SELECTED FCM FINANCIAL DATA AS OF 

October 31, 2009

FROM REPORTS FILED BY 

November 30, 2009

A/O Adjusted Net Capital Excess 

Futures Commission Merchant B/D? DSRO Date Net Capital Requirement Net Capital 

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

1 3DFOREX LLC N NFA 10/31/2009 5,018,448 500,000 4,518,448 2 ACM USA LLC N NFA 10/31/2009 773,210 500,000 273,210 3 ADM INVESTOR SERVICES INC N CBOT 10/31/2009 169,156,501 95,118,168 74,038,333 

4 ADVANCED MARKETS LLC N NFA 10/31/2009 20,582,254 20,000,000 582,254 5 ADVANTAGE FUTURES LLC N CME 10/30/2009 18,537,325 9,211,544 9,325,781 

6 AIG CLEARING CORPORATION N NYME 10/31/2009 227,628,621 568,426 227,060,195 7 ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC* Y NFA 09/30/2009 20,468,279 7,257,790 13,210,489 8 ALPARI (US) LLC N NFA 10/30/2009 20,917,062 20,000,000 917,062 9 AMERIPRISE ADVISOR SERVICES INC Y NFA 10/31/2009 20,488,571 500,000 19,988,571 

10 AMERIPRISE FINANCIAL SERVICES, INC. Y NFA 10/30/2009 52,420,496 500,000 51,920,496 11 BANC OF AMERICA SECURITIES LLC Y CME 10/30/2009 2,323,526,860 131,285,014 2,192,241,846 

12 BARCLAYS CAPITAL INC Y NYME 10/30/2009 5,505,961,169 612,737,897 4,893,223,272 13 BGC FINANCIAL LP Y NFA 10/31/2009 28,889,788 500,000 28,389,788 14 BNP PARIBAS COMMODITY FUTURES INC N NYME 10/31/2009 305,100,341 190,695,161 114,405,180 

15 BNP PARIBAS SECURITIES CORP Y CBOT 10/31/2009 1,832,887,737 74,827,369 1,758,060,368 

16 CADENT FINANCIAL SERVICES LLC N NFA 10/31/2009 3,006,416 500,000 2,506,416 17 CANTOR FITZGERALD & CO Y CBOT 10/31/2009 143,716,505 4,088,898 139,627,607 18 CAPITAL MARKET SERVICES LLC N NFA 10/31/2009 24,293,726 20,000,000 4,293,726 

19 CIBC WORLD MARKETS CORP Y CME 10/30/2009 1,362,511,002 1,500,000 1,361,011,002 

20 CITADEL SECURITIES LLC Y CME 10/31/2009 324,775,467 1,000,000 323,775,467 

21 CITIGROUP GLOBAL MARKETS INC Y CBOT 10/30/2009 8,907,918,611 715,312,769 8,192,605,842 22 COMMONWEALTH FOREIGN EXCHANGE INC N NFA 10/31/2009 960,888 500,000 460,888 23 COMPASS PROFESSIONAL SERVICES LLC Y NFA 10/31/2009 3,334,737 500,000 2,834,737 24 COUNTRY HEDGING INC N NFA 10/31/2009 14,125,370 7,064,278 7,061,092 

25 CREDIT SUISSE SECURITIES (USA) LLC Y CBOT 10/30/2009 9,063,849,309 701,253,755 8,362,595,554 

26 CROSSLAND LLC N CBOT 10/31/2009 7,695,953 6,120,284 1,575,669 27 CUNNINGHAM COMMODITIES LLC N CBOT 10/31/2009 3,270,652 695,278 2,575,374 28 CX CAPITAL MARKETS LLC N NFA 10/31/2009 766,654 500,000 266,654 29 DAIWA SECURITIES AMERICA INC Y CME 10/31/2009 277,880,769 1,068,743 276,812,026 30 DEUTSCHE BANK SECURITIES INC Y CBOT 10/30/2009 8,187,943,756 503,663,118 7,684,280,638 31 DORMAN TRADING LLC N CME 10/31/2009 8,214,126 617,245 7,596,881 

32 EAGLE MARKET MAKERS INC N CBOT 10/31/2009 5,505,256 500,000 5,005,256 33 EASY FOREX US LTD N NFA 10/31/2009 20,741,481 20,000,000 741,481 34 ELECTRONIC BROKERAGE SYSTEMS LLC Y NFA 10/31/2009 8,449,884 561,412 7,888,472 35 ENSKILDA FUTURES LTD N CME 10/31/2009 26,877,854 18,270,018 8,607,836 36 FARR FINANCIAL INC N NFA 10/31/2009 948,246 508,955 439,291 37 FCSTONE LLC N CME 10/31/2009 71,130,909 34,284,455 36,846,454 38 FOREX CAPITAL MARKETS LLC N NFA 10/31/2009 58,476,917 20,000,000 38,476,917 

39 FOREX CLUB FINANCIAL COMPANY INC N NFA 10/31/2009 23,265,616 20,000,000 3,265,616 40 FORTIS CLEARING AMERICAS LLC Y CBOT 10/30/2009 194,811,233 47,530,346 147,280,887 

41 FRIEDBERG MERCANTILE GROUP INC N NFA 10/31/2009 3,363,497 500,000 2,863,497 
SELECTED FCM FINANCIAL DATA AS OF 

October 31, 2009

FROM REPORTS FILED BY 

November 30, 2009

A/O Adjusted Net Capital Excess 

Futures Commission Merchant B/D? DSRO Date Net Capital Requirement Net Capital 

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

42 FRONTIER FUTURES INC N NFA 10/31/2009 1,388,191 812,356 575,835 43 FUTURES TECH LLC N NFA 10/31/2009 829,834 500,000 329,834 44 FX SOLUTIONS LLC N NFA 10/31/2009 51,363,406 20,000,000 31,363,406 45 GAIN CAPITAL GROUP LLC N NFA 10/31/2009 88,480,392 20,000,000 68,480,392 46 GENESIS FUTURES LLC N NFA 10/31/2009 762,217 500,000 262,217 47 GFS FOREX & FUTURES INC N NFA 10/31/2009 3,344,534 500,000 2,844,534 48 GILDER GAGNON HOWE & CO LLC Y NFA 10/31/2009 17,342,879 500,000 16,842,879 49 GLOBAL FUTURES & FOREX LTD N NFA 10/31/2009 72,387,067 20,000,000 52,387,067 

50 GOLDMAN SACHS & CO Y CBOT 10/31/2009 12,967,754,549 1,818,122,992 11,149,631,557 

51 GOLDMAN SACHS EXECUTION & CLEARING LP Y CME 10/30/2009 1,864,218,375 103,952,992 1,760,265,383 52 HOTSPOT FXR LLC N NFA 10/31/2009 6,608,657 500,000 6,108,657 53 HSBC SECURITIES USA INC Y CME 10/30/2009 1,476,512,068 70,363,915 1,406,148,153 54 I TRADE FX LLC N NFA 10/31/2009 1,572,484 500,000 1,072,484 55 ICAP FUTURES LLC N NFA 10/31/2009 13,262,459 500,000 12,762,459 56 IG MARKETS INC N NFA 10/31/2009 30,879,366 20,000,000 10,879,366 57 IKON GLOBAL MARKETS INC N NFA 10/31/2009 21,934,409 20,000,000 1,934,409 58 INSTINET LLC Y NFA 10/30/2009 113,797,139 1,500,000 112,297,139 59 INTEGRATED BROKERAGE SERVICES LLC N NFA 10/31/2009 1,275,305 500,000 775,305 60 INTERACTIVE BROKERS LLC Y NFA 10/31/2009 717,067,516 78,358,228 638,709,288 61 INTERBANK FX LLC N NFA 10/31/2009 34,157,710 20,000,000 14,157,710 62 ITG DERIVATIVES LLC Y NFA 10/31/2009 3,509,646 526,729 2,982,917 63 JP MORGAN CLEARING CORP Y CME 10/31/2009 4,895,466,187 1,539,141,452 3,356,324,735 64 JP MORGAN FUTURES INC N NYME 10/31/2009 2,216,498,601 1,104,850,944 1,111,647,657 

65 JP MORGAN SECURITIES INC Y NFA 10/31/2009 8,500,495,186 539,283,137 7,961,212,049 66 LADENBURG THALMANN & CO INC Y NFA 10/31/2009 2,773,571 500,000 2,273,571 67 LEK SECURITIES CORPORATION Y NFA 10/31/2009 13,458,667 1,500,000 11,958,667 

68 LIMESTONE TRADING LLC N NFA 10/31/2009 13,057,346 500,000 12,557,346 69 LINN GROUP THE N NFA 10/31/2009 2,824,550 690,908 2,133,642 

70 LPL FINANCIAL CORPORATION Y NFA 10/30/2009 95,784,784 5,933,457 89,851,327 

71 MACQUARIE FUTURES USA INC N CBOT 10/30/2009 67,662,414 42,885,187 24,777,227 

72 MAREX USA LIMITED N NFA 10/31/2009 1,463,244 500,000 963,244 

73 MB TRADING FUTURES INC N NFA 10/31/2009 22,950,790 20,000,000 2,950,790 74 MBF CLEARING CORP N NYME 10/31/2009 10,979,055 1,509,734 9,469,321 

75 MCVEAN TRADING & INVESTMENTS LLC N NFA 10/31/2009 8,504,928 2,301,322 6,203,606 76 MERRILL LYNCH PIERCE FENNER & SMITH Y CBOT 10/31/2009 5,456,487,605 606,505,782 4,849,981,823 

77 MERRILL LYNCH PROFESSIONAL CLEARING CORP Y NFA 10/31/2009 1,411,995,342 100,850,748 1,311,144,594 78 MF GLOBAL INC Y CME 10/30/2009 627,325,972 370,322,213 257,003,759 79 MG FINANCIAL LLC N NFA 10/31/2009 5,025,247 500,000 4,525,247 80 MID CO COMMODITIES INC N NFA 10/31/2009 11,247,246 1,953,642 9,293,604 81 MITSUBISHI UFJ SECURITIES USA INC Y NFA 10/31/2009 70,483,154 1,359,029 69,124,125 82 MITSUI BUSSAN COMMODITIES USA INC N NYME 10/31/2009 7,841,230 2,680,621 5,160,609 83 MIZUHO SECURITIES USA INC Y CME 10/30/2009 331,959,992 37,569,917 294,390,075 
SELECTED FCM FINANCIAL DATA AS OF 

October 31, 2009

FROM REPORTS FILED BY 

November 30, 2009

A/O Adjusted Net Capital Excess 

Futures Commission Merchant B/D? DSRO Date Net Capital Requirement Net Capital 

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

84 MORGAN KEEGAN & COMPANY INC Y NFA 10/31/2009 395,340,547 9,971,324 385,369,223 85 MORGAN STANLEY & CO INCORPORATED Y CME 10/30/2009 9,630,591,564 932,853,457 8,697,738,107 

86 MORGAN STANLEY SMITH BARNEY LLC Y NFA 10/30/2009 488,891,939 500,000 488,391,939 87 NATIXIS SECURITIES NORTH AMERICA INC Y NFA 10/30/2009 211,796,118 500,000 211,296,118 

88 NEUBERGER BERMAN LLC Y NFA 10/31/2009 99,904,399 1,500,000 98,404,399 

89 NEWEDGE USA LLC Y NYME 10/31/2009 2,364,720,485 1,302,715,831 1,062,004,654 

90 NOMURA SECURITIES INTERNATIONAL INC Y CBOT 10/30/2009 753,057,404 4,038,125 749,019,279 91 OANDA CORPORATION N NFA 10/31/2009 162,232,690 20,000,000 142,232,690 92 OPEN E CRY LLC N NFA 10/31/2009 3,327,725 560,783 2,766,942 

93 OPPENHEIMER & CO INC Y NFA 10/30/2009 159,824,688 21,094,326 138,730,362 

94 OPTIONSXPRESS INC Y NFA 10/30/2009 92,718,307 11,624,722 81,093,585 95 PENSON GHCO N CBOT 10/31/2009 21,078,408 14,767,830 6,310,578 96 PEREGRINE FINANCIAL GROUP INC N NFA 10/31/2009 32,753,161 20,000,000 12,753,161 

97 PIONEER FUTURES INC N NYME 10/31/2009 1,511,451 500,000 1,011,451 98 PRUDENTIAL BACHE COMMODITIES LLC N CBOT 10/31/2009 221,208,000 180,519,680 40,688,320 99 RAND FINANCIAL SERVICES INC N CME 10/31/2009 59,990,812 9,625,082 50,365,730 

100 RAYMOND JAMES & ASSOCIATES INC Y NFA 10/31/2009 402,571,122 25,802,762 376,768,360 101 RBC CAPITAL MARKETS CORPORATION Y CME 10/30/2009 1,084,624,191 105,478,517 979,145,674 

102 RBS SECURITIES INC Y CBOT 10/31/2009 1,354,132,000 184,650,000 1,169,482,000 

103 RJ OBRIEN ASSOCIATES LLC N CME 10/31/2009 112,011,810 61,589,834 50,421,976 104 ROBBINS FUTURES INC N NFA 10/31/2009 560,383 500,000 60,383 105 ROSENTHAL COLLINS GROUP LLC N CME 10/31/2009 56,153,626 34,512,146 21,641,480 106 ROSENTHAL GLOBAL SECURITIES LLC Y NFA 10/31/2009 30,004,982 805,696 29,199,286 107 SANFORD C BERNSTEIN & CO LLC Y NFA 10/30/2009 158,319,897 10,844,081 147,475,816 108 SANTANDER INVESTMENT SECURITIES INC Y NFA 10/31/2009 83,279,837 963,421 82,316,416 109 SHAY GRAIN CLEARING COMPANY N KCBT 10/31/2009 2,561,219 500,000 2,061,219 110 SMW TRADING COMPANY INC N CME 10/31/2009 33,193,196 500,000 32,693,196 

111 STATE STREET GLOBAL MARKETS LLC Y NFA 10/31/2009 278,689,635 500,000 278,189,635 

112 STEPHENS INC Y NFA 10/31/2009 57,651,235 11,461,417 46,189,818 113 STERLING COMMODITIES CORP N NYME 10/31/2009 8,043,816 713,399 7,330,417 

114 TCA FUTURES LLC N NFA 10/31/2009 861,177 500,000 361,177 115 TD AMERITRADE INC Y NFA 10/31/2009 297,070,337 500,000 296,570,337 116 TENCO INC N CBOT 10/31/2009 47,184,063 6,883,030 40,301,033 

117 TERRA NOVA FINANCIAL LLC Y NFA 10/31/2009 11,329,636 1,500,000 9,829,636 118 TIMBER HILL LLC Y CME 10/31/2009 1,026,813,621 26,707,931 1,000,105,690 

119 TOWER RESEARCH CAPITAL EUROPE LLC N NFA 10/31/2009 3,108,467 500,000 2,608,467 120 TRADELINK LLC Y CBOT 10/31/2009 23,454,317 500,000 22,954,317 121 TRADESTATION SECURITIES INC Y NFA 10/31/2009 89,526,799 1,778,802 87,747,997 

122 TRADITION SECURITIES AND FUTURES INC N NFA 10/31/2009 770,389 500,000 270,389 

123 TRANSMARKET GROUP LLC Y CBOT 10/31/2009 12,871,501 500,000 12,371,501 124 TRILAND USA INC N NYME 10/31/2009 30,990,975 12,368,627 18,622,348 

125 UBS FINANCIAL SERVICES INC Y NFA 10/30/2009 934,601,902 87,242,133 847,359,769 
SELECTED FCM FINANCIAL DATA AS OF 

October 31, 2009

FROM REPORTS FILED BY 

November 30, 2009

A/O Adjusted Net Capital Excess 

Futures Commission Merchant B/D? DSRO Date Net Capital Requirement Net Capital 

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

126 UBS SECURITIES LLC Y CBOT 10/30/2009 13,142,775,009 925,932,890 12,216,842,119 

127 VELOCITY FUTURES LLC N NFA 10/31/2009 1,305,848 500,000 805,848 128 VISION FINANCIAL MARKETS LLC Y CME 10/31/2009 21,501,297 6,692,825 14,808,472 129 WELLS FARGO ADVISORS FINANCIAL NETWORK LLC Y NFA 10/31/2009 22,860,647 3,486,845 19,373,802 130 WELLS FARGO ADVISORS LLC Y NFA 10/30/2009 557,375,870 1,500,000 555,875,870 131 WELLS FARGO SECURITIES LLC Y CME 10/30/2009 1,938,811,579 1,000,000 1,937,811,579 132 WHITE COMMERCIAL CORPORATION N NFA 10/31/2009 2,381,707 500,000 1,881,707 133 WSD FINANCIAL USA INC N NFA 10/31/2009 1,239,308 500,000 739,308 134 YORK BUSINESS ASSOCIATES LLC N NFA 10/31/2009 1,730,784 500,000 1,230,784 

Totals 
SELECTED FCM FINANCIAL DATA AS OF 

October 31, 2009

FROM REPORTS FILED BY 

November 30, 2009

A/O Adjusted Net Capital Excess 

Futures Commission Merchant B/D? DSRO Date Net Capital Requirement Net Capital 

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

September Web Page Update 132AdditionsAMERIPRISE FINANCIAL SERVICES, INC. 2STATE STREET GLOBAL MARKETS LLCDeletions 0NONEName ChangeNONEOctober Web Page Update 134*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(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 

October 31, 2009

FROM REPORTS FILED BY 

November 30, 2009

A/O Adjusted Net Capital Excess 

Futures Commission Merchant B/D? DSRO 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: mhendrickso@cftc.gov, fzimmerle@cftc.gov.