIBAS SECURITIES CORP Y CBOT 12/31/2008 1,215,323,818 117,565,995 1,097,757,823 

16 CADENT FINANCIAL SERVICES LLC N CME 12/31/2008 11,083,763 5,024,120 6,059,643 

17 CANTOR FITZGERALD & CO Y CBOT 12/31/2008 338,495,337 10,098,215 328,397,122 18 CAPITAL MARKET SERVICES LLC N NFA 12/31/2008 28,021,844 10,000,000 18,021,844 19 CIBC WORLD MARKETS CORP Y CME 12/31/2008 1,034,556,133 4,487,601 1,030,068,532 

20 CITIGROUP GLOBAL MARKETS INC Y CBOT 12/31/2008 2,489,756,047 850,665,429 1,639,090,618 21 CLIFF LARSON COMPANY THE N NFA 12/31/2008 2,121,913 784,525 1,337,388 

22 COMMONWEALTH FOREIGN EXCHANGE INC N NFA 12/31/2008 1,130,173 500,000 630,173 23 COUNTRY HEDGING INC N NFA 12/31/2008 14,870,211 8,414,822 6,455,389 24 CREDIT SUISSE SECURITIES (USA) LLC Y CBOT 12/31/2008 10,824,230,618 699,238,193 10,124,992,425 25 CROSSLAND LLC N CBOT 12/31/2008 3,175,961 558,944 2,617,017 

26 CUNNINGHAM COMMODITIES LLC N CBOT 12/31/2008 3,251,188 500,000 2,751,188 27 DAIWA SECURITIES AMERICA INC Y CME 12/31/2008 226,179,261 5,580,479 220,598,782 28 DEUTSCHE BANK SECURITIES INC Y CBOT 12/31/2008 4,600,968,840 433,798,493 4,167,170,347 

29 DORMAN TRADING LLC N CME 12/31/2008 7,795,161 500,000 7,295,161 

30 DUNAVANT COMMODITY CORP N NFA 12/31/2008 28,733,539 606,504 28,127,035 

31 EAGLE MARKET MAKERS INC N CBOT 12/31/2008 5,853,143 500,000 5,353,143 

32 EASY FOREX US LTD N NFA 12/31/2008 13,094,241 10,000,000 3,094,241 

33 ELECTRONIC BROKERAGE SYSTEMS LLC Y NFA 12/31/2008 9,697,601 500,000 9,197,601 

34 ENSKILDA FUTURES LTD N CME 12/31/2008 22,834,362 10,769,097 12,065,265 

35 FARR FINANCIAL INC N NFA 12/31/2008 1,399,721 500,000 899,721 36 FC STONE LLC N CME 12/31/2008 76,991,590 42,680,438 34,311,152 

37 FOREX CAPITAL MARKETS LLC N NFA 12/31/2008 115,260,994 10,000,000 105,260,994 

38 FOREX CLUB FINANCIAL COMPANY INC N NFA 12/31/2008 15,982,737 10,000,000 5,982,737 39 FORTIS CLEARING AMERICAS LLC Y CBOT 12/31/2008 190,900,255 52,836,885 138,063,370 40 FRIEDBERG MERCANTILE GROUP INC N NFA 12/31/2008 4,207,548 500,000 3,707,548 

41 FRONTIER FUTURES INC N NFA 12/31/2008 1,179,830 749,159 430,671 42 FUTURES TECH LLC N NFA 12/31/2008 840,513 500,000 340,513 43 FX SOLUTIONS LLC N NFA 12/31/2008 44,618,870 10,000,000 34,618,870 44 GAIN CAPITAL GROUP LLC N NFA 12/31/2008 107,167,948 10,000,000 97,167,948 45 GATEWAY CAPITAL L.L.C. N NFA 12/31/2008 525,752 500,000 25,752 46 GELBER GROUP LLC N CBOT 12/31/2008 140,457,252 1,444,818 139,012,434 
SELECTED FCM FINANCIAL DATA AS OF 

December 31, 2008

FROM REPORTS FILED BY 

January 31, 2009

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

Futures Commission Merchant Date Net Capital Requirement Net Capital S

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

47 GFS FOREX & FUTURES INC N NFA 12/31/2008 12,888,692 10,000,000 2,888,692 48 GILDER GAGNON HOWE AND CO LLC Y NFA 12/31/2008 12,273,502 500,000 11,773,502 49 GLOBAL FUTURES & FOREX LTD N NFA 12/31/2008 75,215,155 10,000,000 65,215,155 

50 GOLDMAN SACHS & CO Y CBOT 12/26/2008 12,009,773,855 1,865,184,526 10,144,589,329 

51 GOLDMAN SACHS EXECUTION & CLEARING LP Y CME 12/26/2008 1,491,507,812 73,336,186 1,418,171,626 52 HOTSPOT FXR LLC N NFA 12/31/2008 10,387,563 10,000,000 387,563 53 HSBC SECURITIES USA INC Y CME 12/31/2008 1,116,456,796 73,276,387 1,043,180,409 

54 I TRADE FX LLC N NFA 12/31/2008 15,254,112 10,000,000 5,254,112 55 ICAP FUTURES LLC N NFA 12/31/2008 6,031,335 500,000 5,531,335 56 IG MARKETS INC. N NFA 12/31/2008 16,764,133 10,000,000 6,764,133 

57 IKON GLOBAL MARKETS INC. N NFA 12/31/2008 14,249,188 10,000,000 4,249,188 

58 INSTINET LLC Y NFA 12/31/2008 99,739,108 1,572,532 98,166,576 59 INTEGRATED BROKERAGE SERVICES LLC N NFA 12/31/2008 2,202,160 500,000 1,702,160 60 INTERACTIVE BROKERS LLC Y EUXUS 12/31/2008 606,402,472 38,550,036 567,852,436 61 INTERBANK FX LLC N NFA 12/31/2008 43,669,367 15,000,000 28,669,367 62 ITG DERIVATIVES, LLC Y NFA 12/31/2008 1,989,593 500,000 1,489,593 

63 JP MORGAN CLEARING CORP Y CME 12/31/2008 4,958,212,990 1,399,468,621 3,558,744,369 

64 JP MORGAN FUTURES INC N NYME 12/31/2008 2,214,066,520 1,471,879,130 742,187,390 

65 JP MORGAN SECURITIES INC Y NFA 12/31/2008 7,539,421,286 609,648,990 6,929,772,296 

66 LADENBURG THALMANN & CO INC Y NFA 12/31/2008 5,414,829 500,000 4,914,829 67 LBS LIMITED PARTNERSHIP N NFA 12/31/2008 778,068 500,000 278,068 68 LEK SECURITIES CORPORATION Y NFA 12/31/2008 12,801,790 1,500,000 11,301,790 

69 LIMESTONE TRADING LLC N NFA 12/31/2008 6,501,509 500,000 6,001,509 70 LINN GROUP ( THE ) N NFA 12/31/2008 3,668,314 500,000 3,168,314 

71 LPL FINANCIAL CORPORATION Y NFA 12/31/2008 86,062,408 7,227,981 78,834,427 72 MACQUARIE FUTURES USA INC N CBOT 12/31/2008 50,720,934 26,350,821 24,370,113 73 MAREX CARLTON LIMITED N NFA 12/31/2008 733,525 500,000 233,525 74 MB TRADING FUTURES INC. N NFA 12/31/2008 14,779,756 10,000,000 4,779,756 

75 MBF CLEARING CORP N NYME 12/31/2008 26,960,668 1,470,160 25,490,508 

76 MCVEAN TRADING AND INVESTMENTS LLC N NFA 12/31/2008 14,426,377 1,360,608 13,065,769 

77 MERRILL LYNCH PIERCE FENNER & SMITH Y CBOT 12/26/2008 4,127,927,399 603,962,370 3,523,965,029 78 MERRILL LYNCH PROFESSIONAL CLEARING CORP Y NFA 12/26/2008 1,576,605,011 67,119,448 1,509,485,563 79 MF GLOBAL INC. Y CME 12/31/2008 706,655,086 320,034,510 386,620,576 

80 MG FINANCIAL LLC N NFA 12/31/2008 5,563,827 500,000 5,063,827 81 MID-CO COMMODITIES INC N NFA 12/31/2008 13,859,385 3,050,553 10,808,832 

82 MITSUI BUSSAN COMMODITIES USA INC N NYME 12/31/2008 7,551,757 1,400,992 6,150,765 

83 MIZUHO SECURITIES USA INC Y CME 12/31/2008 314,734,807 69,190,572 245,544,235 84 MORGAN KEEGAN & COMPANY INC Y NFA 12/31/2008 326,740,887 9,046,307 317,694,580 

85 MORGAN STANLEY & CO INCORPORATED Y CME 12/31/2008 9,216,304,057 850,257,759 8,366,046,298 

86 NATIXIS SECURITIES NORTH AMERICA INC Y NFA 12/31/2008 205,242,286 500,000 204,742,286 

87 NEUBERGER BERMAN LLC Y NFA 12/31/2008 94,710,937 5,000,000 89,710,937 

88 NEWEDGE USA LLC. Y NYME 12/31/2008 2,363,924,939 1,528,363,551 835,561,388 89 NOMURA SECURITIES INTERNATIONAL INC Y CBOT 12/31/2008 741,104,649 1,000,000 740,104,649 90 OANDA CORPORATION N NFA 12/31/2008 169,722,476 10,000,000 159,722,476 91 ODL SECURITIES INC N NFA 12/31/2008 17,921,698 10,000,000 7,921,698 

92 OPEN E CRY LLC N NFA 12/31/2008 2,433,212 622,554 1,810,658 

93 OPPENHEIMER & CO INC Y NFA 12/31/2008 180,520,404 16,857,177 163,663,227 
SELECTED FCM FINANCIAL DATA AS OF 

December 31, 2008

FROM REPORTS FILED BY 

January 31, 2009

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

Futures Commission Merchant Date Net Capital Requirement Net Capital S

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

94 OPTIONSXPRESS INC Y NFA 12/31/2008 76,019,260 8,944,927 67,074,333 95 PENSON GHCO N CBOT 12/31/2008 20,309,382 10,680,113 9,629,269 96 PEREGRINE FINANCIAL GROUP INC N NFA 12/31/2008 27,395,262 10,000,000 17,395,262 97 PIONEER FUTURES INC N NYME 12/31/2008 1,724,778 500,000 1,224,778 98 PRUDENTIAL BACHE COMMODITIES LLC N CBOT 12/31/2008 260,927,000 199,949,680 60,977,320 99 PUMA FINANCIAL LLC N NFA 12/31/2008 1,539,411 500,000 1,039,411 

100 RAND FINANCIAL SERVICES INC N CME 12/31/2008 68,894,350 6,968,856 61,925,494 

101 RAYMOND JAMES & ASSOCIATES INC Y NFA 12/31/2008 275,490,640 23,885,475 251,605,165 102 RBC CAPITAL MARKETS CORPORATION Y CME 12/31/2008 676,480,861 127,298,054 549,182,807 103 RBS GREENWICH CAPITAL INC Y CBOT 12/31/2008 2,165,756,000 196,499,000 1,969,257,000 104 RJ OBRIEN & ASSOCIATES LLC N CME 12/31/2008 109,932,227 55,006,189 54,926,038 105 ROBBINS FUTURES INC N NFA 12/31/2008 533,242 500,000 33,242 106 ROSENTHAL COLLINS GROUP LLC N CME 12/31/2008 83,097,216 28,324,913 54,772,303 107 ROSENTHAL GLOBAL SECURITIES LLC Y NFA 12/31/2008 51,050,279 2,367,215 48,683,064 108 SANFORD C BERNSTEIN & CO LLC Y NFA 12/31/2008 175,150,307 7,845,885 167,304,422 109 SANTANDER INVESTMENT SECURITIES INC. Y NFA 12/31/2008 59,836,554 500,000 59,336,554 110 SHAY GRAIN CLEARING COMPANY N KCBT 12/31/2008 2,582,183 873,754 1,708,429 

111 SMW TRADING COMPANY INC N CME 12/31/2008 22,002,340 500,000 21,502,340 

112 STEPHENS INC Y NFA 12/31/2008 78,594,025 10,157,542 68,436,483 113 STERLING COMMODITIES CORP N NYME 12/31/2008 8,864,517 500,000 8,364,517 

114 TCA FUTURES LLC N NFA 12/31/2008 805,133 500,000 305,133 115 TD AMERITRADE INC. Y NFA 12/31/2008 63,048,503 500,000 62,548,503 116 TENCO INC N CBOT 12/31/2008 42,971,904 6,288,299 36,683,605 

117 TERRA NOVA FINANCIAL, LLC Y NFA 12/31/2008 11,467,226 1,500,000 9,967,226 118 TIMBER HILL LLC Y CME 12/31/2008 1,200,561,930 8,285,446 1,192,276,484 119 TOWER RESEARCH CAPITAL EUROPE LLC N NFA 12/31/2008 3,772,431 500,000 3,272,431 120 TRADELINK LLC Y CBOT 12/31/2008 28,834,794 500,000 28,334,794 121 TRADESTATION SECURITIES INC Y NFA 12/31/2008 94,293,640 1,014,258 93,279,382 

122 TRADITION SECURITIES AND FUTURES INC N NFA 12/31/2008 837,292 500,000 337,292 

123 TRANSMARKET GROUP LLC Y CBOT 12/31/2008 19,710,071 500,000 19,210,071 124 TRILAND USA INC N NYME 12/31/2008 47,092,334 11,489,620 35,602,714 

125 UBS FINANCIAL SERVICES INC Y NFA 12/31/2008 976,707,642 98,398,990 878,308,652 

126 UBS SECURITIES LLC Y CBOT 12/31/2008 14,285,280,810 1,055,916,433 13,229,364,377 

127 VELOCITY FUTURES LP N NFA 12/31/2008 1,018,211 500,000 518,211 128 VISION FINANCIAL MARKETS LLC Y CME 12/31/2008 27,738,484 4,287,296 23,451,188 

129 WACHOVIA CAPITAL MARKETS LLC Y CME 12/31/2008 1,716,813,180 1,000,000 1,715,813,180 

130 WACHOVIA SECURITIES FINANCIAL NETWORK, LLC Y NFA 12/31/2008 32,876,585 2,524,604 30,351,981 

131 WACHOVIA SECURITIES LLC Y NFA 12/31/2008 672,941,666 21,820,999 651,120,667 

132 WHITE COMMERCIAL CORPORATION N NFA 12/31/2008 2,764,293 500,000 2,264,293 133 WSD FINANCIAL USA, INC N NFA 12/31/2008 1,285,821 500,000 785,821 134 YORK BUSINESS ASSOCIATES LLC N NFA 12/31/2008 1,215,756 500,000 715,756 

TOTAL 
SELECTED FCM FINANCIAL DATA AS OF 

December 31, 2008

FROM REPORTS FILED BY 

January 31, 2009

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

Futures Commission Merchant Date Net Capital Requirement Net Capital S

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

November Web Page Update 136Additions 1MAREX CARLTON LIMITEDDeletions 3BACERA CORPORATIONCOMTRUST INCKOTTKE ASSOCIATES LLCName ChangeFROM ADVANCED MARKETS INC TO ADVANCED MARKETS LLCDecember Web Page Update 134*Allianz Global Investors Distributions 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.

(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.
SELECTED FCM FINANCIAL DATA AS OF 

December 31, 2008

FROM REPORTS FILED BY 

January 31, 2009

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

Futures Commission Merchant Date Net Capital Requirement Net Capital S

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

(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; phill@cftc.gov or fzimmerle@cftc.gov