SELECTED FCM FINANCIAL DATA AS OF 

May 31, 2009

FROM REPORTS FILED BY 

June 30, 2009

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

Futures Commission Merchant Date Net Capital Requirement Net Capital 

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

1 3DFOREX LLC N NFA 05/31/2009 8,925,339 500,000 8,425,339 2 ACM USA LLC N NFA 05/31/2009 783,708 500,000 283,708 3 ADM INVESTOR SERVICES INC N CBOT 05/31/2009 154,751,903 86,580,017 68,171,886 

4 ADVANCED MARKETS LLC N NFA 05/31/2009 20,722,551 20,000,000 722,551 5 ADVANTAGE FUTURES LLC N CME 05/29/2009 15,022,310 6,065,108 8,957,202 

6 AIG CLEARING CORPORATION N NYME 05/31/2009 203,070,172 1,106,944 201,963,228 7 ALARON TRADING CORPORATION N NFA 05/31/2009 1,221,287 500,000 721,287 8 ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC * Y NFA 03/31/2009 23,585,672 5,484,657 18,101,015 9 ALPARI (US) LLC N NFA 05/31/2009 22,312,195 20,000,000 2,312,195 

10 AMERIPRISE ADVISOR SERVICES INC Y NFA 05/31/2009 83,376,315 5,559,875 77,816,440 11 BANC OF AMERICA SECURITIES LLC Y CME 05/29/2009 2,977,644,479 65,378,832 2,912,265,647 

12 BARCLAYS CAPITAL INC Y NYME 05/31/2009 5,253,292,694 514,842,467 4,738,450,227 13 BGC FINANCIAL LP Y NFA 05/31/2009 58,994,624 500,000 58,494,624 14 BNP PARIBAS COMMODITY FUTURES INC N NYME 05/29/2009 284,707,523 229,973,534 54,733,989 15 BNP PARIBAS SECURITIES CORP Y CBOT 05/31/2009 1,341,786,177 48,812,840 1,292,973,337 

16 CADENT FINANCIAL SERVICES LLC N CME 05/31/2009 4,065,233 3,749,802 315,431 

17 CANTOR FITZGERALD & CO Y CBOT 05/31/2009 241,898,828 7,096,915 234,801,913 18 CAPITAL MARKET SERVICES LLC N NFA 05/31/2009 29,788,506 20,000,000 9,788,506 

19 CIBC WORLD MARKETS CORP Y CME 05/29/2009 1,194,278,819 11,005,352 1,183,273,467 

20 CITIGROUP GLOBAL MARKETS INC Y CBOT 05/29/2009 6,620,694,300 792,401,778 5,828,292,522 21 COMMONWEALTH FOREIGN EXCHANGE INC N NFA 05/31/2009 814,760 500,000 314,760 22 COUNTRY HEDGING INC N NFA 05/31/2009 14,301,081 8,691,474 5,609,607 

23 CREDIT SUISSE SECURITIES (USA) LLC Y CBOT 05/31/2009 13,765,245,488 591,068,687 13,174,176,801 24 CROSSLAND LLC N CBOT 05/31/2009 3,737,854 2,886,382 851,472 25 CUNNINGHAM COMMODITIES LLC N CBOT 05/31/2009 3,548,604 501,441 3,047,163 26 CX CAPITAL MARKETS LLC N NFA 05/31/2009 812,707 500,000 312,707 27 DAIWA SECURITIES AMERICA INC Y CME 05/31/2009 241,063,400 1,670,205 239,393,195 28 DEUTSCHE BANK SECURITIES INC Y CBOT 05/29/2009 6,808,268,129 430,139,594 6,378,128,535 

29 DORMAN TRADING LLC N CME 05/31/2009 7,990,678 837,014 7,153,664 30 EAGLE MARKET MAKERS INC N CBOT 05/31/2009 6,272,630 500,000 5,772,630 

31 EASY FOREX US LTD N NFA 05/31/2009 20,928,968 20,000,000 928,968 32 ELECTRONIC BROKERAGE SYSTEMS LLC Y NFA 05/31/2009 7,090,657 674,971 6,415,686 33 ENSKILDA FUTURES LTD N CME 05/31/2009 25,779,268 10,678,963 15,100,305 

34 FARR FINANCIAL INC N NFA 05/31/2009 904,856 546,491 358,365 35 FCSTONE LLC N CME 05/31/2009 59,481,852 41,135,485 18,346,367 36 FOREX CAPITAL MARKETS LLC N NFA 05/31/2009 63,999,806 20,000,000 43,999,806 

37 FOREX CLUB FINANCIAL COMPANY INC N NFA 05/31/2009 25,427,601 20,000,000 5,427,601 38 FORTIS CLEARING AMERICAS LLC Y CBOT 05/31/2009 185,299,415 65,022,468 120,276,947 

39 FRIEDBERG MERCANTILE GROUP INC N NFA 05/29/2009 3,358,273 500,000 2,858,273 40 FRONTIER FUTURES INC N NFA 05/31/2009 1,088,860 776,188 312,672 41 FUTURES TECH LLC N NFA 05/31/2009 827,038 500,000 327,038 
SELECTED FCM FINANCIAL DATA AS OF 

May 31, 2009

FROM REPORTS FILED BY 

June 30, 2009

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

Futures Commission Merchant Date Net Capital Requirement Net Capital 

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

42 FX SOLUTIONS LLC N NFA 05/31/2009 48,262,204 20,000,000 28,262,204 43 GAIN CAPITAL GROUP LLC N NFA 05/31/2009 98,125,651 20,000,000 78,125,651 44 GFS FOREX & FUTURES INC N NFA 05/31/2009 4,275,656 500,000 3,775,656 45 GILDER GAGNON HOWE & CO LLC Y NFA 05/31/2009 15,832,999 500,000 15,332,999 46 GLOBAL FUTURES & FOREX LTD N NFA 05/31/2009 79,368,858 20,000,000 59,368,858 

47 GOLDMAN SACHS & CO Y CBOT 05/29/2009 14,305,722,863 1,727,398,559 12,578,324,304 

48 GOLDMAN SACHS EXECUTION & CLEARING LP Y CME 05/29/2009 1,888,916,530 101,578,029 1,787,338,501 49 HOTSPOT FXR LLC N NFA 05/31/2009 5,948,244 500,000 5,448,244 50 HSBC SECURITIES USA INC Y CME 05/29/2009 1,418,027,182 79,879,562 1,338,147,620 

51 I TRADE FX LLC N NFA 05/31/2009 15,189,231 500,000 14,689,231 52 ICAP FUTURES LLC N NFA 05/29/2009 4,795,639 500,000 4,295,639 53 IG MARKETS INC N NFA 05/31/2009 31,489,024 20,000,000 11,489,024 54 IKON GLOBAL MARKETS INC N NFA 05/31/2009 21,247,886 20,000,000 1,247,886 55 INSTINET LLC Y NFA 05/31/2009 115,092,101 1,554,076 113,538,025 56 INTEGRATED BROKERAGE SERVICES LLC N NFA 05/31/2009 1,955,339 500,000 1,455,339 57 INTERACTIVE BROKERS LLC Y NFA 05/31/2009 691,880,346 60,355,771 631,524,575 58 INTERBANK FX LLC N NFA 05/31/2009 35,611,164 20,000,000 15,611,164 59 ITG DERIVATIVES LLC Y NFA 05/31/2009 2,639,778 500,000 2,139,778 60 JP MORGAN CLEARING CORP Y CME 05/31/2009 4,833,699,167 1,432,037,614 3,401,661,553 61 JP MORGAN FUTURES INC N NYME 05/31/2009 2,179,674,037 1,233,011,650 946,662,387 

62 JP MORGAN SECURITIES INC Y NFA 05/31/2009 7,106,389,712 577,123,239 6,529,266,473 63 LADENBURG THALMANN & CO INC Y NFA 05/31/2009 2,447,700 500,000 1,947,700 64 LEK SECURITIES CORPORATION Y NFA 05/29/2009 13,320,067 1,500,000 11,820,067 

65 LIMESTONE TRADING LLC N NFA 05/31/2009 15,852,483 500,000 15,352,483 66 LINN GROUP THE N NFA 05/31/2009 2,225,217 500,000 1,725,217 

67 LPL FINANCIAL CORPORATION Y NFA 05/31/2009 112,163,056 6,102,677 106,060,379 68 MACQUARIE FUTURES USA INC N CBOT 05/31/2009 46,723,028 29,041,095 17,681,933 

69 MAREX USA LIMITED N NFA 05/31/2009 1,008,033 500,000 508,033 

70 MB TRADING FUTURES INC N NFA 05/31/2009 21,360,551 20,000,000 1,360,551 71 MBF CLEARING CORP N NYME 05/31/2009 24,939,899 2,974,916 21,964,983 

72 MCVEAN TRADING & INVESTMENTS LLC N NFA 05/31/2009 7,639,193 2,774,331 4,864,862 73 MERRILL LYNCH PIERCE FENNER & SMITH Y CBOT 05/31/2009 4,949,911,950 634,150,291 4,315,761,659 74 MERRILL LYNCH PROFESSIONAL CLEARING CORP Y NFA 05/31/2009 1,454,725,590 97,386,679 1,357,338,911 

75 MF GLOBAL INC Y CME 05/31/2009 546,577,221 352,121,581 194,455,640 76 MG FINANCIAL LLC N NFA 05/31/2009 5,082,313 500,000 4,582,313 77 MID CO COMMODITIES INC N NFA 05/31/2009 11,256,105 2,782,460 8,473,645 78 MITSUBISHI UFJ SECURITIES USA INC Y NFA 05/29/2009 69,139,423 1,375,990 67,763,433 

79 MITSUI BUSSAN COMMODITIES USA INC N NYME 05/31/2009 7,356,952 2,724,941 4,632,011 80 MIZUHO SECURITIES USA INC Y CME 05/29/2009 315,009,570 48,530,703 266,478,867 

81 MORGAN KEEGAN & COMPANY INC Y NFA 05/31/2009 343,454,901 9,941,954 333,512,947 82 MORGAN STANLEY & CO INCORPORATED Y CME 05/29/2009 11,198,785,593 958,278,843 10,240,506,750 83 MORGAN STANLEY SMITH BARNEY LLC Y NFA 05/31/2009 303,362,303 500,000 302,862,303 
SELECTED FCM FINANCIAL DATA AS OF 

May 31, 2009

FROM REPORTS FILED BY 

June 30, 2009

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

Futures Commission Merchant Date Net Capital Requirement Net Capital 

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

84 NATIXIS SECURITIES NORTH AMERICA INC Y NFA 05/29/2009 207,394,820 500,000 206,894,820 

85 NEUBERGER BERMAN LLC Y NFA 05/31/2009 43,762,641 1,500,000 42,262,641 

86 NEWEDGE USA LLC Y NYME 05/31/2009 2,420,634,369 1,516,838,368 903,796,001 

87 NOMURA SECURITIES INTERNATIONAL INC Y CBOT 05/31/2009 1,134,665,718 5,834,210 1,128,831,508 

88 OANDA CORPORATION N NFA 05/31/2009 159,062,073 20,000,000 139,062,073 89 ODL SECURITIES INC N NFA 05/31/2009 3,260,017 1,000,000 2,260,017 

90 OPEN E CRY LLC N NFA 05/31/2009 2,739,917 827,546 1,912,371 

91 OPPENHEIMER & CO INC Y NFA 05/29/2009 188,145,685 18,148,253 169,997,432 

92 OPTIONSXPRESS INC Y NFA 05/31/2009 81,353,587 5,865,811 75,487,776 93 PENSON GHCO N CBOT 05/31/2009 18,893,187 15,609,142 3,284,045 94 PEREGRINE FINANCIAL GROUP INC N NFA 05/31/2009 36,465,727 20,000,000 16,465,727 95 PIONEER FUTURES INC N NYME 05/31/2009 1,352,018 500,000 852,018 96 PRUDENTIAL BACHE COMMODITIES LLC N CBOT 05/31/2009 236,565,000 170,981,800 65,583,200 97 PUMA FINANCIAL LLC N NFA 05/29/2009 1,166,356 750,000 416,356 

98 RAND FINANCIAL SERVICES INC N CME 05/31/2009 57,689,614 8,195,382 49,494,232 

99 RAYMOND JAMES & ASSOCIATES INC Y NFA 05/31/2009 293,850,478 23,862,647 269,987,831 

100 RBC CAPITAL MARKETS CORPORATION Y CME 05/29/2009 1,152,248,353 111,173,158 1,041,075,195 

101 RBS SECURITIES INC Y CBOT 05/31/2009 2,183,855,000 162,316,000 2,021,539,000 

102 RJ OBRIEN ASSOCIATES LLC N CME 05/31/2009 116,167,924 66,616,751 49,551,173 103 ROBBINS FUTURES INC N NFA 05/31/2009 594,913 500,000 94,913 104 ROSENTHAL COLLINS GROUP LLC N CME 05/31/2009 61,842,272 33,497,321 28,344,951 105 ROSENTHAL GLOBAL SECURITIES LLC Y NFA 05/31/2009 27,278,067 663,398 26,614,669 106 SANFORD C BERNSTEIN & CO LLC Y NFA 05/29/2009 139,865,742 8,836,416 131,029,326 107 SANTANDER INVESTMENT SECURITIES INC Y NFA 05/31/2009 76,050,266 602,712 75,447,554 108 SHAY GRAIN CLEARING COMPANY N KCBT 05/31/2009 2,559,204 587,816 1,971,388 109 SMW TRADING COMPANY INC N CME 05/31/2009 35,091,412 500,000 34,591,412 

110 STEPHENS INC Y NFA 05/29/2009 58,809,340 9,947,235 48,862,105 111 STERLING COMMODITIES CORP N NYME 05/31/2009 8,568,037 884,767 7,683,270 112 TCA FUTURES LLC N NFA 05/31/2009 887,533 500,000 387,533 113 TD AMERITRADE INC Y NFA 05/31/2009 175,995,610 500,000 175,495,610 114 TENCO INC N CBOT 05/31/2009 45,080,000 8,644,243 36,435,757 

115 TERRA NOVA FINANCIAL LLC Y NFA 05/29/2009 12,367,383 1,500,000 10,867,383 116 TIMBER HILL LLC Y CME 05/31/2009 1,166,584,525 17,716,574 1,148,867,951 

117 TOWER RESEARCH CAPITAL EUROPE LLC N NFA 05/31/2009 3,908,233 500,000 3,408,233 118 TRADELINK LLC Y CBOT 05/31/2009 28,125,662 500,000 27,625,662 119 TRADESTATION SECURITIES INC Y NFA 05/31/2009 91,306,530 1,368,695 89,937,835 

120 TRADITION SECURITIES AND FUTURES INC N NFA 05/31/2009 811,404 500,000 311,404 

121 TRANSMARKET GROUP LLC Y CBOT 05/31/2009 9,314,571 500,000 8,814,571 122 TRILAND USA INC N NYME 05/31/2009 41,360,554 20,652,900 20,707,654 

123 UBS FINANCIAL SERVICES INC Y NFA 05/31/2009 1,092,100,428 87,325,079 1,004,775,349 124 UBS SECURITIES LLC Y CBOT 05/29/2009 12,869,846,649 1,027,998,206 11,841,848,443 125 VELOCITY FUTURES LLC N NFA 05/31/2009 1,043,033 500,000 543,033 
SELECTED FCM FINANCIAL DATA AS OF 

May 31, 2009

FROM REPORTS FILED BY 

June 30, 2009

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

Futures Commission Merchant Date Net Capital Requirement Net Capital 

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

126 VISION FINANCIAL MARKETS LLC Y CME 05/31/2009 20,300,162 5,647,347 14,652,815 127 WACHOVIA CAPITAL MARKETS LLC Y CME 05/31/2009 2,049,826,060 1,072,466 2,048,753,594 

128 WELLS FARGO ADVISORS FINANCIAL NETWORK LLC Y NFA 05/31/2009 22,213,752 1,981,825 20,231,927 129 WELLS FARGO ADVISORS LLC Y NFA 05/31/2009 654,286,643 1,500,000 652,786,643 130 WHITE COMMERCIAL CORPORATION N NFA 05/31/2009 2,244,605 500,000 1,744,605 131 WSD FINANCIAL USA INC N NFA 05/31/2009 1,261,688 500,000 761,688 132 YORK BUSINESS ASSOCIATES LLC N NFA 05/31/2009 1,363,750 500,000 863,750 

Totals 
SELECTED FCM FINANCIAL DATA AS OF 

May 31, 2009

FROM REPORTS FILED BY 

June 30, 2009

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

Futures Commission Merchant Date Net Capital Requirement Net Capital 

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

APRIL WEB PAGE UPDATE 131Additions 2MITSUBISHI UFJ SECURITIES USA INCMORGAN STANLEY SMITH BARNEY LLCDeletions 1GELBER GROUP LLCName ChangeFROM WACHOVIA SECURITIES FINANCIAL NETWORK LLC TO WELLS FARGO ADVISORS FINANCIAL NETWORK LLCFROM WACHOVIA SECURITIES LLC TO WELLS FARGO ADVISORS LLCMAY WEB PAGE UPDATE 132*Allianz Global Investors Distributors 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); or
SELECTED FCM FINANCIAL DATA AS OF 

May 31, 2009

FROM REPORTS FILED BY 

June 30, 2009

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

Futures Commission Merchant Date Net Capital Requirement Net Capital 

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

(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.(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, fzimmerle@cftc.gov.