SELECTED FCM FINANCIAL DATA AS OF 

November 30, 2010

FROM REPORTS FILED BY 

December 31, 2010

Reg As DSRO A/O Adjusted Net Capital Excess Customers

Date Net Capital Requirement Net Capital Seg Require

4d(a)(2) 

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

1 ABN AMRO CLEARING CHICAGO LLC FCM BD CBOT 11/30/2010 226,098,272 91,354,374 134,743,898 1,697,7402 ADM INVESTOR SERVICES INC FCM CBOT 11/30/2010 297,990,436 151,271,398 146,719,038 2,548,4203 ADVANCED MARKETS LLC RFED NFA 11/30/2010 20,401,823 20,000,000 401,823 4 ADVANTAGE FUTURES LLC FCM CME 11/30/2010 19,976,129 11,597,860 8,378,269 342,2445 ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC* FCM NFA 09/30/2010 62,728,255 10,405,027 52,323,228 6 ALPARI (US) LLC RFED NFA 11/30/2010 22,606,782 20,000,000 2,606,782 7 AMERIPRISE FINANCIAL SERVICES INC FCM BD NFA 11/30/2010 85,473,900 1,000,000 84,473,900 8 AMP GLOBAL CLEARING LLC FCM NFA 11/30/2010 1,461,652 1,000,000 461,652 21,4579 BARCLAYS CAPITAL INC FCM BD NYME 11/30/2010 5,903,819,872 643,064,056 5,260,755,816 4,557,617

10 BGC FINANCIAL LP FCM BD NFA 11/30/2010 40,657,453 1,000,000 39,657,453 11 BNP PARIBAS COMMODITY FUTURES INC FCM NYME 11/30/2010 341,010,834 209,097,403 131,913,431 1,631,41112 BNP PARIBAS SECURITIES CORP FCM BD CBOT 11/30/2010 1,593,738,802 69,663,907 1,524,074,895 478,21613 BNY MELLON CLEARING LLC FCM CME 11/30/2010 78,556,018 4,247,454 74,308,564 63314 CANTOR FITZGERALD & CO FCM BD CBOT 11/30/2010 182,051,870 5,545,259 176,506,611 10,76515 CAPITAL MARKET SERVICES LLC RFED NFA 11/30/2010 16,048,102 1,000,000 15,048,102 16 CIBC WORLD MARKETS CORP FCM BD CME 11/30/2010 488,018,488 4,680,360 483,338,128 17 CITADEL SECURITIES LLC FCM BD CME 11/30/2010 355,727,000 1,000,000 354,727,000 18 CITIGROUP GLOBAL MARKETS INC FCM BD CBOT 11/30/2010 8,506,229,353 757,749,102 7,748,480,251 10,503,20119 COMMONWEALTH FOREIGN EXCHANGE INC FCM NFA 11/30/2010 1,822,545 1,000,000 822,545 20 COMPASS PROFESSIONAL SERVICES LLC FCM BD NFA 11/30/2010 3,370,950 1,000,000 2,370,950 21 COUNTRY HEDGING INC FCM NFA 11/30/2010 28,827,047 18,418,152 10,408,895 236,37222 CREDIT SUISSE SECURITIES (USA) LLC FCM BD CBOT 11/30/2010 9,720,479,301 948,673,854 8,771,805,447 4,831,955

23 CROSSLAND LLC FCM CBOT 11/30/2010 11,145,751 5,978,517 5,167,234 84,35824 CUNNINGHAM COMMODITIES LLC FCM CBOT 11/30/2010 3,406,685 1,000,000 2,406,685 40,66425 CX CAPITAL MARKETS LLC FCM NFA 11/30/2010 2,337,692 1,000,000 1,337,692 23,69926 DAIWA CAPITAL MARKETS AMERICA INC FCM BD CME 11/30/2010 317,701,472 1,591,243 316,110,229 8,65827 DEUTSCHE BANK SECURITIES INC FCM BD CBOT 11/30/2010 5,849,451,098 583,555,861 5,265,895,237 12,453,55828 DORMAN TRADING LLC FCM CME 11/30/2010 7,482,221 1,000,000 6,482,221 97,74829 EAGLE MARKET MAKERS INC FCM CBOT 11/30/2010 6,337,883 1,000,000 5,337,883 4,09430 EASY FOREX US LTD FCM NFA 11/30/2010 2,827,538 1,000,000 1,827,538 31 ELECTRONIC BROKERAGE SYSTEMS LLC FCM BD NFA 11/30/2010 7,686,086 1,000,000 6,686,086 32 ENSKILDA FUTURES LTD FCM CME 11/30/2010 28,997,573 18,150,639 10,846,934 261,18933 FARR FINANCIAL INC FCM NFA 11/30/2010 1,875,500 1,000,000 875,500 42,33234 FCSTONE LLC FCM CME 11/30/2010 84,921,640 69,918,758 15,002,882 1,448,98135 FOREX CAPITAL MARKETS LLC RFED NFA 11/30/2010 43,161,405 26,381,765 16,779,640 36 FOREX CLUB FINANCIAL COMPANY INC RFED NFA 11/30/2010 20,419,739 20,000,000 419,739 37 FRIEDBERG MERCANTILE GROUP INC FCM NFA 11/30/2010 3,396,555 1,000,000 2,396,555 7,66638 FRONTIER FUTURES INC FCM NFA 11/30/2010 1,773,053 1,362,040 411,013 35,14539 FUTURES TECH LLC FCM NFA 11/30/2010 1,612,360 1,000,000 612,360 40 FX SOLUTIONS LLC RFED NFA 11/30/2010 40,515,513 20,616,421 19,899,092 41 FXDIRECTDEALER LLC RFED NFA 11/30/2010 26,237,585 21,596,406 4,641,179 42 GAIN CAPITAL GROUP LLC RFED NFA 11/30/2010 65,206,853 26,559,366 38,647,487 43 GLOBAL FUTURES & FOREX LTD RFED NFA 11/30/2010 77,435,995 24,003,971 53,432,024 377

Futures Commission Merchant / Retail Foreign Exchange 

Dealer
SELECTED FCM FINANCIAL DATA AS OF 

November 30, 2010

FROM REPORTS FILED BY 

December 31, 2010

Reg As DSRO A/O Adjusted Net Capital Excess Customers

Date Net Capital Requirement Net Capital Seg Require

4d(a)(2) 

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

Futures Commission Merchant / Retail Foreign Exchange 

Dealer

44 GOLDMAN SACHS & CO FCM BD CBOT 11/30/2010 10,110,875,947 2,023,068,240 8,087,807,707 19,606,32945 GOLDMAN SACHS EXECUTION & CLEARING LP FCM BD CME 11/30/2010 1,906,772,682 149,918,856 1,756,853,826 1,320,14746 HSBC SECURITIES USA INC FCM BD CME 11/30/2010 1,066,091,460 102,866,122 963,225,338 917,37047 ICAP FUTURES LLC FCM NFA 11/30/2010 8,268,893 1,000,000 7,268,893 48 IG MARKETS INC FCM NFA 11/30/2010 29,337,152 20,000,000 9,337,152 10049 IKON GLOBAL MARKETS INC FCM NFA 11/30/2010 22,218,079 1,000,000 21,218,079 13,76650 INSTINET LLC FCM BD NFA 11/30/2010 120,694,497 1,632,075 119,062,422 51 INSTITUTIONAL LIQUIDITY LLC FCM NFA 11/30/2010 21,106,091 20,000,000 1,106,091 52 INTEGRATED BROKERAGE SERVICES LLC FCM NFA 11/30/2010 1,808,153 1,000,000 808,153 53 INTERACTIVE BROKERS LLC FCM BD NFA 11/30/2010 1,136,603,024 143,141,000 993,462,024 621,41454 INTERBANK FX LLC RFED NFA 11/30/2010 26,846,244 21,178,451 5,667,793 55 IRONBEAM INC FCM NFA 11/30/2010 1,490,171 1,000,000 490,171 56 ITG DERIVATIVES LLC FCM BD NFA 11/30/2010 5,290,027 1,000,000 4,290,027 57 JP MORGAN CLEARING CORP FCM BD CME 11/30/2010 5,569,934,628 1,768,750,646 3,801,183,982 521,46258 JP MORGAN FUTURES INC FCM NYME 11/30/2010 2,404,988,236 1,251,019,613 1,153,968,623 15,651,21659 JP MORGAN SECURITIES LLC FCM BD NFA 11/30/2010 7,032,897,910 568,196,799 6,464,701,111 60 LEK SECURITIES CORPORATION FCM BD NFA 11/30/2010 10,539,278 1,500,000 9,039,278 21261 LIMESTONE TRADING LLC FCM NFA 11/30/2010 7,766,197 1,000,000 6,766,197 62 LINN GROUP THE FCM NFA 11/30/2010 2,512,478 1,020,021 1,492,457 35,76063 LPL FINANCIAL CORPORATION FCM BD NFA 11/30/2010 102,553,363 5,477,044 97,076,319 64 MACQUARIE FUTURES USA INC FCM CBOT 11/30/2010 125,979,977 57,222,420 68,757,557 867,48965 MAREX NORTH AMERICA LLC FCM NFA 11/30/2010 13,461,819 1,000,000 12,461,819 66 MAREX USA LIMITED FCM NFA 11/30/2010 2,987,963 1,000,000 1,987,963 67 MB TRADING FUTURES INC RFED NFA 11/30/2010 25,196,840 21,157,995 4,038,845 68 MBF CLEARING CORP FCM NYME 11/30/2010 11,069,726 1,087,284 9,982,442 78,37869 MCVEAN TRADING & INVESTMENTS LLC FCM NFA 11/30/2010 10,339,230 3,929,131 6,410,099 701,37670 MERRILL LYNCH PIERCE FENNER & SMITH FCM BD CBOT 11/30/2010 8,126,688,272 773,615,457 7,353,072,815 9,065,25971 MERRILL LYNCH PROFESSIONAL CLEARING CORP FCM BD NFA 11/30/2010 2,198,643,082 177,650,212 2,020,992,870 1,262,74472 MF GLOBAL INC FCM BD CME 11/30/2010 597,669,851 378,472,481 219,197,370 8,078,31473 MG FINANCIAL LLC FCM NFA 11/30/2010 4,523,002 1,000,000 3,523,002 74 MID CO COMMODITIES INC FCM NFA 11/30/2010 14,671,904 9,023,686 5,648,218 86,93675 MITSUBISHI UFJ SECURITIES USA INC FCM BD NFA 11/30/2010 89,118,233 1,515,619 87,602,614 76 MITSUI BUSSAN COMMODITIES USA INC FCM NFA 11/30/2010 9,336,423 1,000,000 8,336,423 77 MIZUHO SECURITIES USA INC FCM BD CME 11/30/2010 391,463,156 70,549,891 320,913,265 873,81878 MORGAN KEEGAN & COMPANY INC FCM BD NFA 11/30/2010 410,843,718 9,249,551 401,594,167 79 MORGAN STANLEY & CO INCORPORATED FCM BD CME 11/30/2010 8,476,866,179 1,157,617,541 7,319,248,638 4,550,51480 MORGAN STANLEY SMITH BARNEY LLC FCM BD NFA 11/30/2010 971,909,612 40,433,874 931,475,738 622,44681 NATIXIS SECURITIES NORTH AMERICA INC FCM BD NFA 11/30/2010 220,266,140 1,000,000 219,266,140 82 NEUBERGER BERMAN LLC FCM BD NFA 11/30/2010 102,381,214 1,500,000 100,881,214 83 NEWEDGE USA LLC FCM BD NYME 11/30/2010 2,248,730,419 1,393,498,825 855,231,594 20,731,54784 NOMURA SECURITIES INTERNATIONAL INC FCM BD CBOT 11/30/2010 1,071,505,822 23,546,785 1,047,959,037 92,07085 OANDA CORPORATION RFED NFA 11/30/2010 168,923,482 30,130,140 138,793,342 86 OPEN E CRY LLC FCM NFA 11/30/2010 3,168,097 1,000,000 2,168,097 84,460
SELECTED FCM FINANCIAL DATA AS OF 

November 30, 2010

FROM REPORTS FILED BY 

December 31, 2010

Reg As DSRO A/O Adjusted Net Capital Excess Customers

Date Net Capital Requirement Net Capital Seg Require

4d(a)(2) 

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

Futures Commission Merchant / Retail Foreign Exchange 

Dealer

87 OPPENHEIMER & CO INC FCM BD NFA 11/30/2010 153,521,392 24,406,018 129,115,374 21,79888 OPTIONSXPRESS INC FCM BD NFA 11/30/2010 79,508,609 10,463,995 69,044,614 89 PENSON FUTURES FCM CBOT 11/30/2010 28,403,078 24,645,282 3,757,796 694,30690 PEREGRINE FINANCIAL GROUP INC FCM NFA 11/30/2010 36,121,665 21,851,691 14,269,974 451,70391 PIONEER FUTURES INC FCM NFA 11/30/2010 2,283,292 1,000,000 1,283,292 92 PRUDENTIAL BACHE COMMODITIES LLC FCM CBOT 11/30/2010 230,979,000 184,980,560 45,998,440 2,824,55893 RAND FINANCIAL SERVICES INC FCM CME 11/30/2010 71,423,478 15,254,990 56,168,488 204,06894 RAYMOND JAMES & ASSOCIATES INC FCM BD NFA 11/30/2010 367,802,823 29,676,260 338,126,563 95 RBC CAPITAL MARKETS LLC FCM BD CME 11/30/2010 947,265,996 81,581,109 865,684,887 274,12796 RBS SECURITIES INC FCM BD CBOT 11/30/2010 1,478,729,000 193,793,000 1,284,936,000 1,729,41297 RJ OBRIEN ASSOCIATES LLC FCM CME 11/30/2010 155,708,731 107,076,985 48,631,746 2,339,84698 ROSENTHAL COLLINS GROUP LLC FCM CME 11/30/2010 66,782,357 49,207,541 17,574,816 1,460,03799 ROSENTHAL GLOBAL SECURITIES LLC FCM BD NFA 11/30/2010 11,212,798 1,000,000 10,212,798 

100 SANFORD C BERNSTEIN & CO LLC FCM BD NFA 11/30/2010 176,450,953 14,803,441 161,647,512 101 SANTANDER INVESTMENT SECURITIES INC FCM BD NFA 11/30/2010 77,845,498 9,685,209 68,160,289 319,584

102 SMW TRADING COMPANY INC FCM CME 11/30/2010 28,057,446 1,000,000 27,057,446 48103 STATE STREET GLOBAL MARKETS LLC FCM BD CME 11/30/2010 378,616,278 1,836,551 376,779,727 15,715104 STEPHENS FCM BD NFA 11/30/2010 72,433,479 11,743,315 60,690,164 105 STERLING COMMODITIES CORP FCM NYME 11/30/2010 8,093,060 2,383,816 5,709,244 59,594106 TCA FUTURES LLC FCM NFA 11/30/2010 1,619,990 1,000,000 619,990 107 TD AMERITRADE INC FCM BD NFA 11/30/2010 208,186,286 1,000,000 207,186,286 108 TENCO INC FCM CBOT 11/30/2010 54,842,134 14,010,619 40,831,515 335,380109 TIMBER HILL LLC FCM BD CME 11/30/2010 959,849,232 41,712,514 918,136,718 457,780110 TOWER RESEARCH CAPITAL EUROPE LLC FCM NFA 11/30/2010 5,243,674 1,000,000 4,243,674 111 TRADELINK LLC FCM BD CBOT 11/30/2010 20,616,486 1,000,000 19,616,486 112 TRADESTATION SECURITIES INC FCM BD NFA 11/30/2010 70,119,027 3,114,393 67,004,634 401,083113 TRADITION SECURITIES AND FUTURES INC FCM NFA 11/30/2010 1,560,510 1,000,000 560,510 114 TRILAND USA INC FCM NYME 11/30/2010 25,772,203 16,534,746 9,237,457 209,438115 UBS FINANCIAL SERVICES INC FCM BD NFA 11/30/2010 1,216,546,412 94,582,747 1,121,963,665 191,273116 UBS SECURITIES LLC FCM BD CBOT 11/30/2010 10,865,508,549 887,977,830 9,977,530,719 9,254,236117 VELOCITY FUTURES LLC FCM NFA 11/30/2010 1,677,601 1,000,000 677,601 59,555118 VISION FINANCIAL MARKETS LLC FCM BD CME 11/30/2010 21,914,757 10,526,858 11,387,899 343,700119 WELLS FARGO ADVISORS FINANCIAL NETWORK LLC FCM BD NFA 11/30/2010 32,586,825 4,331,091 28,255,734 120 WELLS FARGO ADVISORS LLC FCM BD NFA 11/30/2010 684,883,259 1,500,000 683,383,259 121 WELLS FARGO SECURITIES LLC FCM BD CME 11/30/2010 1,142,919,197 12,267,481 1,130,651,716 122 WHITE COMMERCIAL CORPORATION FCM NFA 11/30/2010 2,797,609 1,000,000 1,797,609 123 WSD FINANCIAL USA INC FCM NFA 11/30/2010 1,501,427 1,000,000 501,427 124 YORK BUSINESS ASSOCIATES LLC FCM NFA 11/30/2010 2,619,939 1,000,000 1,619,939 67,059

Totals 148,865,958
SELECTED FCM FINANCIAL DATA AS OF 

November 30, 2010

FROM REPORTS FILED BY 

December 31, 2010

Reg As DSRO A/O Adjusted Net Capital Excess Customers

Date Net Capital Requirement Net Capital Seg Require

4d(a)(2) 

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

Futures Commission Merchant / Retail Foreign Exchange 

Dealer

October Web Page Update 126Additions 1MAREX NORTH AMERICA LLCDeletions 3ADVANTAGE SECURITIES LLCGENESIS FUTURES LLCTERRA NOVA FINANCIAL LLCName ChangePENSON GHCO to PENSON FUTURESRBC CAPITAL MARKETS CORPORATION to RBC CAPITAL MARKETS LLCNovember Web Page Update 124*Allianz Global Investors Distributors LLC files financial statements quarterly.(d): Excess net capital is adjusted net capital, less the firm's net capital requirement.(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. (b): DSRO: Designated Self-Regulatory Organization. 

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

• minimum dollar amount for FCM’s offering or engaged in retail forex transactions and RFEDs ($20,000,000); or• for securities brokers and dealers, the amount of net capital required by Rule 15c3-1(a) of the Securities and Exchange Commission; or 

 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.

• the amount of capital required by a registered futures association (currently NFA is the only such association); 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 

(a): FCM: Futures Commission Merchant 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 transaaccounts that contain a net liquidating equity.(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 infor the realized and unrealized net profit or loss.(c): A firm's net capital requirement is the greater of : 
SELECTED FCM FINANCIAL DATA AS OF 

November 30, 2010

FROM REPORTS FILED BY 

December 31, 2010

Reg As DSRO A/O Adjusted Net Capital Excess Customers

Date Net Capital Requirement Net Capital Seg Require

4d(a)(2) 

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

Futures Commission Merchant / Retail Foreign Exchange 

Dealer

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: ccomfranklin@cftc.gov.