SELECTED FCM FINANCIAL DATA AS OF 

SEPTEMBER 30, 2010

FROM REPORTS FILED BY 

OCTOBER 31, 2010

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

Futures Commission Merchant Date Net Capital Requirement Net Capital 

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

1 ABN AMRO CLEARING CHICAGO LLC Y CBOT 09/30/2010 211,915,478 70,398,848 141,516,630 

2 ADM INVESTOR SERVICES INC N CBOT 09/30/2010 193,120,374 123,709,114 69,411,260 

3 ADVANCED MARKETS LLC N NFA 09/30/2010 20,722,088 20,000,000 722,088 4 ADVANTAGE FUTURES LLC N CME 09/30/2010 19,391,818 7,810,993 11,580,825 

5 ADVANTAGE SECURITIES LLC Y NFA 09/30/2010 4,116,782 1,000,000 3,116,782 6 ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC Y NFA 09/30/2010 62,728,255 10,405,027 52,323,228 

7 ALPARI (US) LLC N NFA 09/30/2010 20,715,725 20,000,000 715,725 8 AMERIPRISE FINANCIAL SERVICES INC Y NFA 09/30/2010 169,796,156 1,000,000 168,796,156 9 AMP GLOBAL CLEARING LLC N NFA 09/30/2010 1,357,082 1,000,000 357,082 

10 BARCLAYS CAPITAL INC Y NYME 09/30/2010 6,490,880,293 663,182,494 5,827,697,799 11 BGC FINANCIAL LP Y NFA 09/30/2010 43,587,298 1,000,000 42,587,298 12 BNP PARIBAS COMMODITY FUTURES INC N NYME 09/30/2010 368,560,155 187,098,758 181,461,397 

13 BNP PARIBAS SECURITIES CORP Y CBOT 09/30/2010 1,909,927,129 77,621,805 1,832,305,324 

14 BNY MELLON CLEARING LLC N CME 09/30/2010 28,503,019 3,684,720 24,818,299 

15 CANTOR FITZGERALD & CO Y CBOT 09/30/2010 232,918,204 7,590,280 225,327,924 

16 CAPITAL MARKET SERVICES LLC N NFA 09/30/2010 27,040,752 20,269,430 6,771,322 

17 CIBC WORLD MARKETS CORP Y CME 09/30/2010 682,622,276 1,500,000 681,122,276 

18 CITADEL SECURITIES LLC Y CME 09/30/2010 392,451,723 1,000,000 391,451,723 

19 CITIGROUP GLOBAL MARKETS INC Y CBOT 09/30/2010 8,994,873,955 765,864,038 8,229,009,917 20 COMMONWEALTH FOREIGN EXCHANGE INC N NFA 09/30/2010 1,648,675 1,000,000 648,675 21 COMPASS PROFESSIONAL SERVICES LLC Y NFA 09/30/2010 3,323,171 1,000,000 2,323,171 22 COUNTRY HEDGING INC N NFA 09/30/2010 20,506,053 16,371,038 4,135,015 23 CREDIT SUISSE SECURITIES (USA) LLC Y CBOT 09/30/2010 10,025,622,053 923,451,607 9,102,170,446 24 CROSSLAND LLC N CBOT 09/30/2010 8,181,528 3,515,218 4,666,310 

25 CUNNINGHAM COMMODITIES LLC N CBOT 09/30/2010 3,343,026 1,000,000 2,343,026 

26 CX CAPITAL MARKETS LLC N NFA 09/30/2010 2,454,254 1,000,000 1,454,254 

27 DAIWA CAPITAL MARKETS AMERICA INC Y CME 09/30/2010 203,545,523 1,000,000 202,545,523 

28 DEUTSCHE BANK SECURITIES INC Y CBOT 09/30/2010 6,838,495,097 552,562,823 6,285,932,274 

29 DORMAN TRADING LLC N CME 09/30/2010 6,441,337 1,000,000 5,441,337 

30 EAGLE MARKET MAKERS INC N CBOT 09/30/2010 5,842,462 1,000,000 4,842,462 31 EASY FOREX US LTD N NFA 09/30/2010 2,884,838 1,000,000 1,884,838 

32 ELECTRONIC BROKERAGE SYSTEMS LLC Y NFA 09/30/2010 8,100,024 1,000,000 7,100,024 

33 ENSKILDA FUTURES LTD N CME 09/30/2010 29,605,362 16,939,695 12,665,667 

34 FARR FINANCIAL INC N NFA 09/30/2010 1,898,699 1,000,000 898,699 

35 FCSTONE LLC N CME 09/30/2010 78,329,237 52,816,248 25,512,989 36 FOREX CAPITAL MARKETS LLC N NFA 09/30/2010 46,453,147 23,515,421 22,937,726 

37 FOREX CLUB FINANCIAL COMPANY INC N NFA 09/30/2010 20,884,038 20,000,000 884,038 38 FRIEDBERG MERCANTILE GROUP INC N NFA 09/30/2010 3,377,674 1,000,000 2,377,674 39 FRONTIER FUTURES INC N NFA 09/30/2010 1,761,325 1,290,372 470,953 

40 FUTURES TECH LLC N NFA 09/30/2010 1,593,625 1,000,000 593,625 41 FX SOLUTIONS LLC N NFA 09/30/2010 35,233,844 20,294,728 14,939,116 
SELECTED FCM FINANCIAL DATA AS OF 

SEPTEMBER 30, 2010

FROM REPORTS FILED BY 

OCTOBER 31, 2010

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

Futures Commission Merchant Date Net Capital Requirement Net Capital 

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

42 FXDIRECTDEALER LLC N NFA 09/30/2010 29,925,840 21,631,718 8,294,122 43 GAIN CAPITAL GROUP LLC N NFA 09/30/2010 63,122,954 25,838,610 37,284,344 44 GENESIS FUTURES LLC N NFA 09/30/2010 1,518,859 1,000,000 518,859 45 GLOBAL FUTURES & FOREX LTD N NFA 09/30/2010 83,532,776 25,815,252 57,717,524 

46 GOLDMAN SACHS & CO Y CBOT 09/30/2010 10,539,780,563 1,926,914,060 8,612,866,503 

47 GOLDMAN SACHS EXECUTION & CLEARING LP Y CME 09/30/2010 1,951,682,557 120,815,962 1,830,866,595 

48 HSBC SECURITIES USA INC Y CME 09/30/2010 1,103,650,925 101,380,599 1,002,270,326 

49 ICAP FUTURES LLC N NFA 09/30/2010 8,569,380 1,000,000 7,569,380 50 IG MARKETS INC N NFA 09/30/2010 30,152,445 20,000,000 10,152,445 51 IKON GLOBAL MARKETS INC N NFA 09/30/2010 21,570,827 20,254,434 1,316,393 

52 INSTINET LLC Y NFA 09/30/2010 121,155,493 1,602,989 119,552,504 53 INSTITUTIONAL LIQUIDITY LLC N NFA 09/30/2010 1,129,367 1,000,000 129,367 54 INTEGRATED BROKERAGE SERVICES LLC N NFA 09/30/2010 1,842,657 1,000,000 842,657 55 INTERACTIVE BROKERS LLC Y NFA 09/30/2010 1,077,688,730 133,180,032 944,508,698 56 INTERBANK FX LLC N NFA 09/30/2010 27,694,953 21,423,908 6,271,045 57 IRONBEAM INC N NFA 09/30/2010 1,460,670 1,000,000 460,670 

58 ITG DERIVATIVES LLC Y NFA 09/30/2010 5,005,410 1,000,000 4,005,410 

59 JP MORGAN CLEARING CORP Y CME 09/30/2010 5,280,418,816 1,631,593,681 3,648,825,135 60 JP MORGAN FUTURES INC N NYME 09/30/2010 2,447,637,464 1,195,995,289 1,251,642,175 

61 JP MORGAN SECURITIES LLC Y NFA 09/30/2010 7,063,749,094 562,461,959 6,501,287,135 62 LEK SECURITIES CORPORATION Y NFA 09/30/2010 10,422,238 1,500,000 8,922,238 

63 LIMESTONE TRADING LLC N NFA 09/30/2010 5,463,004 1,000,000 4,463,004 64 LINN GROUP THE N NFA 09/30/2010 2,086,320 1,243,706 842,614 

65 LPL FINANCIAL CORPORATION Y NFA 09/30/2010 109,903,877 6,359,632 103,544,245 66 MACQUARIE FUTURES USA INC N CBOT 09/30/2010 74,228,603 46,293,517 27,935,086 

67 MAREX USA LIMITED N NFA 09/30/2010 2,816,836 1,000,000 1,816,836 

68 MB TRADING FUTURES INC N NFA 09/30/2010 25,217,376 20,000,000 5,217,376 69 MBF CLEARING CORP N NYME 09/30/2010 11,098,268 1,170,015 9,928,253 

70 MCVEAN TRADING & INVESTMENTS LLC N NFA 09/30/2010 11,339,490 3,790,592 7,548,898 71 MERRILL LYNCH PIERCE FENNER & SMITH Y CBOT 09/30/2010 5,337,799,572 685,852,820 4,651,946,752 72 MERRILL LYNCH PROFESSIONAL CLEARING CORP Y NFA 09/30/2010 2,246,977,853 183,915,638 2,063,062,215 73 MF GLOBAL INC Y CME 09/30/2010 631,494,532 431,626,813 199,867,719 

74 MG FINANCIAL LLC N NFA 09/30/2010 5,100,104 1,000,000 4,100,104 

75 MID CO COMMODITIES INC N NFA 09/30/2010 9,429,896 5,950,232 3,479,664 76 MITSUBISHI UFJ SECURITIES USA INC Y NFA 09/30/2010 84,202,325 2,681,329 81,520,996 

77 MITSUI BUSSAN COMMODITIES USA INC N NYME 09/30/2010 9,326,028 1,000,000 8,326,028 

78 MIZUHO SECURITIES USA INC Y CME 09/30/2010 456,391,491 65,924,504 390,466,987 

79 MORGAN KEEGAN & COMPANY INC Y NFA 09/30/2010 396,216,188 9,268,414 386,947,774 

80 MORGAN STANLEY & CO INCORPORATED Y CME 09/30/2010 8,067,214,535 1,154,981,492 6,912,233,043 

81 MORGAN STANLEY SMITH BARNEY LLC Y NFA 09/30/2010 1,386,751,745 44,506,588 1,342,245,157 

82 NATIXIS SECURITIES NORTH AMERICA INC Y NFA 09/30/2010 223,247,593 1,000,000 222,247,593 

83 NEUBERGER BERMAN LLC Y NFA 09/30/2010 78,966,444 1,500,000 77,466,444 
SELECTED FCM FINANCIAL DATA AS OF 

SEPTEMBER 30, 2010

FROM REPORTS FILED BY 

OCTOBER 31, 2010

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

Futures Commission Merchant Date Net Capital Requirement Net Capital 

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

84 NEWEDGE USA LLC Y NYME 09/30/2010 2,449,690,089 1,411,130,737 1,038,559,352 

85 NOMURA SECURITIES INTERNATIONAL INC Y CBOT 09/30/2010 1,163,845,174 20,248,850 1,143,596,324 86 OANDA CORPORATION N NFA 09/30/2010 166,879,414 30,252,351 136,627,063 87 OPEN E CRY LLC N NFA 09/30/2010 3,127,311 1,000,000 2,127,311 

88 OPPENHEIMER & CO INC Y NFA 09/30/2010 175,607,591 23,621,913 151,985,678 89 OPTIONSXPRESS INC Y NFA 09/30/2010 119,335,480 8,985,087 110,350,393 90 PENSON GHCO N CBOT 09/30/2010 25,503,174 22,096,406 3,406,768 91 PEREGRINE FINANCIAL GROUP INC N NFA 09/30/2010 34,771,445 20,000,000 14,771,445 

92 PIONEER FUTURES INC N NFA 09/30/2010 2,418,199 1,000,000 1,418,199 93 PRUDENTIAL BACHE COMMODITIES LLC N CBOT 09/30/2010 213,166,000 171,540,560 41,625,440 

94 RAND FINANCIAL SERVICES INC N CME 09/30/2010 70,100,107 15,869,907 54,230,200 95 RAYMOND JAMES & ASSOCIATES INC Y NFA 09/30/2010 253,341,595 29,169,466 224,172,129 

96 RBC CAPITAL MARKETS CORPORATION Y CME 09/30/2010 999,353,959 74,364,171 924,989,788 

97 RBS SECURITIES INC Y CBOT 09/30/2010 1,785,012,000 179,723,000 1,605,289,000 

98 RJ OBRIEN ASSOCIATES LLC N CME 09/30/2010 120,254,158 82,219,948 38,034,210 

99 ROSENTHAL COLLINS GROUP LLC N CME 09/30/2010 66,533,907 42,681,082 23,852,825 

100 ROSENTHAL GLOBAL SECURITIES LLC Y NFA 09/30/2010 25,852,472 1,000,000 24,852,472 101 SANFORD C BERNSTEIN & CO LLC Y NFA 09/30/2010 158,901,242 14,357,043 144,544,199 102 SANTANDER INVESTMENT SECURITIES INC Y NFA 09/30/2010 107,738,038 1,100,740 106,637,298 103 SMW TRADING COMPANY INC N CME 09/30/2010 24,837,196 1,000,000 23,837,196 104 STATE STREET GLOBAL MARKETS LLC Y CME 09/30/2010 371,962,956 12,278,701 359,684,255 105 STEPHENS Y NFA 09/30/2010 69,998,743 12,950,980 57,047,763 

106 STERLING COMMODITIES CORP N NYME 09/30/2010 7,893,582 1,934,001 5,959,581 

107 TCA FUTURES LLC N NFA 09/30/2010 1,582,649 1,000,000 582,649 108 TD AMERITRADE INC Y NFA 09/30/2010 166,642,951 1,000,000 165,642,951 109 TENCO INC N CBOT 09/30/2010 53,551,648 8,144,998 45,406,650 

110 TERRA NOVA FINANCIAL LLC Y NFA 09/30/2010 9,776,674 1,500,000 8,276,674 111 TIMBER HILL LLC Y CME 09/30/2010 901,341,641 42,823,404 858,518,237 

112 TOWER RESEARCH CAPITAL EUROPE LLC N NFA 09/30/2010 5,484,084 1,000,000 4,484,084 113 TRADELINK LLC Y CBOT 09/30/2010 23,245,647 1,000,000 22,245,647 

114 TRADESTATION SECURITIES INC Y NFA 09/30/2010 71,916,006 2,963,831 68,952,175 115 TRADITION SECURITIES AND FUTURES INC N NFA 09/30/2010 1,559,827 1,000,000 559,827 

116 TRILAND USA INC N NYME 09/30/2010 23,016,594 16,995,902 6,020,692 

117 UBS FINANCIAL SERVICES INC Y NFA 09/30/2010 1,106,194,587 92,658,988 1,013,535,599 118 UBS SECURITIES LLC Y CBOT 09/30/2010 10,728,178,253 938,982,264 9,789,195,989 

119 VELOCITY FUTURES LLC N NFA 09/30/2010 1,815,267 1,000,000 815,267 120 VISION FINANCIAL MARKETS LLC Y CME 09/30/2010 22,173,920 9,808,803 12,365,117 

121 WELLS FARGO ADVISORS FINANCIAL NETWORK LLC Y NFA 09/30/2010 26,555,237 3,193,549 23,361,688 122 WELLS FARGO ADVISORS LLC Y NFA 09/30/2010 559,610,225 1,500,000 558,110,225 123 WELLS FARGO SECURITIES LLC Y CME 09/30/2010 1,193,120,732 4,563,591 1,188,557,141 124 WHITE COMMERCIAL CORPORATION N NFA 09/30/2010 2,780,057 1,000,000 1,780,057 125 WSD FINANCIAL USA INC N NFA 09/30/2010 1,484,559 1,000,000 484,559 
SELECTED FCM FINANCIAL DATA AS OF 

SEPTEMBER 30, 2010

FROM REPORTS FILED BY 

OCTOBER 31, 2010

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

Futures Commission Merchant Date Net Capital Requirement Net Capital 

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

126 YORK BUSINESS ASSOCIATES LLC N NFA 09/30/2010 2,039,918 1,000,000 1,039,918 

Totals 
SELECTED FCM FINANCIAL DATA AS OF 

SEPTEMBER 30, 2010

FROM REPORTS FILED BY 

OCTOBER 31, 2010

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

Futures Commission Merchant Date Net Capital Requirement Net Capital 

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

August Web Page Update 125Additions 2INSTITUTIONAL LIQUIDITY LLCIRONBEAM INCDeletions 1GILDER GAGNON HOWE & CO LLC Name ChangeJP MORGAN SECURITIES INC to JP MORGAN SECURITIES LLCSeptember Web Page Update 126*Allianz Global Investors Distributors LLC files financial statements quarterly.(a): B/D? : A 'Y' means the FCM is also registered with the (b): DSRO: Designated Self-Regulatory Organization. (c): A firm's net capital requirement is the greater of (1) $1,000,000; or(2) risk based capital requirement, the sum of 8% of total customer (3) The amount of capital required by a registered futures association (currently NFA is the only such association); or(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 

SEPTEMBER 30, 2010

FROM REPORTS FILED BY 

OCTOBER 31, 2010

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 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: ccoffin@cftc.gov, mhendrickso@cftc.gov or mfranklin@cftc.gov.