SELECTED FCM FINANCIAL DATA AS OF 

August 31, 2009

FROM REPORTS FILED BY 

September 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 08/31/2009 3,142,269 500,000 2,642,269 2 ACM USA LLC N NFA 08/31/2009 770,704 500,000 270,704 3 ADM INVESTOR SERVICES INC N CBOT 08/31/2009 163,136,302 85,418,810 77,717,492 

4 ADVANCED MARKETS LLC N NFA 08/31/2009 20,650,540 20,000,000 650,540 5 ADVANTAGE FUTURES LLC N CME 08/31/2009 13,234,002 6,836,007 6,397,995 

6 AIG CLEARING CORPORATION N NYME 08/31/2009 221,549,640 938,275 220,611,365 7 ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC* Y NFA 06/30/2009 20,380,910 6,459,884 13,921,026 8 ALPARI (US) LLC N NFA 08/31/2009 21,409,108 20,000,000 1,409,108 9 AMERIPRISE ADVISOR SERVICES INC Y NFA 08/31/2009 72,009,927 6,079,156 65,930,771 

10 BANC OF AMERICA SECURITIES LLC Y CME 08/31/2009 3,396,757,436 96,617,220 3,300,140,216 

11 BARCLAYS CAPITAL INC Y NYME 08/31/2009 6,604,274,370 508,741,512 6,095,532,858 12 BGC FINANCIAL LP Y NFA 08/31/2009 34,564,868 500,000 34,064,868 13 BNP PARIBAS COMMODITY FUTURES INC N NYME 08/31/2009 267,066,857 198,293,299 68,773,558 14 BNP PARIBAS SECURITIES CORP Y CBOT 08/31/2009 1,344,501,635 87,926,274 1,256,575,361 

15 CADENT FINANCIAL SERVICES LLC N CME 08/31/2009 2,526,488 1,820,835 705,653 

16 CANTOR FITZGERALD & CO Y CBOT 08/31/2009 180,479,545 2,033,037 178,446,508 17 CAPITAL MARKET SERVICES LLC N NFA 08/31/2009 25,428,571 20,000,000 5,428,571 

18 CIBC WORLD MARKETS CORP Y CME 08/31/2009 1,333,036,971 1,500,000 1,331,536,971 

19 CITADEL SECURITIES LLC Y CME 08/31/2009 470,217,839 1,000,000 469,217,839 

20 CITIGROUP GLOBAL MARKETS INC Y CBOT 08/31/2009 9,269,113,597 749,376,063 8,519,737,534 21 COMMONWEALTH FOREIGN EXCHANGE INC N NFA 08/31/2009 807,045 500,000 307,045 22 COMPASS PROFESSIONAL SERVICES LLC Y NFA 08/31/2009 3,047,100 500,000 2,547,100 23 COUNTRY HEDGING INC N NFA 08/31/2009 13,284,912 7,244,512 6,040,400 24 CREDIT SUISSE SECURITIES (USA) LLC Y CBOT 08/31/2009 8,745,448,179 638,901,045 8,106,547,134 25 CROSSLAND LLC N CBOT 08/31/2009 5,883,412 5,086,286 797,126 26 CUNNINGHAM COMMODITIES LLC N CBOT 08/31/2009 3,297,456 638,868 2,658,588 27 CX CAPITAL MARKETS LLC N NFA 08/31/2009 772,735 500,000 272,735 28 DAIWA SECURITIES AMERICA INC Y CME 08/31/2009 262,918,389 1,000,000 261,918,389 29 DEUTSCHE BANK SECURITIES INC Y CBOT 08/31/2009 7,404,705,174 443,484,411 6,961,220,763 

30 DORMAN TRADING LLC N CME 08/31/2009 7,885,094 856,594 7,028,500 

31 EAGLE MARKET MAKERS INC N CBOT 08/31/2009 5,252,334 500,000 4,752,334 32 EASY FOREX US LTD N NFA 08/31/2009 20,490,925 20,000,000 490,925 33 ELECTRONIC BROKERAGE SYSTEMS LLC Y NFA 08/31/2009 9,268,536 500,000 8,768,536 34 ENSKILDA FUTURES LTD N CME 08/31/2009 23,506,396 13,404,170 10,102,226 

35 FARR FINANCIAL INC N NFA 08/31/2009 922,411 548,551 373,860 36 FCSTONE LLC N CME 08/31/2009 63,102,331 36,390,702 26,711,629 37 FOREX CAPITAL MARKETS LLC N NFA 08/31/2009 67,728,355 20,000,000 47,728,355 

38 FOREX CLUB FINANCIAL COMPANY INC N NFA 08/31/2009 24,664,036 20,000,000 4,664,036 39 FORTIS CLEARING AMERICAS LLC Y CBOT 08/31/2009 202,475,796 48,464,516 154,011,280 

40 FRIEDBERG MERCANTILE GROUP INC N NFA 08/31/2009 3,368,741 500,000 2,868,741 41 FRONTIER FUTURES INC N NFA 08/31/2009 1,167,919 703,642 464,277 
SELECTED FCM FINANCIAL DATA AS OF 

August 31, 2009

FROM REPORTS FILED BY 

September 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 FUTURES TECH LLC N NFA 08/31/2009 862,393 500,000 362,393 43 FX SOLUTIONS LLC N NFA 08/31/2009 45,800,258 20,000,000 25,800,258 44 GAIN CAPITAL GROUP LLC N NFA 08/31/2009 81,436,967 20,000,000 61,436,967 45 GENESIS FUTURES LLC N NFA 08/31/2009 762,717 500,000 262,717 46 GFS FOREX & FUTURES INC N NFA 08/31/2009 3,531,116 500,000 3,031,116 47 GILDER GAGNON HOWE & CO LLC Y NFA 08/31/2009 17,467,343 500,000 16,967,343 48 GLOBAL FUTURES & FOREX LTD N NFA 08/31/2009 76,429,474 20,000,000 56,429,474 

49 GOLDMAN SACHS & CO Y CBOT 08/28/2009 14,170,276,406 1,871,832,523 12,298,443,883 

50 GOLDMAN SACHS EXECUTION & CLEARING LP Y CME 08/28/2009 1,935,210,696 110,613,016 1,824,597,680 51 HOTSPOT FXR LLC N NFA 08/31/2009 6,350,154 500,000 5,850,154 52 HSBC SECURITIES USA INC Y CME 08/31/2009 1,455,007,379 73,576,879 1,381,430,500 

53 I TRADE FX LLC N NFA 08/31/2009 348,228 500,000 -151,772 54 ICAP FUTURES LLC N NFA 08/31/2009 14,203,906 500,000 13,703,906 55 IG MARKETS INC N NFA 08/31/2009 30,982,387 20,000,000 10,982,387 56 IKON GLOBAL MARKETS INC N NFA 08/31/2009 21,226,238 20,000,000 1,226,238 

57 INSTINET LLC Y NFA 08/31/2009 119,967,127 1,602,952 118,364,175 58 INTEGRATED BROKERAGE SERVICES LLC N NFA 08/31/2009 1,300,913 500,000 800,913 59 INTERACTIVE BROKERS LLC Y NFA 08/31/2009 720,687,742 70,094,010 650,593,732 60 INTERBANK FX LLC N NFA 08/31/2009 35,064,682 20,000,000 15,064,682 61 ITG DERIVATIVES LLC Y NFA 08/31/2009 3,050,727 607,765 2,442,962 62 JP MORGAN CLEARING CORP Y CME 08/31/2009 5,398,337,223 1,489,324,827 3,909,012,396 63 JP MORGAN FUTURES INC N NYME 08/31/2009 2,196,103,038 1,045,010,462 1,151,092,576 

64 JP MORGAN SECURITIES INC Y NFA 08/31/2009 8,952,226,063 561,293,575 8,390,932,488 65 LADENBURG THALMANN & CO INC Y NFA 08/31/2009 1,363,905 500,000 863,905 66 LEK SECURITIES CORPORATION Y NFA 08/31/2009 11,957,071 1,500,000 10,457,071 

67 LIMESTONE TRADING LLC N NFA 08/31/2009 15,931,255 500,000 15,431,255 68 LINN GROUP THE N NFA 08/31/2009 2,431,631 608,363 1,823,268 

69 LPL FINANCIAL CORPORATION Y NFA 08/31/2009 133,527,735 5,768,338 127,759,397 70 MACQUARIE FUTURES USA INC N CBOT 08/31/2009 70,665,037 40,279,265 30,385,772 

71 MAREX USA LIMITED N NFA 08/31/2009 839,075 500,000 339,075 

72 MB TRADING FUTURES INC N NFA 08/31/2009 21,990,965 20,000,000 1,990,965 73 MBF CLEARING CORP N NYME 08/31/2009 11,068,838 2,013,155 9,055,683 

74 MCVEAN TRADING & INVESTMENTS LLC N NFA 08/31/2009 7,803,616 2,052,642 5,750,974 75 MERRILL LYNCH PIERCE FENNER & SMITH Y CBOT 08/31/2009 5,184,465,139 630,045,844 4,554,419,295 

76 MERRILL LYNCH PROFESSIONAL CLEARING CORP Y NFA 08/31/2009 1,405,474,313 98,270,428 1,307,203,885 77 MF GLOBAL INC Y CME 08/31/2009 589,104,997 353,785,396 235,319,601 78 MG FINANCIAL LLC N NFA 08/31/2009 5,010,681 500,000 4,510,681 79 MID CO COMMODITIES INC N NFA 08/31/2009 11,154,988 2,274,174 8,880,814 80 MITSUBISHI UFJ SECURITIES USA INC Y NFA 08/31/2009 76,589,705 1,030,142 75,559,563 

81 MITSUI BUSSAN COMMODITIES USA INC N NYME 08/31/2009 7,439,391 2,294,255 5,145,136 82 MIZUHO SECURITIES USA INC Y CME 08/31/2009 319,454,943 44,891,981 274,562,962 

83 MORGAN KEEGAN & COMPANY INC Y NFA 08/31/2009 359,766,301 9,145,496 350,620,805 
SELECTED FCM FINANCIAL DATA AS OF 

August 31, 2009

FROM REPORTS FILED BY 

September 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 MORGAN STANLEY & CO INCORPORATED Y CME 08/31/2009 10,022,172,589 1,029,351,352 8,992,821,237 85 MORGAN STANLEY SMITH BARNEY LLC Y NFA 08/31/2009 402,379,429 500,000 401,879,429 86 NATIXIS SECURITIES NORTH AMERICA INC Y NFA 08/31/2009 216,972,828 500,000 216,472,828 

87 NEUBERGER BERMAN LLC Y NFA 08/31/2009 67,880,403 1,500,000 66,380,403 

88 NEWEDGE USA LLC Y NYME 08/31/2009 2,419,510,957 1,265,135,954 1,154,375,003 

89 NOMURA SECURITIES INTERNATIONAL INC Y CBOT 08/31/2009 1,076,979,661 1,882,581 1,075,097,080 

90 OANDA CORPORATION N NFA 08/31/2009 162,306,790 20,000,000 142,306,790 91 OPEN E CRY LLC N NFA 08/31/2009 2,814,766 737,421 2,077,345 

92 OPPENHEIMER & CO INC Y NFA 08/31/2009 169,285,224 19,912,700 149,372,524 

93 OPTIONSXPRESS INC Y NFA 08/31/2009 84,342,894 13,589,616 70,753,278 94 PENSON GHCO N CBOT 08/31/2009 19,637,862 13,676,610 5,961,252 95 PEREGRINE FINANCIAL GROUP INC N NFA 08/31/2009 33,291,134 20,000,000 13,291,134 96 PIONEER FUTURES INC N NYME 08/31/2009 1,266,331 500,000 766,331 97 PRUDENTIAL BACHE COMMODITIES LLC N CBOT 08/31/2009 231,435,000 176,912,200 54,522,800 98 RAND FINANCIAL SERVICES INC N CME 08/31/2009 57,583,869 8,394,920 49,188,949 99 RAYMOND JAMES & ASSOCIATES INC Y NFA 08/31/2009 326,596,275 25,469,508 301,126,767 

100 RBC CAPITAL MARKETS CORPORATION Y CME 08/31/2009 1,098,374,280 106,881,781 991,492,499 

101 RBS SECURITIES INC Y CBOT 08/31/2009 1,996,270,722 175,735,000 1,820,535,722 

102 RJ OBRIEN ASSOCIATES LLC N CME 08/31/2009 112,500,433 61,768,993 50,731,440 103 ROBBINS FUTURES INC N NFA 08/31/2009 593,914 500,000 93,914 104 ROSENTHAL COLLINS GROUP LLC N CME 08/31/2009 60,006,754 31,432,238 28,574,516 105 ROSENTHAL GLOBAL SECURITIES LLC Y NFA 08/31/2009 6,383,483 881,114 5,502,369 106 SANFORD C BERNSTEIN & CO LLC Y NFA 08/31/2009 135,709,729 10,209,033 125,500,696 107 SANTANDER INVESTMENT SECURITIES INC Y NFA 08/31/2009 83,608,331 862,557 82,745,774 108 SHAY GRAIN CLEARING COMPANY N KCBT 08/31/2009 2,576,852 500,000 2,076,852 109 SMW TRADING COMPANY INC N CME 08/31/2009 32,899,959 500,000 32,399,959 

110 STEPHENS INC Y NFA 08/31/2009 50,140,477 11,824,624 38,315,853 111 STERLING COMMODITIES CORP N NYME 08/31/2009 8,532,906 500,000 8,032,906 112 TCA FUTURES LLC N NFA 08/31/2009 825,232 500,000 325,232 113 TD AMERITRADE INC Y NFA 08/31/2009 194,001,715 500,000 193,501,715 114 TENCO INC N CBOT 08/31/2009 46,385,668 7,164,553 39,221,115 

115 TERRA NOVA FINANCIAL LLC Y NFA 08/31/2009 11,520,314 1,500,000 10,020,314 116 TIMBER HILL LLC Y CME 08/31/2009 1,210,682,804 19,869,018 1,190,813,786 

117 TOWER RESEARCH CAPITAL EUROPE LLC N NFA 08/31/2009 2,717,615 500,000 2,217,615 118 TRADELINK LLC Y CBOT 08/31/2009 25,252,884 516,849 24,736,035 119 TRADESTATION SECURITIES INC Y NFA 08/31/2009 93,111,559 1,721,631 91,389,928 

120 TRADITION SECURITIES AND FUTURES INC N NFA 08/31/2009 796,198 500,000 296,198 

121 TRANSMARKET GROUP LLC Y CBOT 08/31/2009 14,012,522 500,000 13,512,522 122 TRILAND USA INC N NYME 08/31/2009 38,233,470 10,776,466 27,457,004 

123 UBS FINANCIAL SERVICES INC Y NFA 08/31/2009 891,265,650 93,029,521 798,236,129 124 UBS SECURITIES LLC Y CBOT 08/31/2009 13,194,590,871 939,873,793 12,254,717,078 

125 VELOCITY FUTURES LLC N NFA 08/31/2009 1,103,689 500,000 603,689 
SELECTED FCM FINANCIAL DATA AS OF 

August 31, 2009

FROM REPORTS FILED BY 

September 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 08/31/2009 22,611,485 6,685,777 15,925,708 127 WELLS FARGO ADVISORS FINANCIAL NETWORK LLC Y NFA 08/31/2009 16,006,880 2,264,586 13,742,294 128 WELLS FARGO ADVISORS LLC Y NFA 08/31/2009 743,193,257 1,500,000 741,693,257 129 WELLS FARGO SECURITIES LLC Y CME 08/31/2009 2,304,570,145 1,066,062 2,303,504,083 130 WHITE COMMERCIAL CORPORATION N NFA 08/31/2009 2,302,365 500,000 1,802,365 131 WSD FINANCIAL USA INC N NFA 08/31/2009 1,247,827 500,000 747,827 132 YORK BUSINESS ASSOCIATES LLC N NFA 08/31/2009 1,607,169 500,000 1,107,169 

Totals 
SELECTED FCM FINANCIAL DATA AS OF 

August 31, 2009

FROM REPORTS FILED BY 

September 30, 2009

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

Futures Commission Merchant Date Net Capital Requirement Net Capital 

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

July Web Page Update 132Additions 2CITADEL SECURITIES LLCCOMPASS PROFESSIONAL SERVICES LLCDeletions 2ALARON TRADING CORPORATIONPUMA FINANCIAL LLCName ChangeNoneAugust 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);(4) for securities brokers and dealers, the amount of net capital required by Rule 15c3-1(a) of the Securities and Exchange Commission.
SELECTED FCM FINANCIAL DATA AS OF 

August 31, 2009

FROM REPORTS FILED BY 

September 30, 2009

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

Futures Commission Merchant Date Net Capital Requirement Net Capital 

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

(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; or fzimmerle@cftc.gov