SELECTED FCM FINANCIAL DATA AS OF 1 of 5 December 31, 2008 FROM REPORTS FILED BY January 31, 2009

B/D? DSRO A/O Adjusted Net Capital Excess Customers' Customer Futures Commission Merchant Date Net Capital Requirement Net Capital Seg Required Amount 4d(a)(2) Pt. 30 Required (a) (b) (c) (d) (e) (f)

1 3D FOREX, LLC N NFA 12/31/2008 18,931,722 500,000 18,431,722 0 0 2 ACM USA LLC N NFA 12/31/2008 11,575,482 10,000,000 1,575,482 0 0 3 ADM INVESTOR SERVICES INC N CBOT 12/31/2008 154,941,097 74,632,265 80,308,832 1,864,327,056 72,071,646 4 ADVANCED MARKETS LLC N NFA 12/31/2008 10,071,373 10,000,000 71,373 0 0 5 ADVANTAGE FUTURES LLC N CME 12/31/2008 25,081,866 6,446,918 18,634,948 188,738,579 32,311,026 6 AIG CLEARING CORPORATION N NYME 12/31/2008 321,823,187 11,903,795 309,919,392 0 0 7 ALARON TRADING CORPORATION N NFA 12/31/2008 3,711,574 500,000 3,211,574 0 0 8 ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC * Y NFA 12/31/2008 27,457,078 6,847,647 20,609,431 0 0 9 ALPARI (US) LLC N NFA 12/31/2008 17,497,095 10,000,000 7,497,095 0 0 10 AMERIPRISE ADVISOR SERVICES INC Y NFA 12/31/2008 22,077,618 5,346,567 16,731,051 0 0 11 BANC OF AMERICA SECURITIES LLC Y CME 12/31/2008 3,171,801,285 166,357,841 3,005,443,444 1,007,978,026 16,837,469 12 BARCLAYS CAPITAL INC Y NYME 12/31/2008 7,878,067,153 500,000,000 7,378,067,153 5,993,650,575 2,976,258,742 13 BGC SECURITIES Y NFA 12/31/2008 8,855,236 500,000 8,355,236 0 0 14 BNP PARIBAS COMMODITY FUTURES INC N NYME 12/31/2008 322,615,874 242,242,565 80,373,309 2,668,759,643 445,566,495 15 BNP PARIBAS SECURITIES CORP Y CBOT 12/31/2008 1,215,323,818 117,565,995 1,097,757,823 257,921,126 0 16 CADENT LLC N CME 12/31/2008 11,083,763 5,024,120 6,059,643 197,028,798 1,603,167 17 CANTOR FITZGERALD & CO Y CBOT 12/31/2008 338,495,337 10,098,215 328,397,122 18,554,208 0 18 CAPITAL MARKET SERVICES LLC N NFA 12/31/2008 28,021,844 10,000,000 18,021,844 0 0 19 CIBC WORLD MARKETS CORP Y CME 12/31/2008 1,034,556,133 4,487,601 1,030,068,532 0 0 20 CITIGROUP GLOBAL MARKETS INC Y CBOT 12/31/2008 2,489,756,047 850,665,429 1,639,090,618 15,736,421,042 1,639,443,343 21 CLIFF LARSON COMPANY THE N NFA 12/31/2008 2,121,913 784,525 1,337,388 15,211,923 0 22 COMMONWEALTH FOREIGN EXCHANGE INC N NFA 12/31/2008 1,130,173 500,000 630,173 0 0 23 COUNTRY HEDGING INC N NFA 12/31/2008 14,870,211 8,414,822 6,455,389 89,954,785 143,113 24 CREDIT SUISSE SECURITIES (USA) LLC Y CBOT 12/31/2008 10,824,230,618 699,238,193 10,124,992,425 3,107,519,933 1,620,774,129 25 CROSSLAND LLC N CBOT 12/31/2008 3,175,961 558,944 2,617,017 27,508,582 379,003 26 CUNNINGHAM COMMODITIES LLC N CBOT 12/31/2008 3,251,188 500,000 2,751,188 15,651,679 108,689 27 DAIWA SECURITIES AMERICA INC Y CME 12/31/2008 226,179,261 5,580,479 220,598,782 27,155,770 1,838,213 28 DEUTSCHE BANK SECURITIES INC Y CBOT 12/31/2008 4,600,968,840 433,798,493 4,167,170,347 6,282,995,014 1,072,615,235 29 DORMAN TRADING LLC N CME 12/31/2008 7,795,161 500,000 7,295,161 67,123,606 0 30 DUNAVANT COMMODITY CORP N NFA 12/31/2008 28,733,539 606,504 28,127,035 0 0 31 EAGLE MARKET MAKERS INC N CBOT 12/31/2008 5,853,143 500,000 5,353,143 7,517,057 0 32 EASY FOREX US LTD N NFA 12/31/2008 13,094,241 10,000,000 3,094,241 0 0 33 ELECTRONIC BROKERAGE SYSTEMS LLC Y NFA 12/31/2008 9,697,601 500,000 9,197,601 0 0 34 ENSKILDA FUTURES LTD N CME 12/31/2008 22,834,362 10,769,097 12,065,265 171,759,518 0 35 FARR FINANCIAL INC N NFA 12/31/2008 1,399,721 500,000 899,721 33,113,014 0 36 FC STONE LLC N CME 12/31/2008 76,991,590 42,680,438 34,311,152 925,472,155 11,946,471 37 FOREX CAPITAL MARKETS LLC N NFA 12/31/2008 115,260,994 10,000,000 105,260,994 0 0 38 FOREX CLUB FINANCIAL COMPANY INC N NFA 12/31/2008 15,982,737 10,000,000 5,982,737 0 0 39 FORTIS CLEARING AMERICAS LLC Y CBOT 12/31/2008 190,900,255 52,836,885 138,063,370 883,423,029 160,262,303 40 FRIEDBERG MERCANTILE GROUP INC N NFA 12/31/2008 4,207,548 500,000 3,707,548 3,908,454 48,571 41 FRONTIER FUTURES INC N NFA 12/31/2008 1,179,830 749,159 430,671 30,896,278 0 42 FUTURES TECH LLC N NFA 12/31/2008 840,513 500,000 340,513 0 0 43 FX SOLUTIONS LLC N NFA 12/31/2008 44,618,870 10,000,000 34,618,870 0 0 44 GAIN CAPITAL GROUP LLC N NFA 12/31/2008 107,167,948 10,000,000 97,167,948 0 0 45 GATEWAY CAPITAL L.L.C. N NFA 12/31/2008 525,752 500,000 25,752 0 0 46 GELBER GROUP LLC N CBOT 12/31/2008 140,457,252 1,444,818 139,012,434 72,793,333 0 SELECTED FCM FINANCIAL DATA AS OF 2 of 5 December 31, 2008 FROM REPORTS FILED BY January 31, 2009

B/D? DSRO A/O Adjusted Net Capital Excess Customers' Customer Futures Commission Merchant Date Net Capital Requirement Net Capital Seg Required Amount 4d(a)(2) Pt. 30 Required (a) (b) (c) (d) (e) (f) 47 GFS FOREX & FUTURES INC N NFA 12/31/2008 12,888,692 10,000,000 2,888,692 0 0 48 GILDER GAGNON HOWE AND CO LLC Y NFA 12/31/2008 12,273,502 500,000 11,773,502 0 0 49 GLOBAL FUTURES & FOREX LTD N NFA 12/31/2008 75,215,155 10,000,000 65,215,155 711,813 0 50 GOLDMAN SACHS & CO Y CBOT 12/26/2008 12,009,773,855 1,865,184,526 10,144,589,329 22,594,034,044 9,536,541,402 51 GOLDMAN SACHS EXECUTION & CLEARING LP Y CME 12/26/2008 1,491,507,812 73,336,186 1,418,171,626 1,674,320,331 18,899,766 52 HOTSPOT FXR LLC N NFA 12/31/2008 10,387,563 10,000,000 387,563 0 0 53 HSBC SECURITIES USA INC Y CME 12/31/2008 1,116,456,796 73,276,387 1,043,180,409 1,311,779,397 57,771,922 54 I TRADE FX LLC N NFA 12/31/2008 15,254,112 10,000,000 5,254,112 0 0 55 ICAP FUTURES LLC N NFA 12/31/2008 6,031,335 500,000 5,531,335 0 0 56 IG MARKETS INC. N NFA 12/31/2008 16,764,133 10,000,000 6,764,133 0 0 57 IKON GLOBAL MARKETS INC. N NFA 12/31/2008 14,249,188 10,000,000 4,249,188 2,289,055 175,419 58 INSTINET LLC Y NFA 12/31/2008 99,739,108 1,572,532 98,166,576 0 0 59 INTEGRATED BROKERAGE SERVICES LLC N NFA 12/31/2008 2,202,160 500,000 1,702,160 313,339 0 60 INTERACTIVE LLC Y EUXUS 12/31/2008 606,402,472 38,550,036 567,852,436 192,436,161 112,705,479 61 INTERBANK FX LLC N NFA 12/31/2008 43,669,367 15,000,000 28,669,367 0 0 62 ITG DERIVATIVES, LLC Y NFA 12/31/2008 1,989,593 500,000 1,489,593 0 0 63 JP MORGAN CLEARING CORP Y CME 12/31/2008 4,958,212,990 1,399,468,621 3,558,744,369 1,020,408,180 397,358,995 64 JP MORGAN FUTURES INC N NYME 12/31/2008 2,214,066,520 1,471,879,130 742,187,390 19,870,559,358 2,891,848,278 65 JP MORGAN SECURITIES INC Y NFA 12/31/2008 7,539,421,286 609,648,990 6,929,772,296 0 0 66 LADENBURG THALMANN & CO INC Y NFA 12/31/2008 5,414,829 500,000 4,914,829 0 0 67 LBS LIMITED PARTNERSHIP N NFA 12/31/2008 778,068 500,000 278,068 0 0 68 LEK SECURITIES CORPORATION Y NFA 12/31/2008 12,801,790 1,500,000 11,301,790 165,061 0 69 LIMESTONE TRADING LLC N NFA 12/31/2008 6,501,509 500,000 6,001,509 0 0 70 LINN GROUP ( THE ) N NFA 12/31/2008 3,668,314 500,000 3,168,314 13,144,735 0 71 LPL FINANCIAL CORPORATION Y NFA 12/31/2008 86,062,408 7,227,981 78,834,427 0 0 72 MACQUARIE FUTURES USA INC N CBOT 12/31/2008 50,720,934 26,350,821 24,370,113 538,590,994 1,808,023 73 MAREX CARLTON LIMITED N NFA 12/31/2008 733,525 500,000 233,525 0 0 74 MB TRADING FUTURES INC. N NFA 12/31/2008 14,779,756 10,000,000 4,779,756 0 0 75 MBF CLEARING CORP N NYME 12/31/2008 26,960,668 1,470,160 25,490,508 87,825,240 5,462,691 76 MCVEAN TRADING AND INVESTMENTS LLC N NFA 12/31/2008 14,426,377 1,360,608 13,065,769 663,076,442 0 77 MERRILL LYNCH PIERCE FENNER & SMITH Y CBOT 12/26/2008 4,127,927,399 603,962,370 3,523,965,029 10,429,695,890 1,444,805,494 78 MERRILL LYNCH PROFESSIONAL CLEARING CORP Y NFA 12/26/2008 1,576,605,011 67,119,448 1,509,485,563 956,692,407 40,189,743 79 MF GLOBAL INC. Y CME 12/31/2008 706,655,086 320,034,510 386,620,576 7,429,554,145 492,276,670 80 MG FINANCIAL LLC N NFA 12/31/2008 5,563,827 500,000 5,063,827 0 0 81 MID-CO COMMODITIES INC N NFA 12/31/2008 13,859,385 3,050,553 10,808,832 23,745,608 0 82 MITSUI BUSSAN COMMODITIES USA INC N NYME 12/31/2008 7,551,757 1,400,992 6,150,765 0 0 83 MIZUHO SECURITIES USA INC Y CME 12/31/2008 314,734,807 69,190,572 245,544,235 643,244,519 250,554,851 84 MORGAN KEEGAN & COMPANY INC Y NFA 12/31/2008 326,740,887 9,046,307 317,694,580 0 0 85 MORGAN STANLEY & CO INCORPORATED Y CME 12/31/2008 9,216,304,057 850,257,759 8,366,046,298 4,982,674,544 4,231,157,665 86 NATIXIS SECURITIES NORTH AMERICA INC Y NFA 12/31/2008 205,242,286 500,000 204,742,286 0 0 87 NEUBERGER BERMAN LLC Y NFA 12/31/2008 94,710,937 5,000,000 89,710,937 0 0 88 NEWEDGE USA LLC. Y NYME 12/31/2008 2,363,924,939 1,528,363,551 835,561,388 20,363,888,012 7,425,738,043 89 NOMURA SECURITIES INTERNATIONAL INC Y CBOT 12/31/2008 741,104,649 1,000,000 740,104,649 0 0 90 OANDA CORPORATION N NFA 12/31/2008 169,722,476 10,000,000 159,722,476 0 0 91 ODL SECURITIES INC N NFA 12/31/2008 17,921,698 10,000,000 7,921,698 0 0 92 OPEN E CRY LLC N NFA 12/31/2008 2,433,212 622,554 1,810,658 53,891,057 600,053 93 OPPENHEIMER & CO INC Y NFA 12/31/2008 180,520,404 16,857,177 163,663,227 15,444,982 0 SELECTED FCM FINANCIAL DATA AS OF 3 of 5 December 31, 2008 FROM REPORTS FILED BY January 31, 2009

B/D? DSRO A/O Adjusted Net Capital Excess Customers' Customer Futures Commission Merchant Date Net Capital Requirement Net Capital Seg Required Amount 4d(a)(2) Pt. 30 Required (a) (b) (c) (d) (e) (f) 94 OPTIONSXPRESS INC Y NFA 12/31/2008 76,019,260 8,944,927 67,074,333 41,542,962 252,796 95 PENSON GHCO N CBOT 12/31/2008 20,309,382 10,680,113 9,629,269 419,265,887 24,584,771 96 PEREGRINE FINANCIAL GROUP INC N NFA 12/31/2008 27,395,262 10,000,000 17,395,262 217,784,516 20,624,204 97 PIONEER FUTURES INC N NYME 12/31/2008 1,724,778 500,000 1,224,778 0 0 98 PRUDENTIAL BACHE COMMODITIES LLC N CBOT 12/31/2008 260,927,000 199,949,680 60,977,320 3,101,633,000 432,540,000 99 PUMA FINANCIAL LLC N NFA 12/31/2008 1,539,411 500,000 1,039,411 3,894,156 0 100 RAND FINANCIAL SERVICES INC N CME 12/31/2008 68,894,350 6,968,856 61,925,494 81,784,100 20,639,800 101 RAYMOND JAMES & ASSOCIATES INC Y NFA 12/31/2008 275,490,640 23,885,475 251,605,165 0 0 102 RBC CAPITAL MARKETS CORPORATION Y CME 12/31/2008 676,480,861 127,298,054 549,182,807 1,067,694,053 888,857,107 103 RBS GREENWICH CAPITAL INC Y CBOT 12/31/2008 2,165,756,000 196,499,000 1,969,257,000 1,714,234,000 82,584,000 104 RJ OBRIEN & ASSOCIATES LLC N CME 12/31/2008 109,932,227 55,006,189 54,926,038 1,854,991,988 32,546,239 105 ROBBINS FUTURES INC N NFA 12/31/2008 533,242 500,000 33,242 5,112,514 0 106 ROSENTHAL COLLINS GROUP LLC N CME 12/31/2008 83,097,216 28,324,913 54,772,303 976,326,801 27,405,390 107 ROSENTHAL GLOBAL SECURITIES LLC Y NFA 12/31/2008 51,050,279 2,367,215 48,683,064 0 0 108 SANFORD C BERNSTEIN & CO LLC Y NFA 12/31/2008 175,150,307 7,845,885 167,304,422 0 0 109 SANTANDER INVESTMENT SECURITIES INC. Y NFA 12/31/2008 59,836,554 500,000 59,336,554 0 0 110 SHAY GRAIN CLEARING COMPANY N KCBT 12/31/2008 2,582,183 873,754 1,708,429 16,611,299 0 111 SMW TRADING COMPANY INC N CME 12/31/2008 22,002,340 500,000 21,502,340 7,448,687 0 112 STEPHENS INC Y NFA 12/31/2008 78,594,025 10,157,542 68,436,483 0 0 113 STERLING COMMODITIES CORP N NYME 12/31/2008 8,864,517 500,000 8,364,517 39,370,901 748,721 114 TCA FUTURES LLC N NFA 12/31/2008 805,133 500,000 305,133 0 0 115 TD AMERITRADE INC. Y NFA 12/31/2008 63,048,503 500,000 62,548,503 0 0 116 TENCO INC N CBOT 12/31/2008 42,971,904 6,288,299 36,683,605 119,110,869 0 117 TERRA NOVA FINANCIAL, LLC Y NFA 12/31/2008 11,467,226 1,500,000 9,967,226 0 0 118 TIMBER HILL LLC Y CME 12/31/2008 1,200,561,930 8,285,446 1,192,276,484 182,078,297 0 119 TOWER RESEARCH CAPITAL EUROPE LLC N NFA 12/31/2008 3,772,431 500,000 3,272,431 0 0 120 TRADELINK LLC Y CBOT 12/31/2008 28,834,794 500,000 28,334,794 0 0 121 TRADESTATION SECURITIES INC Y NFA 12/31/2008 94,293,640 1,014,258 93,279,382 0 0 122 TRADITION SECURITIES AND FUTURES INC N NFA 12/31/2008 837,292 500,000 337,292 0 0 123 TRANSMARKET GROUP LLC Y CBOT 12/31/2008 19,710,071 500,000 19,210,071 0 0 124 TRILAND USA INC N NYME 12/31/2008 47,092,334 11,489,620 35,602,714 145,466,595 1,268,053 125 UBS FINANCIAL SERVICES INC Y NFA 12/31/2008 976,707,642 98,398,990 878,308,652 232,969,109 195,997 126 UBS SECURITIES LLC Y CBOT 12/31/2008 14,285,280,810 1,055,916,433 13,229,364,377 15,420,748,125 5,412,811,537 127 VELOCITY FUTURES LP N NFA 12/31/2008 1,018,211 500,000 518,211 37,528,105 279,118 128 VISION FINANCIAL MARKETS LLC Y CME 12/31/2008 27,738,484 4,287,296 23,451,188 244,361,912 96,939 129 CAPITAL MARKETS LLC Y CME 12/31/2008 1,716,813,180 1,000,000 1,715,813,180 0 0 130 WACHOVIA SECURITIES FINANCIAL NETWORK, LLC Y NFA 12/31/2008 32,876,585 2,524,604 30,351,981 0 0 131 WACHOVIA SECURITIES LLC Y NFA 12/31/2008 672,941,666 21,820,999 651,120,667 0 0 132 WHITE COMMERCIAL CORPORATION N NFA 12/31/2008 2,764,293 500,000 2,264,293 0 0 133 WSD FINANCIAL USA, INC N NFA 12/31/2008 1,285,821 500,000 785,821 0 0 134 YORK BUSINESS ASSOCIATES LLC N NFA 12/31/2008 1,215,756 500,000 715,756 40,204,221 1,525,363

TOTAL 158,534,030,594 41,907,062,144 SELECTED FCM FINANCIAL DATA AS OF 4 of 5 December 31, 2008 FROM REPORTS FILED BY January 31, 2009

B/D? DSRO A/O Adjusted Net Capital Excess Customers' Customer Futures Commission Merchant Date Net Capital Requirement Net Capital Seg Required Amount 4d(a)(2) Pt. 30 Required (a) (b) (c) (d) (e) (f)

November Web Page Update 136

Additions 1 MAREX CARLTON LIMITED

Deletions 3 BACERA CORPORATION COMTRUST INC KOTTKE ASSOCIATES LLC

Name Change FROM ADVANCED MARKETS INC TO ADVANCED MARKETS LLC

December Web Page Update 134

*Allianz Global Investors Distributions 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 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.

(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. SELECTED FCM FINANCIAL DATA AS OF 5 of 5 December 31, 2008 FROM REPORTS FILED BY January 31, 2009

B/D? DSRO A/O Adjusted Net Capital Excess Customers' Customer Futures Commission Merchant Date Net Capital Requirement Net Capital Seg Required Amount 4d(a)(2) Pt. 30 Required (a) (b) (c) (d) (e) (f) (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: [email protected]; [email protected] or [email protected]